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Nasdaq · USD

INCY

INCYTE CORP

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3182
SEC CIK
0000879169
Parsed reports
950

Last 12 months

Inside the activity.

0 purchase rows · 46 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202507
Dec 202509
Jan 202602
Feb 202601
Mar 202601
Apr 202601
May 202602
Jun 202601
Jul 2026015
Aug 202605
Sep 202602
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
July 06, 2021 Filed Jul 7, 2021 20:14 UTC
Flannelly Barry PEVP & General Manager US
Tax withholdingCommon Stock 273 $83.34 $22,751.82
Disclosure

SEC source: 0001209191-21-045783 · doc4.xml · nonDerivative · entry 3

Flannelly Barry P · CIK 0001615842 · EVP & General Manager US

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,880

F2 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units or earned performance shares previously reported in Table I as common stock.

F3 · balance_after: Including the July 2, 2021 Restricted Stock Unit Grant, this includes an aggregate of 45,255 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance shares that have not vested.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 22:39 UTC
Trower PaulPrincipal Accounting Officer
GrantEmployee Stock Option (right to buy) · Derivative 3,250 $0.00 Strike: $83.58 $0.00
Disclosure

SEC source: 0001209191-21-045906 · doc4.xml · derivative · entry 4

Trower Paul · CIK 0001642041 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,250

Underlying: Common Stock · 3,250 shares

Expires 2031-07-01

F4 · derivative.exercise_date: Beginning July 2, 2021, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 22:39 UTC
Trower PaulPrincipal Accounting Officer
Tax withholdingCommon Stock 872 $83.58 $72,881.76
Disclosure

SEC source: 0001209191-21-045906 · doc4.xml · nonDerivative · entry 2

Trower Paul · CIK 0001642041 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,372

F2 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units previously reported in Table I as common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 22:39 UTC
Trower PaulPrincipal Accounting Officer
GrantCommon Stock 4,521 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045906 · doc4.xml · nonDerivative · entry 1

Trower Paul · CIK 0001642041 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,244

F1 · shares: Represents award of restricted stock units ("RSUs") that will vest 25% annually over four years, subject to Paul Trower's continued service with the Issuer through the applicable vesting dates. The RSUs may be settled only for shares of common stock on a one-for-one basis.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 21:54 UTC
Wenqing YaoEVP, Head of Discovery Chem
GrantEmployee Stock Option (right to buy) · Derivative 15,054 $0.00 Strike: $83.58 $0.00
Disclosure

SEC source: 0001209191-21-045892 · doc4.xml · derivative · entry 4

Wenqing Yao · CIK 0001624033 · EVP, Head of Discovery Chem

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,054

Underlying: Common Stock · 15,054 shares

Expires 2031-07-01

F4 · derivative.exercise_date: Beginning July 2, 2021, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 21:54 UTC
Wenqing YaoEVP, Head of Discovery Chem
Tax withholdingCommon Stock 2,953 $83.58 $246,811.74
Disclosure

SEC source: 0001209191-21-045892 · doc4.xml · nonDerivative · entry 2

Wenqing Yao · CIK 0001624033 · EVP, Head of Discovery Chem

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,980

F2 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units or earned performance shares previously reported in Table I as common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 21:54 UTC
Wenqing YaoEVP, Head of Discovery Chem
GrantCommon Stock 7,853 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045892 · doc4.xml · nonDerivative · entry 1

Wenqing Yao · CIK 0001624033 · EVP, Head of Discovery Chem

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,933

F1 · shares: Represents award of restricted stock units ("RSUs") that will vest 25% annually over four years, subject to Wenqing Yao's continued service with the issuer through the applicable vesting dates. The RSUs may be settled only for shares of common stock on a one-for-one basis.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 21:43 UTC
Stein Steven HEVP & Chief Medical Officer
GrantEmployee Stock Option (right to buy) · Derivative 15,054 $0.00 Strike: $83.58 $0.00
Disclosure

SEC source: 0001209191-21-045888 · doc4.xml · derivative · entry 4

Stein Steven H · CIK 0001673776 · EVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,054

Underlying: Common Stock · 15,054 shares

Expires 2031-07-01

F4 · derivative.exercise_date: Beginning July 2, 2021, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 21:43 UTC
Stein Steven HEVP & Chief Medical Officer
Tax withholdingCommon Stock 2,953 $83.58 $246,811.74
Disclosure

SEC source: 0001209191-21-045888 · doc4.xml · nonDerivative · entry 2

Stein Steven H · CIK 0001673776 · EVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,565

F2 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units or earned performance shares previously reported in Table I as common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 21:43 UTC
Stein Steven HEVP & Chief Medical Officer
GrantCommon Stock 7,853 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045888 · doc4.xml · nonDerivative · entry 1

Stein Steven H · CIK 0001673776 · EVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,518

F1 · shares: Represents award of restricted stock units ("RSUs") that will vest 25% annually over four years, subject to Steven Stein's continued service with the issuer through the applicable vesting dates. The RSUs may be settled only for shares of common stock on a one-for-one basis.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:44 UTC
SWAIN PAULA JEVP, Human Resources
GrantEmployee Stock Option (right to buy) · Derivative 15,054 $0.00 Strike: $83.58 $0.00
Disclosure

SEC source: 0001209191-21-045824 · doc4.xml · derivative · entry 4

SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,054

Underlying: Common Stock · 15,054 shares

Expires 2031-07-01

F4 · derivative.exercise_date: Beginning July 2, 2020, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:44 UTC
SWAIN PAULA JEVP, Human Resources
Tax withholdingCommon Stock 1,990 $83.58 $166,324.20
Disclosure

SEC source: 0001209191-21-045824 · doc4.xml · nonDerivative · entry 2

SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,876

F2 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units or earned performance shares previously reported in Table I as common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:44 UTC
SWAIN PAULA JEVP, Human Resources
GrantCommon Stock 7,853 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045824 · doc4.xml · nonDerivative · entry 1

SWAIN PAULA J · CIK 0001236934 · EVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,866

F1 · shares: Represents award of restricted stock units ("RSUs") that will vest 25% annually over four years, subject to Paula Swain's continued service with the issuer through the applicable vesting dates. The RSUs may be settled only for shares of common stock on a one-for-one basis.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:39 UTC
Stamoulis ChristianaEVP & Chief Financial Officer
GrantEmployee Stock Option (right to buy) · Derivative 15,054 $0.00 Strike: $83.58 $0.00
Disclosure

SEC source: 0001209191-21-045822 · doc4.xml · derivative · entry 3

Stamoulis Christiana · CIK 0001502917 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,054

Underlying: Common Stock · 15,054 shares

Expires 2031-07-01

F4 · derivative.exercise_date: Beginning July 2, 2021, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:39 UTC
Stamoulis ChristianaEVP & Chief Financial Officer
Tax withholdingCommon Stock 516 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045822 · doc4.xml · nonDerivative · entry 2

Stamoulis Christiana · CIK 0001502917 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,265

F2 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units or earned performance shares previously reported in Table I as common stock.

F3 · balance_after: Including the July 2, 2021 Restricted Stock Unit Grant, this includes an aggregate of 33,947 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance shares that have not vested.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:39 UTC
Stamoulis ChristianaEVP & Chief Financial Officer
GrantCommon Stock 7,853 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045822 · doc4.xml · nonDerivative · entry 1

Stamoulis Christiana · CIK 0001502917 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,781

F1 · shares: Represents award of restricted stock units ("RSUs") that will vest 25% annually over four years, subject to Christiana Stamoulis's continued service with the issuer through the applicable vesting dates. The RSUs may be settled only for shares of common stock on a one-for-one basis.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:23 UTC
Hoppenot HerveDirector · Chairman / CEO · President
GrantEmployee Stock Option (right to buy) · Derivative 84,851 $0.00 Strike: $83.58 $0.00
Disclosure

SEC source: 0001209191-21-045789 · doc4.xml · derivative · entry 7

Hoppenot Herve · CIK 0001596492 · Director · Chairman / CEO · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,851

Underlying: Common Stock · 84,851 shares

Expires 2031-07-01

F5 · derivative.exercise_date: Beginning July 2, 2021, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:23 UTC
Hoppenot HerveDirector · Chairman / CEO · President
Tax withholdingCommon Stock 16,089 $83.58 $1,344,718.62
Disclosure

SEC source: 0001209191-21-045789 · doc4.xml · nonDerivative · entry 3

Hoppenot Herve · CIK 0001596492 · Director · Chairman / CEO · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,439

F2 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units or performance shares previously reported in Table I as common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:23 UTC
Hoppenot HerveDirector · Chairman / CEO · President
GrantCommon Stock 44,264 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045789 · doc4.xml · nonDerivative · entry 1

Hoppenot Herve · CIK 0001596492 · Director · Chairman / CEO · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 347,528

F1 · shares: Represents award of restricted stock units ("RSUs") that will vest 25% annually over four years, subject to Herve Hoppenot's continued service with the Issuer through the applicable vesting dates. The RSUs may be settled only for shares of common stock on a one-for-one basis.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:28 UTC
Iyengar Vijay KEVP GPS, BD, & Licensing
GrantEmployee Stock Option (right to buy) · Derivative 15,054 $0.00 Strike: $83.58 $0.00
Disclosure

SEC source: 0001209191-21-045800 · doc4.xml · derivative · entry 4

Iyengar Vijay K · CIK 0001670000 · EVP GPS, BD, & Licensing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,054

Underlying: Common Stock · 15,054 shares

Expires 2031-07-01

F4 · derivative.exercise_date: Beginning July 2, 2021, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:28 UTC
Iyengar Vijay KEVP GPS, BD, & Licensing
Tax withholdingCommon Stock 1,990 $83.58 $166,324.20
Disclosure

SEC source: 0001209191-21-045800 · doc4.xml · nonDerivative · entry 2

Iyengar Vijay K · CIK 0001670000 · EVP GPS, BD, & Licensing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,317

F2 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units or earned performance shares previously reported in Table I as common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:28 UTC
Iyengar Vijay KEVP GPS, BD, & Licensing
GrantCommon Stock 7,853 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045800 · doc4.xml · nonDerivative · entry 1

Iyengar Vijay K · CIK 0001670000 · EVP GPS, BD, & Licensing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,307

F1 · shares: Represents award of restricted stock units ("RSUs") that will vest 25% annually over four years, subject to Vijay Iyengar's continued service with the issuer through the applicable vesting dates. The RSUs may be settled only for shares of common stock on a one-for-one basis.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:34 UTC
Pasquale Maria EEVP & General Counsel
GrantEmployee Stock Option (right to buy) · Derivative 15,054 $0.00 Strike: $83.58 $0.00
Disclosure

SEC source: 0001209191-21-045819 · doc4.xml · derivative · entry 3

Pasquale Maria E · CIK 0001736295 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,054

Underlying: Common Stock · 15,054 shares

Expires 2031-07-01

F4 · derivative.exercise_date: Beginning July 2, 2021, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:34 UTC
Pasquale Maria EEVP & General Counsel
Tax withholdingCommon Stock 2,241 $83.58 $187,302.78
Disclosure

SEC source: 0001209191-21-045819 · doc4.xml · nonDerivative · entry 2

Pasquale Maria E · CIK 0001736295 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,805

F2 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units or earned performance shares previously reported in Table I as common stock.

F3 · balance_after: Including the July 2, 2021 Restricted Stock Unit Grant, this includes an aggregate of 23,733 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance shares that have not vested.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:34 UTC
Pasquale Maria EEVP & General Counsel
GrantCommon Stock 7,853 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045819 · doc4.xml · nonDerivative · entry 1

Pasquale Maria E · CIK 0001736295 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,046

F1 · shares: Represents award of restricted stock units ("RSUs") that will vest 25% annually over four years, subject to Maria Pasquale's continued service with the issuer through the applicable vesting dates. The RSUs may be settled only for shares of common stock on a one-for-one basis.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:14 UTC
Flannelly Barry PEVP & General Manager US
GrantEmployee Stock Option (right to buy) · Derivative 15,054 $0.00 Strike: $83.58 $0.00
Disclosure

SEC source: 0001209191-21-045783 · doc4.xml · derivative · entry 4

Flannelly Barry P · CIK 0001615842 · EVP & General Manager US

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,054

Underlying: Common Stock · 15,054 shares

Expires 2031-07-01

F4 · derivative.exercise_date: Beginning July 2, 2021, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:14 UTC
Flannelly Barry PEVP & General Manager US
Tax withholdingCommon Stock 1,990 $83.58 $166,324.20
Disclosure

SEC source: 0001209191-21-045783 · doc4.xml · nonDerivative · entry 2

Flannelly Barry P · CIK 0001615842 · EVP & General Manager US

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,153

F2 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units or earned performance shares previously reported in Table I as common stock.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:14 UTC
Flannelly Barry PEVP & General Manager US
GrantCommon Stock 7,853 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045783 · doc4.xml · nonDerivative · entry 1

Flannelly Barry P · CIK 0001615842 · EVP & General Manager US

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,143

F1 · shares: Represents award of restricted stock units ("RSUs") that will vest 25% annually over four years, subject to Barry Flannelly's continued service with the issuer through the applicable vesting dates. The RSUs may be settled only for shares of common stock on a one-for-one basis.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:09 UTC
Dhanak DashyantEVP & Chief Scientific Officer
GrantEmployee Stock Option (right to buy) · Derivative 15,054 $0.00 Strike: $83.58 $0.00
Disclosure

SEC source: 0001209191-21-045780 · doc4.xml · derivative · entry 3

Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,054

Underlying: Common Stock · 15,054 shares

Expires 2031-07-01

F4 · derivative.exercise_date: Beginning July 2, 2021, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:09 UTC
Dhanak DashyantEVP & Chief Scientific Officer
Tax withholdingCommon Stock 1,573 $83.58 $131,471.34
Disclosure

SEC source: 0001209191-21-045780 · doc4.xml · nonDerivative · entry 2

Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,429

F2 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units or earned performance shares previously reported in Table I as common stock.

F3 · balance_after: Including the July 2, 2021 Restricted Stock Unit Grant, this includes an aggregate of 24,343 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance shares that have not vested.

Read SEC document
July 02, 2021 Filed Jul 7, 2021 20:09 UTC
Dhanak DashyantEVP & Chief Scientific Officer
GrantCommon Stock 7,853 $0.00 $0.00
Disclosure

SEC source: 0001209191-21-045780 · doc4.xml · nonDerivative · entry 1

Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,002

F1 · shares: Represents award of restricted stock units ("RSUs") that will vest 25% annually over four years, subject to Dashyant Dhanak's continued service with the issuer through the applicable vesting dates. The RSUs may be settled only for shares of common stock on a one-for-one basis.

Read SEC document
July 01, 2021 Filed Jul 2, 2021 23:15 UTC
Dhanak DashyantEVP & Chief Scientific Officer
SaleCommon Stock 396 $84.09 $33,299.64
Disclosure

SEC source: 0001209191-21-045189 · doc4.xml · nonDerivative · entry 1

Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,149

F1 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person.

F2 · balance_after: This includes an aggregate of 21,565 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance shares that have not vested.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 20:04 UTC
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
GrantCommon Stock 345 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000596 · doc4_7288.xml · nonDerivative · entry 5

BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner

667, L.P. · CIK 0001551139 · Director · 10% owner

Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner

Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner

BAKER FELIX · CIK 0001087940 · Director · 10% owner

BAKER JULIAN · CIK 0001087939 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 29,336,784

F4 · price: 345 shares of Common Stock issued to Julian C. Baker pursuant to the Issuer's Amended and Restated 2010 Stock Incentive Plan (the "Stock Incentive Plan") in lieu of quarterly director retainer fees of $29,000. The shares of Common Stock are fully vested. Julian C. Baker serves on the Issuer's board of directors (the "Board") as a representative of 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds").

F4 · ownership.nature: 345 shares of Common Stock issued to Julian C. Baker pursuant to the Issuer's Amended and Restated 2010 Stock Incentive Plan (the "Stock Incentive Plan") in lieu of quarterly director retainer fees of $29,000. The shares of Common Stock are fully vested. Julian C. Baker serves on the Issuer's board of directors (the "Board") as a representative of 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds").

F5 · ownership.nature: Pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), Julian C. Baker does not have a right to any of the Issuer's securities issued in lieu of director retainer fees and the Funds are entitled to an indirect proportionate pecuniary interest in the securities. The Funds each own an indirect proportionate pecuniary interest in the shares of Common Stock. Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the shares of Common Stock issued in lieu of director retainer fees, the non-qualified stock options ("Stock Options"), Common Stock issued upon exercise of Stock Options, restricted stock units (each an "RSU") payable solely in Common Stock and Common Stock received upon vesting of RSUs (ie. no direct pecuniary interest).

F7 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Brothers Life Sciences Capital, L.P. and (ii) Life Sciences, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to their interest in Life Sciences and Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences.

F8 · ownership.nature: Includes beneficial ownership of 6,076 shares of Common Stock previously issued to Julian C. Baker pursuant to the Stock Incentive Plan in lieu of director retainer fees, 4,725 shares of Common Stock, 2,802 of which were received previously from vested RSUs and 175,000 shares of Common Stock received previously from exercise of 175,000 Stock Options that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the Funds may be deemed to own a portion.

F9 · ownership.nature: The 345 shares are reported for each of the Funds as each has an indirect pecuniary interest.

F10 · ownership.nature: The Adviser serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds.

F11 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

F12 · ownership.nature: Pursuant to agreements between Julian C. Baker and the Adviser and the policies of the Adviser, the Adviser has voting and dispositive power over the Common Stock received in lieu of director retainer fees, Stock Options, RSUs and any Common Stock received as a result of the exercise of Stock Options or vesting of RSUs.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 20:04 UTC
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
GrantCommon Stock 345 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000596 · doc4_7288.xml · nonDerivative · entry 4

BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner

667, L.P. · CIK 0001551139 · Director · 10% owner

Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner

Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner

BAKER FELIX · CIK 0001087940 · Director · 10% owner

BAKER JULIAN · CIK 0001087939 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,873,017

F4 · price: 345 shares of Common Stock issued to Julian C. Baker pursuant to the Issuer's Amended and Restated 2010 Stock Incentive Plan (the "Stock Incentive Plan") in lieu of quarterly director retainer fees of $29,000. The shares of Common Stock are fully vested. Julian C. Baker serves on the Issuer's board of directors (the "Board") as a representative of 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds").

F4 · ownership.nature: 345 shares of Common Stock issued to Julian C. Baker pursuant to the Issuer's Amended and Restated 2010 Stock Incentive Plan (the "Stock Incentive Plan") in lieu of quarterly director retainer fees of $29,000. The shares of Common Stock are fully vested. Julian C. Baker serves on the Issuer's board of directors (the "Board") as a representative of 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds").

F5 · ownership.nature: Pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), Julian C. Baker does not have a right to any of the Issuer's securities issued in lieu of director retainer fees and the Funds are entitled to an indirect proportionate pecuniary interest in the securities. The Funds each own an indirect proportionate pecuniary interest in the shares of Common Stock. Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the shares of Common Stock issued in lieu of director retainer fees, the non-qualified stock options ("Stock Options"), Common Stock issued upon exercise of Stock Options, restricted stock units (each an "RSU") payable solely in Common Stock and Common Stock received upon vesting of RSUs (ie. no direct pecuniary interest).

F6 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP),LLC, due to their interest in 667 and Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667.

F8 · ownership.nature: Includes beneficial ownership of 6,076 shares of Common Stock previously issued to Julian C. Baker pursuant to the Stock Incentive Plan in lieu of director retainer fees, 4,725 shares of Common Stock, 2,802 of which were received previously from vested RSUs and 175,000 shares of Common Stock received previously from exercise of 175,000 Stock Options that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the Funds may be deemed to own a portion.

F9 · ownership.nature: The 345 shares are reported for each of the Funds as each has an indirect pecuniary interest.

F10 · ownership.nature: The Adviser serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds.

F11 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

F12 · ownership.nature: Pursuant to agreements between Julian C. Baker and the Adviser and the policies of the Adviser, the Adviser has voting and dispositive power over the Common Stock received in lieu of director retainer fees, Stock Options, RSUs and any Common Stock received as a result of the exercise of Stock Options or vesting of RSUs.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 11:32 UTC GrantCommon Stock 208 $84.13 $17,499.04
Disclosure

SEC source: 0001209191-21-044648 · doc4.xml · nonDerivative · entry 1

HARRIGAN EDMUND · CIK 0001177917 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,842

F1 · security: Restricted shares issued to the Reporting Person under the Issuer's Amended and Restated 2010 Stock Incentive Plan in lieu of quarterly director retainer fees pursuant to an election by the Reporting Person intended to comply with Rule 10b5-1. Restricted shares are fully vested.

F2 · balance_after: Includes an aggregate of 1,923 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 11:23 UTC GrantCommon Stock 214 $84.13 $18,003.82
Disclosure

SEC source: 0001209191-21-044646 · doc4.xml · nonDerivative · entry 1

DIXON WENDY L · CIK 0001202283 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,015

F1 · security: Restricted shares issued to the Reporting Person under the Issuer's Amended and Restated 2010 Stock Incentive Plan in lieu of quarterly director retainer fees pursuant to an election by the Reporting Person intended to comply with Rule 10b5-1. Restricted shares are fully vested.

F2 · balance_after: Includes an aggregate of 1,923 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 11:19 UTC GrantCommon Stock 238 $84.13 $20,022.94
Disclosure

SEC source: 0001209191-21-044644 · doc4.xml · nonDerivative · entry 1

FOUSE JACQUALYN A · CIK 0001405288 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,671

F1 · security: Restricted shares issued to the Reporting Person under the Issuer's Amended and Restated 2010 Stock Incentive Plan in lieu of quarterly director retainer fees pursuant to an election by the Reporting Person intended to comply with Rule 10b5-1. Restricted shares are fully vested.

F2 · balance_after: Includes an aggregate of 1,923 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
June 30, 2021 Filed Jul 2, 2021 11:16 UTC GrantCommon Stock 283 $84.13 $23,808.79
Disclosure

SEC source: 0001209191-21-044642 · doc4.xml · nonDerivative · entry 1

Clancy Paul J · CIK 0001409601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,300

F1 · security: Restricted shares issued to the Reporting Person under the Issuer's Amended and Restated 2010 Stock Incentive Plan in lieu of quarterly director retainer fees pursuant to an election by the Reporting Person intended to comply with Rule 10b5-1. Restricted shares are fully vested.

F2 · balance_after: Includes an aggregate of 1,923 shares of common stock issuable pursuant to previously reported restricted stock units that have not vested.

Read SEC document
June 29, 2021 Filed Jun 30, 2021 20:11 UTC
Wenqing YaoEVP, Head of Discovery Chem
SaleCommon Stock 27,194 $85.37 $2,321,551.78
Disclosure

SEC source: 0001209191-21-043975 · doc4.xml · nonDerivative · entry 2

Wenqing Yao · CIK 0001624033 · EVP, Head of Discovery Chem

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,080

F2 · shares: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person.

F3 · shares: Represents weighted average sale price. Actual sale prices ranged from $84.81 - $85.90.

F4 · shares: Reporting person undertakes to provide upon request by Securites and Exchange Commission, the issuer or a securityholder of the issuer detailed information regarding the price and number of shares sold within range indicated.

F5 · balance_after: This includes an aggregate of 58,222 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance shares that have not vested.

Read SEC document
June 28, 2021 Filed Jun 30, 2021 20:14 UTC
Stein Steven HEVP & Chief Medical Officer
Tax withholdingCommon Stock 22,079 $85.61 $1,890,183.19
Disclosure

SEC source: 0001209191-21-043978 · doc4.xml · nonDerivative · entry 1

Stein Steven H · CIK 0001673776 · EVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,665

F1 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units or earned performance shares previously reported in Table I as common stock.

F2 · balance_after: This includes an aggregate of 69,744 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance shares that have not vested.

Read SEC document
June 28, 2021 Filed Jun 30, 2021 20:11 UTC
Wenqing YaoEVP, Head of Discovery Chem
Tax withholdingCommon Stock 22,806 $85.61 $1,952,421.66
Disclosure

SEC source: 0001209191-21-043975 · doc4.xml · nonDerivative · entry 1

Wenqing Yao · CIK 0001624033 · EVP, Head of Discovery Chem

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,274

F1 · shares: Represents shares withheld automatically by the Issuer to satisfy tax withholding obligations due at settlement of restricted stock units or earned performance shares previously reported in Table I as common stock.

Read SEC document
June 18, 2021 Filed Jun 22, 2021 20:04 UTC
Pasquale Maria EEVP & General Counsel
Exercise / conversionIncentive Stock Option (right to buy) · Derivative 255 $0.00 Strike: $65.36 $0.00
Disclosure

SEC source: 0001209191-21-042374 · doc4.xml · derivative · entry 2

Pasquale Maria E · CIK 0001736295 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,294

Underlying: Common Stock · 255 shares

Expires 2028-04-09

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

F2 · derivative.exercise_date: Beginning April 9, 2018, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years.

Read SEC document
June 18, 2021 Filed Jun 22, 2021 20:04 UTC
Pasquale Maria EEVP & General Counsel
Exercise / conversionCommon Stock 255 $65.36 $16,666.80
Disclosure

SEC source: 0001209191-21-042374 · doc4.xml · nonDerivative · entry 1

Pasquale Maria E · CIK 0001736295 · EVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,193

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 · balance_after: This includes an aggregate of 22,302 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance stock units that have not vested.

Read SEC document
June 10, 2021 Filed Jun 14, 2021 20:28 UTC
Dhanak DashyantEVP & Chief Scientific Officer
Exercise / conversionNon-Qualified Stock Option (right to buy) · Derivative 3,845 $0.00 Strike: $65.42 $0.00
Disclosure

SEC source: 0001209191-21-040231 · doc4.xml · derivative · entry 3

Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,914

Underlying: Common Stock · 3,845 shares

Expires 2028-12-10

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_date: Beginning December 10, 2018, options become exercisable in 37 installments, with the first 25% vesting after one year and the remainder vesting monthly over three years.

Read SEC document
June 10, 2021 Filed Jun 14, 2021 20:28 UTC
Dhanak DashyantEVP & Chief Scientific Officer
SaleCommon Stock 3,845 $87.00 $334,515.00
Disclosure

SEC source: 0001209191-21-040231 · doc4.xml · nonDerivative · entry 2

Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,545

F1 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person.

F2 · balance_after: This includes an aggregate of 21,565 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance shares that have not vested.

Read SEC document
June 10, 2021 Filed Jun 14, 2021 20:28 UTC
Dhanak DashyantEVP & Chief Scientific Officer
Exercise / conversionCommon Stock 3,845 $65.42 $251,539.90
Disclosure

SEC source: 0001209191-21-040231 · doc4.xml · nonDerivative · entry 1

Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,390

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.

Read SEC document
June 01, 2021 Filed Jun 3, 2021 20:42 UTC
Dhanak DashyantEVP & Chief Scientific Officer
SaleCommon Stock 395 $84.13 $33,231.35
Disclosure

SEC source: 0001209191-21-037695 · doc4.xml · nonDerivative · entry 1

Dhanak Dashyant · CIK 0001760682 · EVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,545

F1 · price: This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by reporting person.

F2 · balance_after: This includes an aggregate of 21,565 shares of common stock issuable pursuant to previously reported restricted stock units and earned performance shares that have not vested.

Read SEC document
May 26, 2021 Filed May 28, 2021 20:17 UTC
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
GrantNon-Qualified Stock Options (right to buy) · Derivative 8,010 $0.00 Strike: $83.16 $0.00
Disclosure

SEC source: 0001638599-21-000475 · doc4_7220.xml · derivative · entry 6

BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner

667, L.P. · CIK 0001551139 · Director · 10% owner

Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner

Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner

BAKER FELIX · CIK 0001087940 · Director · 10% owner

BAKER JULIAN · CIK 0001087939 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 8,010

Underlying: Common Stock · 8,010 shares

Expires 2031-05-25

F13 · derivative.exercise_date: Stock Options granted to Julian C. Baker on May 26, 2021, pursuant to the Incentive Plan. The Stock Options with a strike price of $83.16 vest on the earlier of May 26, 2022, the date of the next annual shareholder meeting of the Issuer or upon a change of control as defined in the Incentive Plan.

F5 · ownership.nature: Julian C. Baker serves on the Issuer's Board of Directors (the "Board") as a representative of the Funds (as defined below). Pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), Julian C. Baker does not have a right to any of the Issuer's securities issued as part of his service on the Board and the Funds (as defined below) are entitled to receive all of the pecuniary interest in the securities issued. 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds") each owns an indirect proportionate pecuniary interest in the RSUs and Stock Options (defined below). Solely as a result of Julian C. Baker's and Felix J. Baker's ownership interest in the general partners of the general partners of the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the RSUs and non-qualified stock options ("Stock Options") exercisable solely into Common Stock.

F8 · ownership.nature: Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds as limited partners, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options, Common Stock issued upon exercise of Stock Options, RSUs and Common Stock received upon vesting of RSUs (i.e. no direct pecuniary interest).

F10 · ownership.nature: The disclosure of the grant of RSUs and Stock Options reported on this form is a single grant of 1,923 RSUs on Table I and 8,010 Stock Options on Table II. The 1,923 RSUs and 8,010 Stock Options are reported for each of the Funds as each has an indirect pecuniary interest in such securities.

F11 · ownership.nature: The Adviser serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds.

F12 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

F13 · ownership.nature: Stock Options granted to Julian C. Baker on May 26, 2021, pursuant to the Incentive Plan. The Stock Options with a strike price of $83.16 vest on the earlier of May 26, 2022, the date of the next annual shareholder meeting of the Issuer or upon a change of control as defined in the Incentive Plan.

F14 · ownership.nature: Pursuant to agreements between Julian C. Baker and the Adviser, the Adviser has voting and dispositive power over the Stock Options, RSUs and any Common Stock received as a result of the exercise of Stock Options or vesting of RSUs.

Read SEC document
May 26, 2021 Filed May 28, 2021 20:17 UTC
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
GrantCommon Stock 1,923 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000475 · doc4_7220.xml · nonDerivative · entry 5

BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner

667, L.P. · CIK 0001551139 · Director · 10% owner

Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner

Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner

BAKER FELIX · CIK 0001087940 · Director · 10% owner

BAKER JULIAN · CIK 0001087939 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 29,336,439

F4 · ownership.nature: Restricted Stock Units (each an "RSU") payable solely in Common Stock granted to Julian C. Baker on May 26, 2021, pursuant to the Amended and Restated 2010 Stock Incentive Plan ("Incentive Plan"). The RSUs fully vest on the earlier of May 26, 2022, the date of the next annual shareholder meeting of the Issuer or upon a change in control as defined in the Incentive Plan.

F5 · ownership.nature: Julian C. Baker serves on the Issuer's Board of Directors (the "Board") as a representative of the Funds (as defined below). Pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), Julian C. Baker does not have a right to any of the Issuer's securities issued as part of his service on the Board and the Funds (as defined below) are entitled to receive all of the pecuniary interest in the securities issued. 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds") each owns an indirect proportionate pecuniary interest in the RSUs and Stock Options (defined below). Solely as a result of Julian C. Baker's and Felix J. Baker's ownership interest in the general partners of the general partners of the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the RSUs and non-qualified stock options ("Stock Options") exercisable solely into Common Stock.

F7 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Brothers Life Sciences Capital, L.P. and (ii) Life Sciences, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to their interest in Life Sciences and Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences.

F8 · ownership.nature: Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds as limited partners, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options, Common Stock issued upon exercise of Stock Options, RSUs and Common Stock received upon vesting of RSUs (i.e. no direct pecuniary interest).

F9 · ownership.nature: Includes beneficial ownership of 6,076 shares of Common Stock issued to Julian C. Baker pursuant to the Stock Incentive Plan in lieu of director retainer fees, 4,725 shares of Common Stock, 2,802 of which were received previously, received from vested RSUs and 175,000 shares of Common Stock received from exercise of 175,000 Stock Options that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the Funds may be deemed to own a portion.

F10 · ownership.nature: The disclosure of the grant of RSUs and Stock Options reported on this form is a single grant of 1,923 RSUs on Table I and 8,010 Stock Options on Table II. The 1,923 RSUs and 8,010 Stock Options are reported for each of the Funds as each has an indirect pecuniary interest in such securities.

F11 · ownership.nature: The Adviser serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds.

F12 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

F14 · ownership.nature: Pursuant to agreements between Julian C. Baker and the Adviser, the Adviser has voting and dispositive power over the Stock Options, RSUs and any Common Stock received as a result of the exercise of Stock Options or vesting of RSUs.

Read SEC document
May 26, 2021 Filed May 28, 2021 20:17 UTC
BAKER BROS. ADVISORS LPDirector · 10% owner
667, L.P.Director · 10% owner
Baker Bros. Advisors (GP) LLCDirector · 10% owner
Baker Brothers Life Sciences LPDirector · 10% owner
BAKER FELIXDirector · 10% owner
BAKER JULIANDirector · 10% owner
GrantCommon Stock 1,923 $0.00 $0.00
Disclosure

SEC source: 0001638599-21-000475 · doc4_7220.xml · nonDerivative · entry 4

BAKER BROS. ADVISORS LP · CIK 0001263508 · Director · 10% owner

667, L.P. · CIK 0001551139 · Director · 10% owner

Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director · 10% owner

Baker Brothers Life Sciences LP · CIK 0001363364 · Director · 10% owner

BAKER FELIX · CIK 0001087940 · Director · 10% owner

BAKER JULIAN · CIK 0001087939 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,872,672

F4 · ownership.nature: Restricted Stock Units (each an "RSU") payable solely in Common Stock granted to Julian C. Baker on May 26, 2021, pursuant to the Amended and Restated 2010 Stock Incentive Plan ("Incentive Plan"). The RSUs fully vest on the earlier of May 26, 2022, the date of the next annual shareholder meeting of the Issuer or upon a change in control as defined in the Incentive Plan.

F5 · ownership.nature: Julian C. Baker serves on the Issuer's Board of Directors (the "Board") as a representative of the Funds (as defined below). Pursuant to the policies of Baker Bros. Advisors LP (the "Adviser"), Julian C. Baker does not have a right to any of the Issuer's securities issued as part of his service on the Board and the Funds (as defined below) are entitled to receive all of the pecuniary interest in the securities issued. 667, L.P. ("667") and Baker Brothers Life Sciences, L.P. ("Life Sciences", and together with 667, the "Funds") each owns an indirect proportionate pecuniary interest in the RSUs and Stock Options (defined below). Solely as a result of Julian C. Baker's and Felix J. Baker's ownership interest in the general partners of the general partners of the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the RSUs and non-qualified stock options ("Stock Options") exercisable solely into Common Stock.

F6 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in Common Stock reported in column 5 of Table I directly held by 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP),LLC, due to their interest in 667 and Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667.

F8 · ownership.nature: Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds as limited partners, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options, Common Stock issued upon exercise of Stock Options, RSUs and Common Stock received upon vesting of RSUs (i.e. no direct pecuniary interest).

F9 · ownership.nature: Includes beneficial ownership of 6,076 shares of Common Stock issued to Julian C. Baker pursuant to the Stock Incentive Plan in lieu of director retainer fees, 4,725 shares of Common Stock, 2,802 of which were received previously, received from vested RSUs and 175,000 shares of Common Stock received from exercise of 175,000 Stock Options that were issued to Julian C. Baker in his capacity as a director of the Issuer, of which the Funds may be deemed to own a portion.

F10 · ownership.nature: The disclosure of the grant of RSUs and Stock Options reported on this form is a single grant of 1,923 RSUs on Table I and 8,010 Stock Options on Table II. The 1,923 RSUs and 8,010 Stock Options are reported for each of the Funds as each has an indirect pecuniary interest in such securities.

F11 · ownership.nature: The Adviser serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds.

F12 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

F14 · ownership.nature: Pursuant to agreements between Julian C. Baker and the Adviser, the Adviser has voting and dispositive power over the Stock Options, RSUs and any Common Stock received as a result of the exercise of Stock Options or vesting of RSUs.

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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.