IOVA

SEC source: 0001104659-22-067763 · tm2217576d5_4seq1.xml · nonDerivative · entry 1

MCPEAK MERRILL A · CIK 0001210317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,150

F1 · balance_after: An aggregate of 200,000 shares previously held by the reporting person were transferred as a bona fide gift earlier in 2022.

SEC source: 0001104659-22-067762 · tm2217576d4_4seq1.xml · nonDerivative · entry 1

Maynard Ryan D · CIK 0001363984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

SEC source: 0001104659-22-067761 · tm2217576d3_4seq1.xml · nonDerivative · entry 2

WEISER MICHAEL · CIK 0001221449 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,632

SEC source: 0001104659-22-067761 · tm2217576d3_4seq1.xml · nonDerivative · entry 1

WEISER MICHAEL · CIK 0001221449 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,819

SEC source: 0001104659-22-067757 · tm2217576d1_4.xml · nonDerivative · entry 1

Rothbaum Wayne P. · CIK 0001423102 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Quogue Capital LLC

Disclosed balance after: 7,567,333

F2 · balance_after: The numbers reported in column 5 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock of the Issuer beneficially owned by Quogue Capital LLC.

F1 · ownership.nature: Such shares may be held directly by Quogue Capital LLC or are held by one or more entities controlled by Quogue Capital LLC. The reporting person is the sole managing member of Quogue Capital LLC, and therefore, he is deemed to beneficially own such shares of common stock of the Issuer.

SEC source: 0001104659-22-005598 · tm223806-3_4seq1.xml · derivative · entry 2

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,500

Underlying: Common Stock · 67,500 shares

Expires 2032-01-14

F3 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-22-005598 · tm223806-3_4seq1.xml · derivative · entry 1

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,750

Underlying: Common Stock · 33,750 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the RSUs shall vest over three years, with (i) one-third of the RSUs vesting on the one-year anniversary of the date of grant and (ii) the remaining RSUs shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

F2 · derivative.expiration_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the RSUs shall vest over three years, with (i) one-third of the RSUs vesting on the one-year anniversary of the date of grant and (ii) the remaining RSUs shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-22-005599 · tm223806-4_4seq1.xml · derivative · entry 1

Vogt Frederick G · CIK 0001719678 · Interim CEO & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the RSUs shall vest over three years, with (i) one-third of the RSUs vesting on the one-year anniversary of the date of grant and (ii) the remaining RSUs shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

F2 · derivative.expiration_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the RSUs shall vest over three years, with (i) one-third of the RSUs vesting on the one-year anniversary of the date of grant and (ii) the remaining RSUs shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-22-005596 · tm223806-1_4seq1.xml · derivative · entry 1

Bellemin Jean-Marc · CIK 0001754253 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,000

Underlying: Common Stock · 135,000 shares

Expires 2032-01-14

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-22-005597 · tm223806-2_4seq1.xml · derivative · entry 2

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,500

Underlying: Common Stock · 67,500 shares

Expires 2032-01-14

F3 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-22-005597 · tm223806-2_4seq1.xml · derivative · entry 1

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,750

Underlying: Common Stock · 33,750 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the RSUs shall vest over three years, with (i) one-third of the RSUs vesting on the one-year anniversary of the date of grant and (ii) the remaining RSUs shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

F2 · derivative.expiration_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the RSUs shall vest over three years, with (i) one-third of the RSUs vesting on the one-year anniversary of the date of grant and (ii) the remaining RSUs shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-21-088253 · tm2121236-5_4seq1.xml · derivative · entry 1

WEISER MICHAEL · CIK 0001221449 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2031-06-29

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant, such that the options will be fully vested and exercisable on June 29, 2022.

SEC source: 0001104659-21-088252 · tm2121236-4_4seq1.xml · derivative · entry 1

MCPEAK MERRILL A · CIK 0001210317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2031-06-29

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant, such that the options will be fully vested and exercisable on June 29, 2022.

SEC source: 0001104659-21-088251 · tm2121236-3_4seq1.xml · derivative · entry 1

Maynard Ryan D · CIK 0001363984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2031-06-29

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant, such that the options will be fully vested and exercisable on June 29, 2022.

SEC source: 0001104659-21-088249 · tm2121236-2_4seq1.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2031-06-29

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 17,500 each following the date of grant, such that the options will be fully vested and exercisable on June 29, 2022.

SEC source: 0001104659-21-088245 · tm2121236-1_4seq1.xml · derivative · entry 1

Countouriotis Athena · CIK 0001571469 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2031-06-29

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant, such that the options will be fully vested and exercisable on June 29, 2022.

SEC source: 0001104659-21-082068 · tm2119923-3_4seq1.xml · derivative · entry 1

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,380

Underlying: Common stock · 39,380 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the restricted stock units vest as follows: (i) one-half of such shares shall vest and be settled on the one-year anniversary of the date of grant; and (ii) the remaining shares shall vest and be settled on December 31, 2022.

F2 · derivative.expiration_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the restricted stock units vest as follows: (i) one-half of such shares shall vest and be settled on the one-year anniversary of the date of grant; and (ii) the remaining shares shall vest and be settled on December 31, 2022.

SEC source: 0001104659-21-082064 · tm2119923-1_4seq1.xml · derivative · entry 2

Vogt Frederick G · CIK 0001719678 · Interim CEO & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,900

Underlying: Common Stock · 73,900 shares

Expires 2031-06-14

F2 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-half of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest on December 31, 2022.

SEC source: 0001104659-21-082064 · tm2119923-1_4seq1.xml · derivative · entry 1

Vogt Frederick G · CIK 0001719678 · Interim CEO & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-06-14

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-21-082070 · tm2119923-4_4seq1.xml · derivative · entry 1

Bellemin Jean-Marc · CIK 0001754253 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,700

Underlying: Common stock · 37,700 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the restricted stock units vest as follows: (i) one-half of such shares shall vest and be settled on the one-year anniversary of the date of grant; and (ii) the remaining shares shall vest and be settled on December 31, 2022.

F2 · derivative.expiration_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the restricted stock units vest as follows: (i) one-half of such shares shall vest and be settled on the one-year anniversary of the date of grant; and (ii) the remaining shares shall vest and be settled on December 31, 2022.

SEC source: 0001104659-21-082066 · tm2119923-2_4seq1.xml · derivative · entry 1

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,700

Underlying: Common stock · 37,700 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the restricted stock units vest as follows: (i) one-half of such shares shall vest and be settled on the one-year anniversary of the date of grant; and (ii) the remaining shares shall vest and be settled on December 31, 2022.

F2 · derivative.expiration_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the restricted stock units vest as follows: (i) one-half of such shares shall vest and be settled on the one-year anniversary of the date of grant; and (ii) the remaining shares shall vest and be settled on December 31, 2022.

SEC source: 0001104659-21-037316 · tm219836d2_4.xml · derivative · entry 1

BILINSKY IGOR · CIK 0001594604 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common stock · 150,000 shares

Expires 2031-03-15

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-22-005600 · tm223806-5_5seq1.xml · nonDerivative · entry 1

MCPEAK MERRILL A · CIK 0001210317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 418,783

F1 · price: Shares transferred as a bona fide gift without any consideration.

SEC source: 0001104659-21-001573 · tm211898-2_4seq1.xml · derivative · entry 1

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-01-04

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-21-001571 · tm211898-1_4seq1.xml · derivative · entry 1

Vogt Frederick G · CIK 0001719678 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2031-01-04

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-21-001578 · tm211898-4_4seq1.xml · derivative · entry 1

Swartzburg Michael · CIK 0001659026 · Vice President, Finance (PAO)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2031-01-04

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-21-001577 · tm211898-3_4seq1.xml · derivative · entry 1

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2031-01-04

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-20-136547 · tm2038660d2_4.xml · derivative · entry 1

Bellemin Jean-Marc · CIK 0001754253 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common stock · 150,000 shares

Expires 2030-12-14

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

SEC source: 0001104659-20-072141 · tm2022303d5_4.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2030-06-07

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 17,500 each following the date of grant, such that the options will be fully vested and exercisable on June 8, 2021.

SEC source: 0001104659-20-072140 · tm2022303d4_4.xml · derivative · entry 1

MCPEAK MERRILL A · CIK 0001210317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2030-06-07

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant, such that the options will be fully vested and exercisable on June 8, 2021.

SEC source: 0001104659-20-072139 · tm2022303d3_4.xml · derivative · entry 1

WEISER MICHAEL · CIK 0001221449 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2030-06-07

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant, such that the options will be fully vested and exercisable on June 8, 2021.

SEC source: 0001104659-20-072138 · tm2022303d2_4.xml · derivative · entry 1

Maynard Ryan D · CIK 0001363984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2030-06-07

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant, such that the options will be fully vested and exercisable on June 8, 2021.

SEC source: 0001104659-20-072137 · tm2022303d1_4.xml · derivative · entry 1

Countouriotis Athena · CIK 0001571469 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2030-06-07

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant, such that the options will be fully vested and exercisable on June 8, 2021.

SEC source: 0001104659-20-069097 · tm2021603d1_4.xml · nonDerivative · entry 1

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 298,786

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

SEC source: 0001104659-20-056429 · tm2018523-1_4.xml · nonDerivative · entry 1

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,680

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested RSUs.

SEC source: 0001104659-20-043125 · tm2014835d1_4.xml · nonDerivative · entry 1

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 302,574

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested RSUs.

SEC source: 0001104659-20-029218 · tm2011589d1_4.xml · nonDerivative · entry 1

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,068

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested RSUs.

SEC source: 0001104659-20-011256 · tm206837-1_4.xml · nonDerivative · entry 1

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,389

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested RSUs.

SEC source: 0001104659-20-002087 · tm201473d2_4.xml · derivative · entry 1

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common stock · 75,000 shares

Expires 2030-01-02

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of the 75,000 shares shall vest on the one-year anniversary of January 3, 2020; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of January 3, 2020.

SEC source: 0001104659-20-002088 · tm201473d3_4.xml · derivative · entry 1

Vogt Frederick G · CIK 0001719678 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common stock · 150,000 shares

Expires 2030-01-02

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of the 150,000 shares shall vest on the one-year anniversary of January 3, 2020; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of January 3, 2020.

SEC source: 0001104659-20-002086 · tm201473d1_4.xml · derivative · entry 1

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common stock · 500,000 shares

Expires 2030-01-02

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of the 500,000 shares shall vest on the one-year anniversary of January 3, 2020; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of January 3, 2020.

SEC source: 0001104659-20-001682 · tm201275d1_4.xml · nonDerivative · entry 1

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,691

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested RSUs.

SEC source: 0001104659-19-070008 · tm1924459d2_4.xml · nonDerivative · entry 2

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,253

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070008 · tm1924459d2_4.xml · nonDerivative · entry 1

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,147

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 30

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,041

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 29

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,935

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 28

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,545

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001144204-19-035234 · tv525514_4.xml · derivative · entry 1

GRAF FINCKENSTEIN FRIEDRICH · CIK 0001782981 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 160,000 shares

Expires 2029-07-17

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) one-third of these options are exercisable on July 18, 2020; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first calendar quarter following the first anniversary of July 18, 2019.

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 27

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316,866

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001144204-19-030594 · tv523379_4.xml · derivative · entry 1

MCPEAK MERRILL A · CIK 0001210317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-06-09

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service, unless the Reporting Person is terminated for cause, in which case the options shall terminate immediately.