KALA

SEC source: 0001415889-23-010289 · form4-06232023_080621.xml · nonDerivative · entry 2

Myers C. Daniel · CIK 0001489533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,524

F3 · security: Grant of RSUs under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

F4 · balance_after: Includes 6,524 unvested RSUs.

SEC source: 0001415889-23-010289 · form4-06232023_080621.xml · nonDerivative · entry 1

Myers C. Daniel · CIK 0001489533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,424

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 5,424 unvested RSUs.

SEC source: 0001415889-23-010288 · form4-06232023_080619.xml · derivative · entry 4

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,150

Underlying: Common Stock · 3,150 shares

Expires 2033-06-21

F6 · derivative.exercise_date: This option was granted on June 22, 2023 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

SEC source: 0001415889-23-010288 · form4-06232023_080619.xml · derivative · entry 3

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,020

Underlying: Common Stock · 10,020 shares

Expires 2033-06-21

F5 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010288 · form4-06232023_080619.xml · nonDerivative · entry 2

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,172

F3 · security: Grant of RSUs under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

F4 · balance_after: Includes 12,172 unvested RSUs.

SEC source: 0001415889-23-010288 · form4-06232023_080619.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,772

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 10,772 unvested RSUs.

SEC source: 0001415889-23-010292 · form4-06232023_080626.xml · derivative · entry 4

Farid Marjan · CIK 0001952098 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2033-06-21

F6 · derivative.exercise_date: This option was granted on June 22, 2023 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

SEC source: 0001415889-23-010292 · form4-06232023_080626.xml · derivative · entry 3

Farid Marjan · CIK 0001952098 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,922

Underlying: Common Stock · 4,922 shares

Expires 2033-06-21

F5 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010292 · form4-06232023_080626.xml · nonDerivative · entry 2

Farid Marjan · CIK 0001952098 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,392

F3 · security: Grant of RSUs under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

F4 · balance_after: Includes 6,392 unvested RSUs.

SEC source: 0001415889-23-010292 · form4-06232023_080626.xml · nonDerivative · entry 1

Farid Marjan · CIK 0001952098 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,292

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 5,292 unvested RSUs.

SEC source: 0001415889-23-010291 · form4-06232023_080624.xml · derivative · entry 5

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2033-06-21

F7 · derivative.exercise_date: This option was granted on June 22, 2023 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

SEC source: 0001415889-23-010291 · form4-06232023_080624.xml · derivative · entry 4

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,651

Underlying: Common Stock · 10,651 shares

Expires 2033-06-21

F6 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010291 · form4-06232023_080624.xml · nonDerivative · entry 2

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,487

F3 · security: Grant of RSUs under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

F4 · balance_after: Includes 12,390 unvested RSUs.

SEC source: 0001415889-23-010291 · form4-06232023_080624.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,387

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 11,290 unvested RSUs.

SEC source: 0001415889-23-010287 · form4-06232023_080616.xml · derivative · entry 2

Kharabi Darius · CIK 0001893729 · CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,129

Underlying: Common Stock · 49,129 shares

Expires 2033-06-21

F3 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010287 · form4-06232023_080616.xml · nonDerivative · entry 1

Kharabi Darius · CIK 0001893729 · CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,902

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 49,020 unvested RSUs.

SEC source: 0001415889-23-010290 · form4-06232023_080622.xml · derivative · entry 4

PERRY GREGORY D · CIK 0001236371 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2033-06-21

F6 · derivative.exercise_date: This option was granted on June 22, 2023 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

SEC source: 0001415889-23-010290 · form4-06232023_080622.xml · derivative · entry 3

PERRY GREGORY D · CIK 0001236371 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,808

Underlying: Common Stock · 7,808 shares

Expires 2033-06-21

F5 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010290 · form4-06232023_080622.xml · nonDerivative · entry 2

PERRY GREGORY D · CIK 0001236371 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,494

F3 · security: Grant of RSUs under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

F4 · balance_after: Includes 9,494 unvested RSUs.

SEC source: 0001415889-23-010290 · form4-06232023_080622.xml · nonDerivative · entry 1

PERRY GREGORY D · CIK 0001236371 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,394

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 8,394 unvested RSUs.

SEC source: 0001415889-23-010284 · form4-06232023_080607.xml · derivative · entry 2

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,808

Underlying: Common Stock · 65,808 shares

Expires 2033-06-21

F3 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010284 · form4-06232023_080607.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,808

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 80,256 unvested RSUs.

SEC source: 0001415889-23-010283 · form4-06232023_080606.xml · derivative · entry 3

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,931

Underlying: Common Stock · 64,931 shares

Expires 2033-06-21

F3 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010283 · form4-06232023_080606.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,691

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 82,840 unvested RSUs.

SEC source: 0001415889-23-010282 · form4-06232023_080604.xml · derivative · entry 6

Blumenkranz Mark S. · CIK 0001614869 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2033-06-21

F8 · derivative.exercise_date: This option was granted on June 22, 2023 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

SEC source: 0001415889-23-010282 · form4-06232023_080604.xml · derivative · entry 5

Blumenkranz Mark S. · CIK 0001614869 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,046

Underlying: Common Stock · 5,046 shares

Expires 2033-06-21

F7 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010282 · form4-06232023_080604.xml · nonDerivative · entry 2

Blumenkranz Mark S. · CIK 0001614869 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,691

F3 · security: Grant of RSUs under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

F4 · balance_after: Includes 6,524 unvested RSUs.

SEC source: 0001415889-23-010282 · form4-06232023_080604.xml · nonDerivative · entry 1

Blumenkranz Mark S. · CIK 0001614869 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,591

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 5,424 unvested RSUs.

SEC source: 0001415889-23-010281 · form4-06232023_080601.xml · derivative · entry 2

Iwicki Mark T · CIK 0001415537 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211,831

Underlying: Common Stock · 211,831 shares

Expires 2033-06-21

F3 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010281 · form4-06232023_080601.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 276,554

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 272,795 unvested RSUs.

SEC source: 0001415889-23-009136 · form4-06022023_080614.xml · derivative · entry 9

Reumuth Mary · CIK 0001710969 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 648 shares

Expires 2032-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 11,313 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,423 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F11 · derivative.exercise_date: The canceled option was granted on January 3, 2022 and provided for the purchase of up to 1,620 shares of common stock of the issuer based on the level of achievement of specified performance metrics relating to financial, operational and scientific matters, of which, prior to the option exchange program, options to purchase 432 shares had vested, options to purchase 864 shares had been forfeited and options to purchase up to 324 shares were unvested assuming maximum level of achievement (options to purchase 216 shares were unvested assuming target level of achievement). The vested portion of the option and the unvested portion of the option assuming target level of achievement were eligible for the issuer's option exchange program.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009136 · form4-06022023_080614.xml · derivative · entry 8

Reumuth Mary · CIK 0001710969 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,059 shares

Expires 2032-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 11,313 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,423 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F10 · derivative.exercise_date: The canceled option was granted on January 3, 2022 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009136 · form4-06022023_080614.xml · derivative · entry 7

Reumuth Mary · CIK 0001710969 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,813 shares

Expires 2031-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 11,313 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,423 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F9 · derivative.exercise_date: The canceled option was granted on January 4, 2021 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009136 · form4-06022023_080614.xml · derivative · entry 6

Reumuth Mary · CIK 0001710969 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,399 shares

Expires 2030-01-01

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 11,313 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,423 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F8 · derivative.exercise_date: The canceled option was granted on January 2, 2020 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009136 · form4-06022023_080614.xml · derivative · entry 5

Reumuth Mary · CIK 0001710969 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,999 shares

Expires 2029-01-01

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 11,313 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,423 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F7 · derivative.exercise_date: The canceled option was granted on January 2, 2019 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009136 · form4-06022023_080614.xml · derivative · entry 4

Reumuth Mary · CIK 0001710969 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,399 shares

Expires 2028-02-06

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 11,313 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,423 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F6 · derivative.exercise_date: The canceled option was granted on February 7, 2018 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009136 · form4-06022023_080614.xml · derivative · entry 3

Reumuth Mary · CIK 0001710969 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 578 shares

Expires 2027-07-18

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 11,313 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,423 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F5 · derivative.exercise_date: The canceled option was granted on July 19, 2017 and provided for vesting over four years with 1/48th of the shares underlying the option vested on August 31, 2017 and an additional 1/48th of the shares vested at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009136 · form4-06022023_080614.xml · derivative · entry 2

Reumuth Mary · CIK 0001710969 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,841 shares

Expires 2025-06-17

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 11,313 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,423 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F4 · derivative.exercise_date: The canceled option was granted on June 17, 2016 and provided for vesting over four years with 1/48th of the shares underlying the option vested on April 8, 2015 and an additional 1/48th of the shares vested at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009136 · form4-06022023_080614.xml · nonDerivative · entry 1

Reumuth Mary · CIK 0001710969 · CHIEF FINANCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,619

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 11,313 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,423 RSUs that vest over three years, with 85% of such RSUs vesting on May 31, 2025 and 15% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Includes 24,412 unvested RSUs.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 8

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 648 shares

Expires 2032-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F10 · derivative.exercise_date: The canceled option was granted on January 3, 2022 and provided for the purchase of up to 1,620 shares of common stock of the issuer based on the level of achievement of specified performance metrics relating to financial, operational and scientific matters, of which, prior to the option exchange program, options to purchase 432 shares had vested, options to purchase 864 shares had been forfeited and options to purchase up to 324 shares were unvested assuming maximum level of achievement (options to purchase 216 shares were unvested assuming target level of achievement). The vested portion of the option and the unvested portion of the option assuming target level of achievement were eligible for the issuer's option exchange program.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 7

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,059 shares

Expires 2032-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F9 · derivative.exercise_date: The canceled option was granted on January 3, 2022 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 6

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,813 shares

Expires 2031-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F8 · derivative.exercise_date: The canceled option was granted on January 4, 2021 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 5

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,399 shares

Expires 2030-01-01

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F7 · derivative.exercise_date: The canceled option was granted on January 2, 2020 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 4

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,999 shares

Expires 2029-10-10

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F6 · derivative.exercise_date: The cancelled option was granted on October 11, 2019 and provided for vesting as to 1/48th of the shares underlying the option on November 15, 2019 and as to an additional 1/48th of the shares underlying the option at the end of each successive one month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 3

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,721 shares

Expires 2029-01-01

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F5 · derivative.exercise_date: The canceled option was granted on January 2, 2019 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 2

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2028-04-04

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F4 · derivative.exercise_date: The cancelled option was granted on April 5, 2018 and provided for vesting over four years beginning on the vesting commencement date of April 2, 2018, with 25% of the shares underlying the option vested on April 2, 2019, and an additional 1/48th of the shares underlying the option vested at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,134

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Includes 25,315 unvested RSUs.

SEC source: 0001415889-23-009141 · form4-06022023_080636.xml · derivative · entry 3

Myers C. Daniel · CIK 0001489533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 800 shares

Expires 2032-06-15

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 443 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 1,197 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F5 · derivative.exercise_date: The cancelled option was granted on June 16, 2022 and provided for vesting as to 100% of the shares underlying the option on the earlier of (i) June 16, 2023 or (ii) the date of the first annual meeting following June 16, 2022.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009141 · form4-06022023_080636.xml · derivative · entry 2

Myers C. Daniel · CIK 0001489533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 840 shares

Expires 2031-10-14

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 443 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 1,197 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F4 · derivative.exercise_date: The cancelled option was granted on October 15, 2021 and provided for vesting with respect to 1/3rd of the shares underlying the option on October 15, 2022 and as to an additional 1/36th of the shares underlying the option at the end of each successive one-month period thereafter until October 15, 2024.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009141 · form4-06022023_080636.xml · nonDerivative · entry 1

Myers C. Daniel · CIK 0001489533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,640

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 443 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 1,197 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Includes 1,640 unvested RSUs.