KALA

SEC source: 0001179110-21-000169 · edgar.xml · derivative · entry 3

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2031-01-03

F4 · derivative.exercise_date: This option was granted on January 4, 2021 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-21-000169 · edgar.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 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 January 4, 2022, as to 1/3 of the shares underlying the RSUs on January 4, 2023 and as to the final 1/3 of shares underlying the RSUs on January 4, 2024.

F2 · balance_after: Includes 127,500 unvested RSUs.

SEC source: 0001179110-21-000168 · edgar.xml · derivative · entry 2

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,000

Underlying: Common Stock · 303,000 shares

Expires 2031-01-03

F3 · derivative.exercise_date: This option was granted on January 4, 2021 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-21-000168 · edgar.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,860

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 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 January 4, 2022, as to 1/3 of the shares underlying the RSUs on January 4, 2023 and as to the final 1/3 of shares underlying the RSUs on January 4, 2024.

F2 · balance_after: Includes 303,860 unvested RSUs.

SEC source: 0001179110-20-010706 · edgar.xml · nonDerivative · entry 1

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,293

F1 · security: On June 25, 2020, the reporting person was granted performance-based restricted stock unit ("RSUs") under the Issuer's 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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on October 26, 2021, the first anniversary of the achievement of the performance condition, and as to the remaining 50% of the shares underlying the RSUs on October 26, 2022, the second anniversary of the achievement of the performance condition.

F2 · balance_after: Includes 77,000 unvested RSUs.

SEC source: 0001179110-20-010710 · edgar.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,901

F1 · security: On June 25, 2020, the reporting person was granted performance-based restricted stock unit ("RSUs") under the Issuer's 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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on October 26, 2021, the first anniversary of the achievement of the performance condition, and as to the remaining 50% of the shares underlying the RSUs on October 26, 2022, the second anniversary of the achievement of the performance condition.

F2 · balance_after: Includes 77,000 unvested RSUs.

SEC source: 0001179110-20-010709 · edgar.xml · nonDerivative · entry 1

Chen Hongming · CIK 0001710697 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,849

F1 · security: On June 25, 2020, the reporting person was granted performance-based restricted stock unit ("RSUs") under the Issuer's 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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on October 26, 2021, the first anniversary of the achievement of the performance condition, and as to the remaining 50% of the shares underlying the RSUs on October 26, 2022, the second anniversary of the achievement of the performance condition.

F2 · balance_after: Includes 77,000 unvested RSUs.

SEC source: 0001179110-20-010708 · edgar.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,496

F1 · security: On June 25, 2020, the reporting person was granted performance-based restricted stock unit ("RSUs") under the Issuer's 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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on October 26, 2021, the first anniversary of the achievement of the performance condition, and as to the remaining 50% of the shares underlying the RSUs on October 26, 2022, the second anniversary of the achievement of the performance condition.

F2 · balance_after: Includes 100,000 unvested RSUs.

SEC source: 0001179110-20-010711 · edgar.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

F1 · security: On June 25, 2020, the reporting person was granted performance-based restricted stock unit ("RSUs") under the Issuer's 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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on October 26, 2021, the first anniversary of the achievement of the performance condition, and as to the remaining 50% of the shares underlying the RSUs on October 26, 2022, the second anniversary of the achievement of the performance condition.

F2 · balance_after: Includes 100,000 unvested RSUs.

SEC source: 0001179110-20-010707 · edgar.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,860

F1 · security: On June 25, 2020, the reporting person was granted performance-based restricted stock unit ("RSUs") under the Issuer's 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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on October 26, 2021, the first anniversary of the achievement of the performance condition, and as to the remaining 50% of the shares underlying the RSUs on October 26, 2022, the second anniversary of the achievement of the performance condition.

F2 · balance_after: Includes 227,860 unvested RSUs.

SEC source: 0001179110-20-010711 · edgar.xml · nonDerivative · entry 3

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By son

Disclosed balance after: 42

F3 · date: These transactions are being reported late because these shares were acquired by the reporting person's adult son without the reporting person's knowledge.

F4 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0001104659-20-078328 · a4.xml · nonDerivative · entry 1

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,293

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on June 25, 2021 and the remaining 50% of the shares underlying the RSUs on June 25, 2022.

F2 · balance_after: Includes 16,000 unvested RSUs.

SEC source: 0001104659-20-078310 · a4.xml · nonDerivative · entry 1

Grunberg Gregory · CIK 0001711080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 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 with the Issuer, the RSUs will vest as to 100% of the shares underlying the RSUs on the earlier of (i) June 25, 2021 or (ii) the date of the first annual meeting following June 25, 2020.

F2 · balance_after: Includes 20,000 unvested RSUs.

SEC source: 0001104659-20-078332 · a4.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,901

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on June 25, 2021 and the remaining 50% of the shares underlying the RSUs on June 25, 2022.

F2 · balance_after: Includes 16,000 unvested RSUs.

SEC source: 0001104659-20-078330 · a4.xml · nonDerivative · entry 1

Shah Rajeev M. · CIK 0001619841 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive plan. Each RSU represents a contingent right to receive one share of the Issuer's comman stock. Subject to the reporting person's continued service with the Issuer, the RSUs will vest as to 100% of the shares underlying the RSUs on the ealier of (i) june 25, 2021 or (ii) the date of the first annual meeting following june 25, 2020.

F2 · balance_after: Includes 20,000 unvested RSUs.

SEC source: 0001104659-20-078327 · a4.xml · nonDerivative · entry 1

PERRY GREGORY D · CIK 0001236371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 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 with the Issuer, the RSUs will vest as to 100% of the shares underlying the RSUs on the earlier of (i) June 25, 2021 or (ii) the date of the first annual meeting following June 25, 2020.

F2 · balance_after: Includes 20,000 unvested RSUs.

SEC source: 0001104659-20-078326 · a4.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,824

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 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 with the Issuer, the RSUs will vest as to 100% of the shares underlying the RSUs on the earlier of (i) June 25, 2021 or (ii) the date of the first annual meeting following June 25, 2020.

F2 · balance_after: Includes 20,000 unvested RSUs.

SEC source: 0001104659-20-078323 · a4.xml · nonDerivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,560

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on June 25, 2021 and the remaining 50% of the shares underlying the RSUs on June 25, 2022.

F2 · balance_after: Includes 49,560 unvested RSUs.

SEC source: 0001104659-20-078319 · a4.xml · nonDerivative · entry 1

Paull Robert Bradley · CIK 0001711254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 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 with the Issuer, the RSUs will vest as to 100% of the shares underlying the earlier of (i) June 25, 2021 or (ii) the date of the first annual meeting following June 25, 2020.

F2 · balance_after: Includes 20,000 unvested RSUs

SEC source: 0001104659-20-078287 · a4.xml · nonDerivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right two receive one share of the Issuer's common stock. Subject to the reporting person's continued service with the Issuer, the RSUs will vest as to 100% of the shares underlying the RSUs on the earlier of (i) June 25, 2021 or (ii) the date of the first annual meeting following June 25, 2020.

F2 · balance_after: Includes 28,000 unvested RSUs.

SEC source: 0001104659-20-078309 · a4.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,496

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 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 empoyment with Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on June 25, 2021 and the remaining 50% of the shares underlying the RSUs on June 25, 2022.

F2 · balance_after: Includes 19,000 unvested RSUs.

SEC source: 0001104659-20-078279 · a4.xml · nonDerivative · entry 1

Chen Hongming · CIK 0001710697 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,849

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on June 25, 2021 and the remaining 50% of the shares underlying the RSUs on June 25, 2022.

F2 · balance_after: Includes 16,000 unvested RSUs.

SEC source: 0001104659-20-078271 · a4.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,000

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 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 the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on June 25, 2021 and the remaining 50% of the shares underlying the RSUs on June 25, 2022.

F2 · balance_after: Includes 19,000 unvested RSUs.

SEC source: 0001179110-20-007674 · edgar.xml · derivative · entry 2

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,099

Underlying: Common Stock · 28,901 shares

Expires 2029-01-01

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

F1 · derivative.exercise_date: This option was granted on January 2, 2019 and vests over four years, with 1/48th of the shares underlying the option vesting at the end of each successive one-month period following the date of grant.

SEC source: 0001179110-20-007674 · edgar.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,901

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

SEC source: 0001179110-20-007239 · edgar.xml · derivative · entry 8

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,520 shares

Expires 2024-10-01

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

F5 · derivative.exercise_date: The option was fully vested.

SEC source: 0001179110-20-007239 · edgar.xml · derivative · entry 7

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,360 shares

Expires 2024-12-03

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

F4 · derivative.exercise_date: The option was fully vested.

SEC source: 0001179110-20-007239 · edgar.xml · derivative · entry 6

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,077 shares

Expires 2025-10-01

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

F3 · derivative.exercise_date: The option was fully vested.

SEC source: 0001179110-20-007239 · edgar.xml · derivative · entry 5

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,520 shares

Expires 2024-10-01

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

F2 · derivative.exercise_date: The option was fully vested.

SEC source: 0001179110-20-007239 · edgar.xml · nonDerivative · entry 4

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,293

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

SEC source: 0001179110-20-007239 · edgar.xml · nonDerivative · entry 3

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,773

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

SEC source: 0001179110-20-007239 · edgar.xml · nonDerivative · entry 2

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,413

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

SEC source: 0001179110-20-007239 · edgar.xml · nonDerivative · entry 1

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,336

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

F1 · balance_after: Includes 4,816 shares acquired under the Issuer's Amended and Restated 2017 Employee Stock Purchase Plan on June 28, 2019.

SEC source: 0001179110-20-010711 · edgar.xml · nonDerivative · entry 2

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By son

Disclosed balance after: 2

F3 · date: These transactions are being reported late because these shares were acquired by the reporting person's adult son without the reporting person's knowledge.

F4 · balance_after: The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0001179110-20-004834 · edgar.xml · derivative · entry 6

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,508

Underlying: Common Stock · 47,677 shares

Expires 2026-06-16

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

F3 · derivative.exercise_date: This option was granted on June 17, 2016 and vests over four years, with 25% of the shares underlying the option vesting on June 17, 2017 and an additional 2.0833% vesting at the end of each successive one-month period thereafter.

SEC source: 0001179110-20-004834 · edgar.xml · derivative · entry 5

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,247 shares

Expires 2021-10-01

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

F2 · derivative.exercise_date: The option became fully vested on September 25, 2018.

SEC source: 0001179110-20-004834 · edgar.xml · derivative · entry 4

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,880 shares

Expires 2023-05-09

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

F1 · derivative.exercise_date: The option became fully vested on December 31, 2017.

SEC source: 0001179110-20-004834 · edgar.xml · nonDerivative · entry 3

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,496

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

SEC source: 0001179110-20-004834 · edgar.xml · nonDerivative · entry 2

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,852

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

SEC source: 0001179110-20-004834 · edgar.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,605

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

SEC source: 0001179110-20-004335 · edgar.xml · derivative · entry 2

Chen Hongming · CIK 0001710697 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,236

Underlying: Common Stock · 31,000 shares

Expires 2024-10-01

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

F1 · derivative.exercise_date: The option became fully vested on July 21, 2018.

SEC source: 0001179110-20-004335 · edgar.xml · nonDerivative · entry 1

Chen Hongming · CIK 0001710697 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,849

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

SEC source: 0001179110-20-003841 · edgar.xml · nonDerivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001104659-20-033392 · tm2012762-1_4.xml · nonDerivative · entry 1

Shah Rajeev M. · CIK 0001619841 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 10,874,613

F1 · shares: Includes (a) 5,459,503 shares of Common Stock that are held by RA Capital Healthcare Fund, L.P.(the "Fund") and (b) 877,632 shares of Common Stock that are held in an account owned by a separately managed account (the "Account").

F2 · balance_after: Following the reported transaction, the Fund held 9,186,904 shares and the Account held 1,687,709 shares.

F3 · ownership.nature: RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund and the Account. The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. The Adviser, the Adviser GP, Dr. Kolchinsky, and Mr. Shah may be deemed indirect beneficial owners of the reported securities for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Act"). They disclaim beneficial ownership of any of the reported securities for the purpose of determining whether they are subject to Section 16 of the Act, however, in reliance on Rule 16a-1(a)(1)(v) and (vii).

F4 · ownership.nature: Mr. Shah has no pecuniary interest in the reported securities held by the Account and therefore disclaims beneficial ownership of those securities for purposes of Rule 16a-1(a)(2). Mr. Shah disclaims beneficial ownership of the reported securities held by the Fund for purposes of Rule 16a-1(a)(2) except to the extent of his pecuniary interest therein.

SEC source: 0001104659-20-033391 · tm2012762-2_4.xml · nonDerivative · entry 1

RA CAPITAL MANAGEMENT, L.P. · CIK 0001346824 · Director · 10% owner

RA Capital Healthcare Fund LP · CIK 0001315082 · Director · 10% owner

Kolchinsky Peter · CIK 0001384859 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 10,874,613

F1 · shares: Includes (a) 5,459,503 shares of Common Stock that are held by RA Capital Healthcare Fund, L.P.(the "Fund") and (b) 877,632 shares of Common Stock that are held in an account owned by a separately managed account (the "Account").

F2 · balance_after: Following the reported transaction, the Fund held 9,186,904 shares and the Account held 1,687,709 shares.

F3 · ownership.nature: RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund and the Account. The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. The Adviser, the Adviser GP, Dr. Kolchinsky, and Mr. Shah may be deemed indirect beneficial owners of the reported securities for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Act").

F4 · ownership.nature: They disclaim beneficial ownership of any of the reported securities for the purpose of determining whether they are subject to Section 16 of the Act, however, in reliance on Rule 16a-1(a)(1)(v) and (vii). To the extent that they might be deemed subject to Section 16, they disclaim beneficial ownership of securities held by the Fund for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein, and disclaim any pecuniary interest in securities held in the Account for purposes of Rule 16a-1(a)(2).

F5 · ownership.nature: The filing of this Form 4 shall not be construed as an admission that either the Adviser, the Adviser GP, Dr. Kolchinsky, or Mr. Shah is or was for the purposes of Section 16(a), or otherwise, the beneficial owner of any of the securities held in the Account.

SEC source: 0001179110-20-003675 · edgar.xml · nonDerivative · entry 1

Grunberg Gregory · CIK 0001711080 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Longitude Venture Partners IV, L.P.

Disclosed balance after: 2,534,854

F1 · ownership.nature: Longitude Capital Partners IV, LLC ("LCP IV") is the general partner of Longitude Venture Partners IV, L.P. ("LVP IV") and may be deemed to have voting, investment and dispositive power with respect to such securities. Patrick G. Enright, Juliet Tammenoms Bakker are the managing members of LCP IV. Each of LCP IV, Mr. Enright, Ms. Tammenoms Bakker and the Reporting Person (a member of the Issuer's board of directors) disclaim beneficial ownership over such securities except to the extent of their respective pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

SEC source: 0001104659-20-078317 · a4.xml · nonDerivative · entry 3

Paull Robert Bradley · CIK 0001711254 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,361

F1 · kind: Pro rata distribution for no consideration to the reporting person from Lux Ventures II, L.P., of which the reporting person is a non-managing member.

F2 · balance_after: Prior reports filed on July 19, 2017 and July 26, 2017 by the reporting person overstated the number of shares beneficially owned by Mr. Paull by 1,204,937 shares by incorrectly reporting that Mr. Paull had beneficial ownership of 1,156,441 shares held directly by Lux Ventures II, L.P. and 48,496 shares held by Lux Ventures II Sidecar, L.P.

F3 · ownership.nature: These shares are owned directly by The paull Revocable Trust U/A/D 04/06/2012 (the "Trust"), and indirectly by Mr. Paull as co-trustee of the Trust.

SEC source: 0001179110-20-000156 · edgar.xml · derivative · entry 1

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2030-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2020 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-20-000154 · edgar.xml · derivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2030-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2020 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-20-000161 · edgar.xml · derivative · entry 1

Iwicki Mark T · CIK 0001415537 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,000

Underlying: Common Stock · 365,000 shares

Expires 2030-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2020 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.