KALA

SEC source: 0001179110-20-000157 · edgar.xml · derivative · entry 1

Chen Hongming · CIK 0001710697 · Chief Scientific 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: 0001179110-20-000158 · edgar.xml · derivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical 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: 0001179110-20-000160 · edgar.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating 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: 0001179110-19-011016 · edgar.xml · derivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-10-11

F1 · derivative.exercise_date: This option vests as to 2.0833% of the shares underlying the option on November 15, 2019 and as to an additional 2.0833% of the shares underlying the option at the end of each successive one month period thereafter.

SEC source: 0001179110-19-011017 · edgar.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2029-10-11

F1 · derivative.exercise_date: This option vests as to 2.0833% of the shares underlying the option on November 15, 2019 and as to an additional 2.0833% of the shares underlying the option at the end of each successive one month period thereafter.

SEC source: 0001104659-20-078325 · a4.xml · derivative · entry 5

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,944 shares

Expires 2021-06-16

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: The option was fully vested.

SEC source: 0001104659-20-078325 · a4.xml · derivative · entry 4

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,880 shares

Expires 2023-05-10

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

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

SEC source: 0001104659-20-078325 · a4.xml · nonDerivative · entry 2

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,824

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: 0001104659-20-078325 · a4.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,880

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: 0001104659-19-034522 · a4.xml · derivative · entry 1

Grunberg Gregory · CIK 0001711080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2029-06-04

F1 · derivative.exercise_date: This option was granted on June 5, 2019 and vests with respect to 1/12th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001104659-19-034523 · a4.xml · derivative · entry 1

Paull Robert Bradley · CIK 0001711254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2029-06-04

F1 · derivative.exercise_date: This option was granted on June 5, 2019 and vests with respect to 1/12th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001104659-19-034520 · a4.xml · derivative · entry 1

Shah Rajeev M. · CIK 0001619841 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2029-06-04

F1 · derivative.exercise_date: This option was granted on June 5, 2019 and vests with respect to 1/12th of the shares underlying the option at the end of each successive one-month period thereafter.

F2 · ownership.direct: Pursuant to the terms of the RA Capital Healthcare Fund, L.P., net proceeds from the options are payable to RA Capital Management, LLC as an offset to management fees.

SEC source: 0001104659-19-034526 · a4.xml · derivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2029-06-04

F1 · derivative.exercise_date: This option was granted on June 5, 2019 and vests with respect to 1/12th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001104659-19-034524 · a4.xml · derivative · entry 1

PERRY GREGORY D · CIK 0001236371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2029-06-04

F1 · derivative.exercise_date: This option was granted on June 5, 2019 and vests with respect to 1/12th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001104659-19-034521 · a4.xml · derivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2029-06-04

F1 · derivative.exercise_date: This option was granted on June 5, 2019 and vests with respect to 1/12th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001104659-19-033349 · a4.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,240

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.38 to $5.49, inclusive. The reporting person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

SEC source: 0001179110-19-000455 · edgar.xml · derivative · entry 1

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2019 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: 0001179110-19-000457 · edgar.xml · derivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 165,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2019 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: 0001179110-19-000462 · edgar.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 460,000

Underlying: Common Stock · 460,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2019 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: 0001179110-19-000461 · edgar.xml · derivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2019 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: 0001179110-19-000460 · edgar.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 175,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2019 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: 0001179110-19-000459 · edgar.xml · derivative · entry 1

Chen Hongming · CIK 0001710697 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2019 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: 0001179110-18-012105 · edgar.xml · nonDerivative · entry 1

Grunberg Gregory · CIK 0001711080 · Director

10b5-1 filing: Not disclosed

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

Disclosed balance after: 2,877,006

F1 · ownership.nature: These shares are held by Longitude Venture Partners II, L.P. The Reporting Person is a member of Longitude Capital Partners II, LLC, the general partner of Longitude Venture Partners II, L.P., and may be deemed to share voting and investment power over these shares. The Reporting Person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

SEC source: 0001144204-18-052768 · tv504349_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: 4,537,478

F1 · shares: Includes (a) 2,000,301 shares of Common Stock that are held by RA Capital Healthcare Fund, L.P.(the "Fund") and (b) 423,941 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 3,727,401 shares and the Account held 810,077 shares.

F3 · ownership.nature: RA Capital Management, LLC (the "Adviser") is the general partner of the Fund and the investment adviser of the Account. Peter Kolchinsky is the sole manager of the Adviser, and Mr. Shah is a managing director of the Adviser. Mr. Shah has no pecuniary interest in the reported securities held in the Account and therefore disclaims beneficial ownership of those securities. Mr. Shah disclaims beneficial ownership of the reported securities held by the Fund except to the extent of his pecuniary interest therein.

SEC source: 0001144204-18-052767 · tv504348_4.xml · nonDerivative · entry 1

RA CAPITAL MANAGEMENT, LLC · 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: 4,537,478

F1 · shares: Includes (a) 2,000,301 shares of Common Stock that are held by RA Capital Healthcare Fund, L.P.(the "Fund") and (b) 423,941 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 3,727,401 shares and the Account held 810,077 shares.

F3 · ownership.nature: RA Capital Management, LLC (the "Adviser") is the general partner of the Fund and the investment adviser of the Account. Peter Kolchinsky is the sole manager of the Adviser. The Adviser and Dr. Kolchinsky disclaim beneficial ownership of the reported securities in reliance on Rule 16a-1(a)(1)(v) and (vii) and disclaim any obligation to file reports under Section 16 other than as directors by deputization. The Adviser and Dr. Kolchinsky have no pecuniary interest in the reported securities held in the Account and disclaim: (A) beneficial ownership thereof for purposes of Rule 16a-1(a)(2) and (B) 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.

SEC source: 0001179110-18-008526 · edgar.xml · derivative · entry 1

Grunberg Gregory · CIK 0001711080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,960

Underlying: Common Stock · 12,960 shares

Expires 2028-06-11

F1 · derivative.exercise_date: This option was granted on June 12, 2018 and vests in equal monthly installments until the one-year anniversary of the date of grant and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001179110-18-008527 · edgar.xml · derivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,960

Underlying: Common Stock · 12,960 shares

Expires 2028-06-11

F1 · derivative.exercise_date: This option was granted on June 12, 2018 and vests in equal monthly installments until the one-year anniversary of the date of grant and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001179110-18-008525 · edgar.xml · derivative · entry 1

Hill Paulina · CIK 0001710965 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,960

Underlying: Common Stock · 12,960 shares

Expires 2028-06-11

F1 · derivative.exercise_date: This option was granted on June 12, 2018 and vests in equal monthly installments until the one-year anniversary of the date of grant and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001179110-18-008523 · edgar.xml · derivative · entry 1

Paull Robert Bradley · CIK 0001711254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,960

Underlying: Common Stock · 12,960 shares

Expires 2028-06-11

F1 · derivative.exercise_date: This option was granted on June 12, 2018 and vests in equal monthly installments until the one-year anniversary of the date of grant and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001179110-18-008522 · edgar.xml · derivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,960

Underlying: Common Stock · 12,960 shares

Expires 2028-06-11

F1 · derivative.exercise_date: This option was granted on June 12, 2018 and vests in equal monthly installments until the one-year anniversary of the date of grant and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001179110-18-008574 · edgar.xml · derivative · entry 1

Shah Rajeev M. · CIK 0001619841 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,960

Underlying: Common Stock · 12,960 shares

Expires 2028-06-11

F1 · derivative.exercise_date: This option was granted on June 12, 2018 and vests in equal monthly installments until the one-year anniversary of the date of grant and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001179110-18-008573 · edgar.xml · derivative · entry 1

LANGER ROBERT · CIK 0001239757 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,960

Underlying: Common Stock · 12,960 shares

Expires 2028-06-11

F1 · derivative.exercise_date: This option was granted on June 12, 2018 and vests in equal monthly installments until the one-year anniversary of the date of grant and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001104659-20-078317 · a4.xml · nonDerivative · entry 2

Paull Robert Bradley · CIK 0001711254 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,074

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: 0001104659-20-078317 · a4.xml · nonDerivative · entry 1

Paull Robert Bradley · CIK 0001711254 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 597

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: 0001179110-18-005506 · edgar.xml · derivative · entry 1

Trachtenberg Eric · CIK 0001646300 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2028-04-04

F1 · derivative.exercise_date: This option was granted on April 5, 2018 and vests over four years beginning on the vesting commencement date of April 2, 2018, with 25% of the shares underlying the option vesting on April 2, 2019, and an additional 2.0833% of the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001179110-18-003330 · edgar.xml · derivative · entry 1

PERRY GREGORY D · CIK 0001236371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,920

Underlying: Common Stock · 25,920 shares

Expires 2028-02-28

F1 · derivative.exercise_date: This option was granted on February 28, 2018 and vests with respect to 1/3 of the shares on the first anniversary of the grant and with respect to an additional 1/36th of the shares on each monthly anniversary thereafter and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001179110-18-003327 · edgar.xml · derivative · entry 4

Chen Hongming · CIK 0001710697 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,769 shares

Expires 2023-09-27

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 with respect to these shares is fully vested.

SEC source: 0001179110-18-003327 · edgar.xml · derivative · entry 3

Chen Hongming · CIK 0001710697 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,236

Underlying: Common Stock · 4,000 shares

Expires 2024-10-02

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 October 2, 2014 and vests over four years, with 2.0833% of the shares underlying the option vested on August 21, 2014 and an additional 2.0833% of the shares vesting at the end of each successive one-month period thereafter.

SEC source: 0001179110-18-003327 · edgar.xml · nonDerivative · entry 2

Chen Hongming · CIK 0001710697 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,849

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: 0001179110-18-003327 · edgar.xml · nonDerivative · entry 1

Chen Hongming · CIK 0001710697 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,080

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: 0000947871-18-000123 · ss79588_4.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VI LLC · CIK 0001682115 · 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: 3,447,840

F1 · price: The price reported in Column 4 is a weighted average price. These shares of the Issuer's common stock ("Shares") were purchased in multiple transactions at prices ranging from $12.68 to $13.08 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission full information regarding the Shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI VI.

F3 · ownership.nature: This report on Form 4 is jointly filed by GP VI and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.

SEC source: 0001179110-18-001888 · edgar.xml · derivative · entry 1

LaRussa Michele · CIK 0001710578 · Sr. VP, Regulatory and Quality

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2028-02-06

F1 · derivative.exercise_date: This option was granted on February 7, 2018 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: 0001179110-18-001889 · edgar.xml · derivative · entry 1

Reumuth Mary · CIK 0001710969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-02-06

F1 · derivative.exercise_date: This option was granted on February 7, 2018 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: 0001179110-18-001894 · edgar.xml · derivative · entry 1

Bazemore Todd · CIK 0001605767 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-02-06

F1 · derivative.exercise_date: This option was granted on February 7, 2018 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: 0001179110-18-001893 · edgar.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,000

Underlying: Common Stock · 230,000 shares

Expires 2028-02-06

F1 · derivative.exercise_date: This option was granted on February 7, 2018 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: 0001179110-18-001891 · edgar.xml · derivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-02-06

F1 · derivative.exercise_date: This option was granted on February 7, 2018 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: 0001179110-18-001890 · edgar.xml · derivative · entry 1

Chen Hongming · CIK 0001710697 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-02-06

F1 · derivative.exercise_date: This option was granted on February 7, 2018 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: 0000947871-18-000106 · ss78825_4.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VI LLC · CIK 0001682115 · 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: 3,422,840

F1 · price: The price reported in Column 4 is a weighted average price. These shares of the Issuer's common stock ("Shares") were purchased in multiple transactions at prices ranging from $14.56 to $14.97 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission full information regarding the Shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI VI.

F3 · ownership.nature: This report on Form 4 is jointly filed by GP VI and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.

SEC source: 0000947871-18-000094 · ss78434_4.xml · nonDerivative · entry 2

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VI LLC · CIK 0001682115 · 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: 3,385,000

F2 · price: The price reported in Column 4 is a weighted average price. These Shares were purchased in multiple transactions at prices ranging from $14.93 to $15.25 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the SEC full information regarding the Shares purchased at each separate price within the range set forth in this footnote.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI VI.

F4 · ownership.nature: This report on Form 4 is jointly filed by GP VI and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.

SEC source: 0000947871-18-000094 · ss78434_4.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP VI LLC · CIK 0001682115 · 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: 3,362,160

F1 · price: The price reported in Column 4 is a weighted average price. These shares of the Issuer's common stock ("Shares") were purchased in multiple transactions at prices ranging from $14.97 to $15.25 inclusive. Upon request, the Reporting Persons undertakes to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission (the "SEC") full information regarding the Shares purchased at each separate price within the range set forth in this footnote.

F3 · ownership.nature: These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the sole general partner of OPI VI, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP VI. By virtue of such relationships, GP VI and Advisors may be deemed to have voting and investment power with respect to the securities held by OPI VI noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI VI.

F4 · ownership.nature: This report on Form 4 is jointly filed by GP VI and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purposes of Section 16 of the Exchange Act, or for any other purposes.