LONA

SEC source: 0001209191-21-039625 · doc4a.xml · nonDerivative · entry 2

CHURCH KEVIN · CIK 0001822499 · Vice President of Discovery

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,318

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: 0001209191-21-036913 · doc4.xml · derivative · entry 1

EDELMAN JOSEPH · CIK 0001164426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,871

Underlying: Common Stock · 13,871 shares

Expires 2031-05-27

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 28, 2022, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 28, 2021.

SEC source: 0001209191-21-036916 · doc4.xml · derivative · entry 1

Yamada Tadataka · CIK 0001402530 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,871

Underlying: Common Stock · 13,871 shares

Expires 2031-05-27

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 28, 2022, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 28, 2021.

SEC source: 0001062993-21-005266 · form4.xml · derivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 13,871

Underlying: Common Stock · 13,871 shares

Expires 2031-05-27

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 28, 2022, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 28, 2021.

F2 · ownership.nature: Consists of options to purchase shares of the Issuer's common stock awarded to Joseph Edelman in connection with his role as a member of the Issuer's Board of Directors. Mr. Edelman is the managing member of Perceptive Advisors LLC (the "Advisor"). The Advisor may be deemed to have an indirect pecuniary interest in the options to purchase common stock of the Issuer reported herein because the Advisor has the right to receive the director compensation provided in respect of Mr. Edelman's board service through a partial management fee offset.

SEC source: 0001209191-21-036919 · doc4.xml · derivative · entry 1

FLUKE JOHN M JR · CIK 0001191906 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,871

Underlying: Common Stock · 13,871 shares

Expires 2031-05-27

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 28, 2022, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 28, 2021.

SEC source: 0001209191-21-036915 · doc4.xml · derivative · entry 1

JOHNSON JAMES A · CIK 0001225501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,871

Underlying: Common Stock · 13,871 shares

Expires 2031-05-27

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 28, 2022, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 28, 2021.

SEC source: 0001209191-21-039625 · doc4a.xml · nonDerivative · entry 1

CHURCH KEVIN · CIK 0001822499 · Vice President of Discovery

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,166

F1 · security: The original Form 4 filed on June 9, 2021 is being amended to voluntarily report the acquisition of shares of the issuer's common stock pursuant to the Athira Pharma, Inc. 2020 Employee Stock Purchase Plan ("ESPP"), for the ESPP Purchase Period (as defined in the ESPP) of October 2, 2020 through May 18, 2021. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 18, 2021 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began October 2, 2020.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the initial public offering price from the issuer's initial public offering.

SEC source: 0001209191-21-039627 · doc4.xml · nonDerivative · entry 1

MILESON GLENNA · CIK 0001822241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,519

F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Athira Pharma, Inc. 2020 Employee Stock Purchase Plan ("ESPP"), for the ESPP Purchase Period (as defined in the ESPP) of October 2, 2020 through May 18, 2021. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 18, 2021 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began October 2, 2020.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the initial public offering price from the issuer's initial public offering.

SEC source: 0001209191-21-047601 · doc4.xml · nonDerivative · entry 1

MOEBIUS HANS · CIK 0001822494 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,055

F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Athira Pharma, Inc. 2020 Employee Stock Purchase Plan ("ESPP"), for the ESPP Purchase Period (as defined in the ESPP) of September 17, 2020 through May 18, 2021. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 18, 2021 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began September 17, 2020.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the initial public offering price from the issuer's initial public offering.

SEC source: 0001209191-21-052564 · doc4.xml · nonDerivative · entry 1

Litton Mark James · CIK 0001604834 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,433

F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Athira Pharma, Inc. 2020 Employee Stock Purchase Plan ("ESPP"), for the ESPP Purchase Period (as defined in the ESPP) of September 17, 2020 through May 18, 2021. This transaction is also exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 18, 2021 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began September 17, 2020.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the initial public offering price from the issuer's initial public offering.

SEC source: 0001209191-21-018569 · doc4.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,742

Underlying: Common Stock · 27,742 shares

Expires 2031-03-03

F1 · derivative.exercise_date: One thirty-sixth of the shares subject to the option will vest on April 4, 2021 and one thirty-sixth of the shares subject to the option will vest each month thereafter.

SEC source: 0001209191-21-012813 · doc4.xml · derivative · entry 1

CHURCH KEVIN · CIK 0001822499 · Vice President of Discovery

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2031-02-17

F1 · derivative.exercise_date: One-fourth of the shares subject to the option will vest on January 8, 2022, and one-fourth of the shares subject to the option will vest on each year thereafter.

SEC source: 0001209191-21-012819 · doc4.xml · derivative · entry 1

Litton Mark James · CIK 0001604834 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2031-02-17

F1 · derivative.exercise_date: One-fourth of the shares subject to the option will vest on January 8, 2022, and one-fourth of the shares subject to the option will vest on each year thereafter.

SEC source: 0001209191-21-012823 · doc4.xml · derivative · entry 1

MOEBIUS HANS · CIK 0001822494 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,000

Underlying: Common Stock · 72,000 shares

Expires 2031-02-17

F1 · derivative.exercise_date: One-fourth of the shares subject to the option will vest on January 8, 2022, and one-fourth of the shares subject to the option will vest on each year thereafter.

SEC source: 0001209191-21-012822 · doc4.xml · derivative · entry 1

MILESON GLENNA · CIK 0001822241 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,500

Underlying: Common Stock · 73,500 shares

Expires 2031-02-17

F1 · derivative.exercise_date: One-fourth of the shares subject to the option will vest on January 8, 2022, and one-fourth of the shares subject to the option will vest on each year thereafter.

SEC source: 0001209191-21-012816 · doc4.xml · derivative · entry 1

KAWAS LEEN · CIK 0001822491 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,000

Underlying: Common Stock · 231,000 shares

Expires 2031-02-17

F1 · derivative.exercise_date: One-fourth of the shares subject to the option will vest on January 8, 2022, and one-fourth of the shares subject to the option will vest on each year thereafter.

SEC source: 0001209191-21-007925 · doc4.xml · derivative · entry 5

FLUKE JOHN M JR · CIK 0001191906 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,783 shares

Expires 2030-01-28

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 shares subject to the option fully vested on December 13, 2019.

SEC source: 0001209191-21-007925 · doc4.xml · derivative · entry 4

FLUKE JOHN M JR · CIK 0001191906 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,220 shares

Expires 2027-12-12

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 shares subject to the option fully vested on December 13, 2020.

SEC source: 0001209191-21-007925 · doc4.xml · nonDerivative · entry 2

FLUKE JOHN M JR · CIK 0001191906 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,884

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 · kind: This filing relates to the exercise of stock options. No shares of Common Stock were sold by Mr. Fluke, and the shares of Common Stock received upon exercise of the stock options are subject to lock-up agreements with Goldman Sachs & Co. LLC and Jefferies LLC.

SEC source: 0001209191-21-007925 · doc4.xml · nonDerivative · entry 1

FLUKE JOHN M JR · CIK 0001191906 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,101

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 · kind: This filing relates to the exercise of stock options. No shares of Common Stock were sold by Mr. Fluke, and the shares of Common Stock received upon exercise of the stock options are subject to lock-up agreements with Goldman Sachs & Co. LLC and Jefferies LLC.

SEC source: 0001062993-21-000660 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · Director · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · Director · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,425,916

F1 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-21-002855 · doc5.xml · nonDerivative · entry 1

Romano Kelly A · CIK 0001722055 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315

SEC source: 0001209191-20-063347 · doc4.xml · derivative · entry 1

Romano Kelly A · CIK 0001722055 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,742

Underlying: Common Stock · 27,742 shares

Expires 2030-12-10

F1 · derivative.exercise_date: One thirty-sixth of the shares subject to the option will vest on January 11, 2021 and one thirty-sixth of the shares subject to the option will vest each month thereafter.

SEC source: 0001209191-20-051540 · doc4.xml · derivative · entry 3

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,644,785 shares

Expires not disclosed

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_price: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · kind: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Mr. Edelman disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-20-051540 · doc4.xml · nonDerivative · entry 2

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,114,805

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Mr. Edelman disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-20-051540 · doc4.xml · nonDerivative · entry 1

EDELMAN JOSEPH · CIK 0001164426 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,055,981

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 · kind: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Mr. Edelman disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his indirect pecuniary interest therein, and this report shall not be deemed an admission that Mr. Edelman is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0000899243-20-025964 · doc4.xml · derivative · entry 3

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,644,785 shares

Expires not disclosed

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_price: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · price: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. The Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of its indirect pecuniary interest therein, and this report shall not be deemed an admission that the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Joseph Edelman, the managing member of the Advisor, serves as a director of the Issuer and has filed a separate Form 4.

SEC source: 0000899243-20-025964 · doc4.xml · nonDerivative · entry 2

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,114,805

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. The Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of its indirect pecuniary interest therein, and this report shall not be deemed an admission that the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Joseph Edelman, the managing member of the Advisor, serves as a director of the Issuer and has filed a separate Form 4.

SEC source: 0000899243-20-025964 · doc4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,055,981

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 · price: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of the Master Fund. The Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of its indirect pecuniary interest therein, and this report shall not be deemed an admission that the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. Joseph Edelman, the managing member of the Advisor, serves as a director of the Issuer and has filed a separate Form 4.

SEC source: 0001209191-20-051512 · doc4.xml · derivative · entry 6

FLUKE JOHN M JR · CIK 0001191906 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fluke Capital Management, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 6,731 shares

Expires not disclosed

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_price: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F3 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F3 · derivative.exercise_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F3 · derivative.expiration_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051512 · doc4.xml · derivative · entry 5

FLUKE JOHN M JR · CIK 0001191906 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 51,831 shares

Expires not disclosed

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_price: Each share of Series A-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · kind: Each share of Series A-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.exercise_date: Each share of Series A-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.expiration_date: Each share of Series A-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051512 · doc4.xml · derivative · entry 4

FLUKE JOHN M JR · CIK 0001191906 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,610 shares

Expires not disclosed

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_price: Each share of Series A Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · kind: Each share of Series A Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.exercise_date: Each share of Series A Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.expiration_date: Each share of Series A Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051512 · doc4.xml · nonDerivative · entry 3

FLUKE JOHN M JR · CIK 0001191906 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Fluke Capital Management, L.P.

Disclosed balance after: 6,731

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 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051512 · doc4.xml · nonDerivative · entry 2

FLUKE JOHN M JR · CIK 0001191906 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,881

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 · kind: Each share of Series A-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051512 · doc4.xml · nonDerivative · entry 1

FLUKE JOHN M JR · CIK 0001191906 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,050

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 · kind: Each share of Series A Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051509 · doc4.xml · derivative · entry 8

Litton Mark James · CIK 0001604834 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust of SWL

Disclosed balance after: 0

Underlying: Common Stock · 6,563 shares

Expires not disclosed

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 · deemedExecutionDate: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.exercise_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.expiration_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051509 · doc4.xml · derivative · entry 7

Litton Mark James · CIK 0001604834 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust of WGL

Disclosed balance after: 0

Underlying: Common Stock · 6,563 shares

Expires not disclosed

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 · deemedExecutionDate: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.exercise_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.expiration_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051509 · doc4.xml · derivative · entry 6

Litton Mark James · CIK 0001604834 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust of OSL

Disclosed balance after: 0

Underlying: Common Stock · 6,563 shares

Expires not disclosed

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 · deemedExecutionDate: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.exercise_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F2 · derivative.expiration_date: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051509 · doc4.xml · derivative · entry 5

Litton Mark James · CIK 0001604834 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,126 shares

Expires not disclosed

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 · deemedExecutionDate: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · kind: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.exercise_date: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

F1 · derivative.expiration_date: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051509 · doc4.xml · nonDerivative · entry 4

Litton Mark James · CIK 0001604834 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust of WGL

Disclosed balance after: 6,563

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 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051509 · doc4.xml · nonDerivative · entry 3

Litton Mark James · CIK 0001604834 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust of SWL

Disclosed balance after: 6,563

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 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051509 · doc4.xml · nonDerivative · entry 2

Litton Mark James · CIK 0001604834 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust of OSL

Disclosed balance after: 6,563

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 · kind: Each share of Series B-1 Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001209191-20-051509 · doc4.xml · nonDerivative · entry 1

Litton Mark James · CIK 0001604834 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,566

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 · kind: Each share of Series B Preferred Stock automatically converted into one share of Common Stock immediately prior to the completion of the Issuer's initial public offering of Common Stock and had no expiration date.

SEC source: 0001493152-20-018188 · ownership.xml · derivative · entry 3

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

WONG RODERICK · CIK 0001493280 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 0

Underlying: Common Stock · 1,535,131 shares

Expires not disclosed

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_price: Each share of Series B Convertible Preferred Stock is convertible into shares of Common Stock, on a one-for-one basis, has no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering, which occurred on September 18, 2020.

F1 · price: Each share of Series B Convertible Preferred Stock is convertible into shares of Common Stock, on a one-for-one basis, has no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering, which occurred on September 18, 2020.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock is convertible into shares of Common Stock, on a one-for-one basis, has no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering, which occurred on September 18, 2020.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock is convertible into shares of Common Stock, on a one-for-one basis, has no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering, which occurred on September 18, 2020.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-20-018188 · ownership.xml · nonDerivative · entry 2

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

WONG RODERICK · CIK 0001493280 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 2,668,913

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of his pecuniary interest therein.

SEC source: 0001493152-20-018188 · ownership.xml · nonDerivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · 10% owner

WONG RODERICK · CIK 0001493280 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 1,918,913

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 · price: Each share of Series B Convertible Preferred Stock is convertible into shares of Common Stock, on a one-for-one basis, has no expiration date and converted into shares of Common Stock upon the closing of the Issuer's initial public offering, which occurred on September 18, 2020.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Innovation Master Fund, Ltd. (the "Funds"), which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed to be a beneficial owner of securities owned or controlled by RTW. Dr. Wong disclaims beneficial ownership of the reported securities held by the Funds, except to the extent of his pecuniary interest therein.