MTVA

SEC source: 0001437749-22-018053 · rdgdoc.xml · nonDerivative · entry 1

E&Investment, Inc. · CIK 0001796144 · 10% owner

E&Healthcare Investment Fund II · CIK 0001799534 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by The E&Healthcare Investment Fund II

Disclosed balance after: 2,890,533

F1 · kind: E&Healthcare Investment Fund II distributed 1,445,267 shares to its partners on a pro rata basis, for no consideration.

F2 · ownership.nature: These shares are owned directly by The E&Healthcare Investment Fund II, a 10% owner of the Issuer, and indirectly by its sole general partner, E&Investment, Inc.

F3 · ownership.nature: E&Investment, Inc. disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0001104659-23-084928 · tm2321997-7_4aseq1.xml · nonDerivative · entry 1

Kim Na Yeon · CIK 0001794779 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by E&Investment Inc.

Disclosed balance after: 4,671

F1 · security: This amendment is being filed to add the acquisition of 4,671 shares by E&Investment Inc., which was inadvertently left off the original Form 4.

F2 · kind: E&Investment Inc. received a pro rata distribution from E&Healthcare Investment Fund II, of which the reporting person is a limited partner, for no consideration.

F3 · shares: The share amount has been adjusted to reflect the reverse stock split effective on September 12, 2022 whereby each thirty shares issued and outstanding prior to the split were combined and converted into one share of common stock.

F3 · balance_after: The share amount has been adjusted to reflect the reverse stock split effective on September 12, 2022 whereby each thirty shares issued and outstanding prior to the split were combined and converted into one share of common stock.

F4 · ownership.nature: Ms. Kim is the Chief Executive Officer of E&Investment, Inc., which is the sole general partner of The E&Healthcare Investment Fund II, The E&Healthcare Investment Fund No. 6 and The E&Investment Healthcare Fund No. 7, and as such, has voting and investment control over the shares held by E&Investment and its affiliated funds. The reporting person disclaims beneficial ownership of the reported securities except to the extent of her pecuniary interest therein.

SEC source: 0001104659-22-070220 · tm2218193-5_4seq1.xml · derivative · entry 1

Salsbury Michael · CIK 0001798308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-09

F1 · derivative.exercise_date: Vests on the earlier of June 9, 2023 or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to continuing service.

SEC source: 0001104659-22-070226 · tm2218193-7_4seq1.xml · derivative · entry 1

Kang Richard · CIK 0001798378 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-09

F1 · derivative.exercise_date: Vests on the earlier of June 9, 2023 or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to continuing service.

SEC source: 0001104659-22-070219 · tm2218193-1_4seq1.xml · derivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-09

F1 · derivative.exercise_date: Vests on the earlier of June 9, 2023 or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to continuing service.

SEC source: 0001104659-22-070224 · tm2218193-2_4seq1.xml · derivative · entry 1

STRICKLAND D GORDON · CIK 0001223039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-09

F1 · derivative.exercise_date: Vests on the earlier of June 9, 2023 or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to continuing service.

SEC source: 0001104659-22-070229 · tm2218193-3_4seq1.xml · derivative · entry 1

Kim Hyung Heon · CIK 0001873258 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-09

F1 · derivative.exercise_date: Vests on the earlier of June 9, 2023 or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to continuing service.

SEC source: 0001104659-22-070527 · tm2218193-4_4seq1.xml · derivative · entry 1

GROVES JASON L · CIK 0001480679 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-09

F1 · derivative.exercise_date: Vests on the earlier of June 9, 2023 or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to continuing service.

SEC source: 0001104659-22-070532 · tm2218193-6_4seq1.xml · derivative · entry 1

Kim Na Yeon · CIK 0001794779 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-09

F1 · derivative.exercise_date: Vests on the earlier of June 9, 2023 or the day prior to the Issuer's next annual meeting of stockholders occurring after the grant date, subject to continuing service.

SEC source: 0001104659-22-010954 · tm225279-2_4seq1.xml · derivative · entry 1

STRICKLAND D GORDON · CIK 0001223039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-01-27

F1 · derivative.exercise_date: Vests in thirty-six equal monthly installments beginning on the one-month anniversary of the date of grant, subject to the reporting person's continued service through each applicable vesting date.

SEC source: 0001596771-21-000068 · primary_doc.xml · derivative · entry 1

Price Ben Gil · CIK 0001417915 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 616,666

Underlying: Common Stock · 616,666 shares

Expires 2031-11-03

F1 · derivative.exercise_date: 266,666 shares subject to the option vest on the first anniversary of the vesting commencement date, November 3, 2021, and the remaining 350,000 shares subject to the option vest on the second anniversary of the vesting commencement date, subject to the Reporting Person's continuous service.

SEC source: 0001596771-21-000049 · primary_doc.xml · derivative · entry 1

KOVEN ANDREW I · CIK 0001258673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2031-09-01

F1 · derivative.exercise_date: Vests in 36 approximately equal consecutive monthly increments, commencing on the one-month anniversary of the date of grant, so that all of the options will be vested on the 36-month anniversary of the date of grant.

SEC source: 0001104659-21-000919 · a4.xml · nonDerivative · entry 2

Bakshi Akash · CIK 0001836243 · Director · SVP and COO

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 884,072

F1 · price: Received in exchange for shares of ANA Therapeutics, Inc. ("ANA") common stock in connection with the acquisition of ANA by the Company.

F2 · ownership.nature: The reportable securities are owned directly by YourChoice Holdings, LLC ("YourChoice"). Mr. Bakshi is the CEO and a director of YourChoice. Mr. Bakshi disclaims beneficial ownership of the securities reported herein for the purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any.

SEC source: 0001104659-21-000919 · a4.xml · nonDerivative · entry 1

Bakshi Akash · CIK 0001836243 · Director · SVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,013

F1 · price: Received in exchange for shares of ANA Therapeutics, Inc. ("ANA") common stock in connection with the acquisition of ANA by the Company.

SEC source: 0001104659-20-102336 · a4.xml · derivative · entry 1

Swirsky Douglas J · CIK 0001375884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-09-01

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments beginning on 10/01/2020, such that the option will be fully vested on the third anniversary of the date of grant.

SEC source: 0001683168-20-000165 · ownership.xml · derivative · entry 1

Salsbury Michael · CIK 0001798308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-01-12

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments beginning on 2/13/2020, such that the option will be fully vested on the third anniversary of the date of grant.

SEC source: 0001683168-20-000155 · ownership.xml · derivative · entry 1

GROVES JASON L · CIK 0001480679 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-01-12

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments beginning on 2/13/2020, such that the option will be fully vested on the third anniversary of the date of grant.

SEC source: 0001683168-20-000159 · ownership.xml · derivative · entry 1

Jeong Tae Heum · CIK 0001317190 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-01-12

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments beginning on 2/13/2020, such that the option will be fully vested on the third anniversary of the date of grant.

SEC source: 0001683168-20-000157 · ownership.xml · derivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-01-12

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments beginning on 2/13/2020, such that the option will be fully vested on the third anniversary of the date of grant.

SEC source: 0001683168-20-000163 · ownership.xml · derivative · entry 1

Oh Jeong Gyun · CIK 0001794777 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-01-12

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments beginning on 2/13/2020, such that the option will be fully vested on the third anniversary of the date of grant.

SEC source: 0001683168-20-000161 · ownership.xml · derivative · entry 1

Kim Na Yeon · CIK 0001794779 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2030-01-12

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments beginning on 2/13/2020, such that the option will be fully vested on the third anniversary of the date of grant.

SEC source: 0001683168-20-000014 · ownership.xml · nonDerivative · entry 3

Kim Na Yeon · CIK 0001794779 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by The E&Healthcare Investment Fund No. 7

Disclosed balance after: 1,864,799

F3 · price: Received in connection with the closing of the Merger in exchange for 1,500,000 shares of common stock issued upon the conversion of Series B preferred stock of NeuroBo, which conversion occurred immediately prior to the closing of the Merger, and 131,353 shares of common stock issued upon conversion of convertible promissory notes of NeuroBo, which conversion occurred immediately prior to the closing of the Merger, held by The E&Healthcare Investment Fund No. 7.

F4 · price: In connection with the closing of the Merger, each share of NeuroBo common stock was exchanged for 1.1431 shares of the Issuer's common stock.

F5 · ownership.nature: Ms. Kim is the Chief Executive Officer of E&I Investment. E&Investment is the sole general partner of The E&Healthcare Investment Fund II, The E&Healthcare Investment Fund No. 6 and The E&Investment Healthcare Fund No. 7, and has voting power over the shares held by The E&Healthcare Investment Fund II, The E&Healthcare Investment Fund No. 6 and The E&Investment Healthcare Fund No. 7. Ms. Kim is the Chief Executive Officer of E&Investment, and as such has voting and investment control over the shares held by E&Investment and its affiliated funds. The reporting person disclaims beneficial ownership of the reported securities except to the extent of her pecuniary interest therein.

SEC source: 0001683168-20-000014 · ownership.xml · nonDerivative · entry 2

Kim Na Yeon · CIK 0001794779 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by The E&Healthcare Investment Fund No. 6

Disclosed balance after: 1,121,190

F2 · price: Received in connection with the closing of the Merger in exchange for 900,000 shares of common stock issued upon conversion of Series B preferred stock of NeuroBo, which conversion occurred immediately prior to the closing of the Merger, and 80,833 shares of common stock issued upon conversion of convertible promissory notes of NeuroBo, which conversion occurred immediately prior to the closing of the Merger, held by The E&Healthcare Investment Fund No. 6.

F4 · price: In connection with the closing of the Merger, each share of NeuroBo common stock was exchanged for 1.1431 shares of the Issuer's common stock.

F5 · ownership.nature: Ms. Kim is the Chief Executive Officer of E&I Investment. E&Investment is the sole general partner of The E&Healthcare Investment Fund II, The E&Healthcare Investment Fund No. 6 and The E&Investment Healthcare Fund No. 7, and has voting power over the shares held by The E&Healthcare Investment Fund II, The E&Healthcare Investment Fund No. 6 and The E&Investment Healthcare Fund No. 7. Ms. Kim is the Chief Executive Officer of E&Investment, and as such has voting and investment control over the shares held by E&Investment and its affiliated funds. The reporting person disclaims beneficial ownership of the reported securities except to the extent of her pecuniary interest therein.

SEC source: 0001683168-20-000014 · ownership.xml · nonDerivative · entry 1

Kim Na Yeon · CIK 0001794779 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by The E&Healthcare Investment Fund II

Disclosed balance after: 4,335,800

F1 · price: Received in connection with the closing of the merger of GR Merger Sub Inc., a wholly-owned subsidiary of the Issuer, with and into NeuroBo Therapeutics, Inc. (formerly NeuroBo Pharmaceuticals, Inc.) ("NeuroBo") on December 30, 2019 (the "Merger"), in exchange for 3,500,000 shares of common stock issued upon the conversion of Series A preferred stock of NeuroBo, which conversion occurred immediately prior to the closing of the Merger, and 293,019 shares of common stock issued upon conversion of convertible promissory notes of NeuroBo, which conversion occurred immediately prior to the closing of the Merger, held by The E&Healthcare Investment Fund II.

F4 · price: In connection with the closing of the Merger, each share of NeuroBo common stock was exchanged for 1.1431 shares of the Issuer's common stock.

F5 · ownership.nature: Ms. Kim is the Chief Executive Officer of E&I Investment. E&Investment is the sole general partner of The E&Healthcare Investment Fund II, The E&Healthcare Investment Fund No. 6 and The E&Investment Healthcare Fund No. 7, and has voting power over the shares held by The E&Healthcare Investment Fund II, The E&Healthcare Investment Fund No. 6 and The E&Investment Healthcare Fund No. 7. Ms. Kim is the Chief Executive Officer of E&Investment, and as such has voting and investment control over the shares held by E&Investment and its affiliated funds. The reporting person disclaims beneficial ownership of the reported securities except to the extent of her pecuniary interest therein.

SEC source: 0001683168-20-000016 · ownership.xml · derivative · entry 2

Versavel Mark · CIK 0001795795 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,724

Underlying: Common Stock · 45,724 shares

Expires 2029-01-31

F4 · price: Reflects the Reporting Person's stock option to acquire 40,000 shares of NeuroBo common stock for $0.72 per share that was assumed by the Issuer in the Merger.

F3 · derivative.exercise_date: 10,000 shares underlying the option became a vested share on the January 31, 2019, with an additional 5,000 shares vesting on each of February 1, 2019, May 1, 2019, August 1, 2019, November 1, 2019, February 1, 2020 and May 1, 2020.

SEC source: 0001683168-20-000016 · ownership.xml · derivative · entry 1

Versavel Mark · CIK 0001795795 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,206

Underlying: Common Stock · 297,206 shares

Expires 2029-01-28

F2 · price: Reflects the Reporting Person's stock option to acquire 260,000 shares of private NeuroBo Pharmaceuticals, Inc. ("NeuroBo") common stock for $0.72 per share that was assumed by the Issuer in the Merger.

F1 · derivative.exercise_date: 70,000 shares underlying the option shall become vested shares upon certain milestones in relation to the Issuer's the Phase III US NB-01-301 study; 60,000 shares underlying the option shall become vested shares upon certain regulatory milestones related to the Issuer's product candidate,NB-02; an additional 70,000 option shares shall become vested shares upon the occurrence of certain additional milestones related to the Issuer's Phase III US NB-01-301; 15,000 shares underlying the option became vested shares on January 28, 2019; and an additional 7,500 of shares underlying the option became vested share on each of February 1, 2019, May 1, 2019, August 1, 2019, and November 1, 2019, with an additional 7,500 shares underlying the option to vest on each of February 1, 2020 and May 1, 2020.

SEC source: 0001683168-20-000015 · ownership.xml · nonDerivative · entry 2

Oh Jeong Gyun · CIK 0001794777 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by spouse.

Disclosed balance after: 240,051

F3 · price: Received in connection with the closing of the Merger in exchange for 210,000 shares of common stock of NeuroBo issued upon the conversion of Series B preferred stock of NeuroBo, which conversion occurred immediately prior to the closing of the Merger, held by the spouse of Jeong Gyun Oh.

F4 · price: In connection with the closing of the Merger, each share of NeuroBo common stock was exchanged for 1.1431 shares of the Issuer's common stock.

F5 · ownership.nature: The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001683168-20-000015 · ownership.xml · nonDerivative · entry 1

Oh Jeong Gyun · CIK 0001794777 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by JK BioPharma Solutions, Inc.

Disclosed balance after: 1,817,842

F1 · price: Received in connection with the closing of the merger of GR Merger Sub Inc., a wholly-owned subsidiary of the Issuer, with and into NeuroBo Therapeutics, Inc. (formerly NeuroBo Pharmaceuticals, Inc.) ("NeuroBo") on December 30, 2019, in exchange for (i) 1,000,000 shares of common stock of NeuroBo and (ii) 590,274 shares of common stock of NeuroBo issued upon conversion of convertible promissory notes of NeuroBo, which conversion occurred immediately prior to the closing of the Merger, held by JK BioPharma Solutions, Inc.

F4 · price: In connection with the closing of the Merger, each share of NeuroBo common stock was exchanged for 1.1431 shares of the Issuer's common stock.

F2 · ownership.nature: Mr. Oh is the President and Chief Executive Officer of JK BioPharma Solutions, Inc., and as such has voting and investment control over the shares held by JK BioPharma Solutions, Inc.

F5 · ownership.nature: The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

SEC source: 0001596771-19-000083 · primary_doc.xml · nonDerivative · entry 1

KOUSKY KENNETH W · CIK 0000939478 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,935

F1 · balance_after: 4,472 shares previously held by the BWA Gemphire Investment Group, LLC, and 6,463 shares previously held by BWA Gemphire Investment Group II, LLC were transferred to Mr. Kousky and are now held directly.

SEC source: 0001596771-19-000082 · primary_doc.xml · nonDerivative · entry 1

Reno Seth · CIK 0001674004 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,286

SEC source: 0001596771-19-000084 · primary_doc.xml · nonDerivative · entry 1

LICHTINGER PEDRO · CIK 0001470741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,833

SEC source: 0001596771-19-000081 · primary_doc.xml · nonDerivative · entry 1

Bisgaier Charles PhD · CIK 0001381030 · Director · Chief Scientific Off. & Chair · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,348,914

SEC source: 0001596771-19-000085 · primary_doc.xml · nonDerivative · entry 1

SASSINE ANDY · CIK 0001515322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,264

SEC source: 0001596771-19-000080 · primary_doc.xml · nonDerivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

SEC source: 0001596771-18-000061 · primary_doc.xml · derivative · entry 2

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-04-30

F1 · date: The option was approved by the board of directors of the issuer on May 1, 2018, subject to stockholder approval of an amendment to the equity incentive plan under which the option was granted. The issuer's stockholders approved such amendment on May 22, 2018.

F3 · derivative.exercise_date: 50,000 shares underlying the option will vest if and when the issuer's common stock achieves a specified volume weighted average closing price for 30 consecutive days on or before December 31, 2019. 50,000 remaining shares underlying the option award are subject to a performance condition and will vest on the date that the first patient in the first Phase 3 clinical trial in a non-orphan indication receives the first dose of gemcabene if such event occurs on or before December 31, 2019. The option includes an early exercise provision, subject to the issuer's right of repurchase with respect to any unvested shares of common stock.

SEC source: 0001596771-18-000061 · primary_doc.xml · derivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-04-30

F1 · date: The option was approved by the board of directors of the issuer on May 1, 2018, subject to stockholder approval of an amendment to the equity incentive plan under which the option was granted. The issuer's stockholders approved such amendment on May 22, 2018.

F2 · derivative.exercise_date: The option vests in a series of 48 successive equal monthly installments on the last day of each month, commencing on the grant date. The option includes an early exercise provision, subject to the issuer's right of repurchase with respect to any unvested shares of common stock.

SEC source: 0001596771-18-000053 · primary_doc.xml · derivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2028-04-30

F1 · derivative.exercise_date: The option vests in a series of 48 successive equal monthly installments on the last day of each month, commencing on the grant date. The option includes an early exercise provision, subject to the issuer's right of repurchase with respect to any unvested shares of common stock.

F2 · balance_after: The reporting person ceased to be a manager of Excel Venture Fund II, L.P. on May 1, 2018 and will no longer report beneficial ownership of the issuer's securities owned by such entity.

SEC source: 0001596771-18-000020 · primary_doc.xml · nonDerivative · entry 1

Reno Seth · CIK 0001674004 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,286

F1 · shares: The shares were purchased in a confidentially marketed public offering pursuant to an Underwriting Agreement. The offering closed on February 12, 2018.

SEC source: 0001596771-18-000019 · primary_doc.xml · nonDerivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · Interim President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by Excel Venture Fund II, L.P.

Disclosed balance after: 930,252

F1 · shares: The shares were purchased in a confidentially marketed public offering pursuant to an Underwriting Agreement. The offering closed on February 12, 2018.

F2 · ownership.nature: The reporting person, as the Manager of Excel Venture Fund II, L.P., beneficially owns the reported securities indirectly, but disclaims beneficial ownership of the securities except to the extent of his pecuniary interest therein.

SEC source: 0001596771-18-000014 · primary_doc.xml · derivative · entry 1

Hawryluk P. Kent · CIK 0001673991 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,800

Underlying: Common Stock · 10,800 shares

Expires 2028-01-28

F1 · derivative.exercise_date: The option vests in a series of 12 successive equal monthly installments on the last day of each month, commencing on the grant date.

SEC source: 0001596771-18-000015 · primary_doc.xml · derivative · entry 1

KOUSKY KENNETH W · CIK 0000939478 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,800

Underlying: Common Stock · 10,800 shares

Expires 2028-01-28

F1 · derivative.exercise_date: The option vests in a series of 12 successive equal monthly installments on the last day of each month, commencing on the grant date.

SEC source: 0001596771-18-000016 · primary_doc.xml · derivative · entry 1

LICHTINGER PEDRO · CIK 0001470741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,800

Underlying: Common Stock · 10,800 shares

Expires 2028-01-28

F1 · derivative.exercise_date: The option vests in a series of 12 successive equal monthly installments on the last day of each month, commencing on the grant date.

SEC source: 0001596771-18-000017 · primary_doc.xml · derivative · entry 1

SASSINE ANDY · CIK 0001515322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,800

Underlying: Common Stock · 10,800 shares

Expires 2028-01-28

F1 · derivative.exercise_date: The option vests in a series of 12 successive equal monthly installments on the last day of each month, commencing on the grant date.

SEC source: 0001596771-18-000009 · primary_doc.xml · derivative · entry 1

Gullans Steven R. Ph.D. · CIK 0001571997 · Director · Interim President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2028-01-28

F1 · derivative.exercise_date: The option vests in 12 equal consecutive monthly installments on the last day of each month, commencing on the grant date, subject to acceleration upon the appointment of a permanent President and Chief Executive Officer.

SEC source: 0001596771-18-000012 · primary_doc.xml · derivative · entry 1

Golden Lee Scott · CIK 0001686217 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,000

Underlying: Common Stock · 148,000 shares

Expires 2028-01-27

F1 · derivative.exercise_date: The option vests in a series of 48 successive monthly installments on the last day of each month, commencing on the grant date.

SEC source: 0001596771-18-000010 · primary_doc.xml · derivative · entry 1

Reno Seth · CIK 0001674004 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2028-01-27

F1 · derivative.exercise_date: The option vests in a series of 48 successive equal monthly installments on the last day of each month, commencing on the grant date.

SEC source: 0001596771-18-000011 · primary_doc.xml · derivative · entry 1

MATHIESEN JEFFREY S · CIK 0001296853 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2028-01-27

F1 · derivative.exercise_date: The option vests in a series of 48 successive equal monthly installments on the last day of each month, commencing on the grant date.

SEC source: 0001596771-18-000013 · primary_doc.xml · derivative · entry 1

Bisgaier Charles PhD · CIK 0001381030 · Director · Chief Scien Officer & Chair · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2028-01-27

F1 · derivative.exercise_date: The option vests in a series of 48 successive equal monthly installments on the last day of each month, commencing on the grant date.

SEC source: 0001596771-17-000067 · primary_doc.xml · derivative · entry 2

MATHIESEN JEFFREY S · CIK 0001296853 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,207 shares

Expires 2025-09-24

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: 0001596771-17-000067 · primary_doc.xml · nonDerivative · entry 1

MATHIESEN JEFFREY S · CIK 0001296853 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,134

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.