MTVA

SEC source: 0001104659-17-051365 · a4.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 · 3,000 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: 0001104659-17-051365 · a4.xml · nonDerivative · entry 1

MATHIESEN JEFFREY S · CIK 0001296853 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,927

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: 0001596771-17-000066 · primary_doc.xml · derivative · entry 2

MATHIESEN JEFFREY S · CIK 0001296853 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,093

Underlying: Common Stock · 3,000 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.

F1 · balance_after: Amended to correct an error related to the number of shares subject to the reported option following the exercise.

SEC source: 0001596771-17-000066 · primary_doc.xml · nonDerivative · entry 1

MATHIESEN JEFFREY S · CIK 0001296853 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,927

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: 0001596771-17-000065 · primary_doc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,474 shares

Expires 2025-06-28

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.

SEC source: 0001596771-17-000065 · 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: 1,248,914

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: 0001596771-17-000041 · 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 2027-05-29

F1 · derivative.exercise_date: The option vests in 12 equal consecutive monthly increments, so that all of the shares will be vested on the one year anniversary of the date of grant, subject to acceleration upon the appointment of a permanent President and Chief Executive Officer.

SEC source: 0001596771-17-000024 · primary_doc.xml · derivative · entry 1

Golden Lee Scott · CIK 0001686217 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-03-27

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

SEC source: 0001596771-17-000021 · primary_doc.xml · derivative · entry 3

Hawryluk P. Kent · CIK 0001673991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by the P. Kent Hawryluk Revocable Trust

Disclosed balance after: 18,750

Underlying: Common Stock · 18,750 shares

Expires 2022-03-15

F1 · shares: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F1 · price: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F2 · ownership.nature: These shares are indirectly owned by the reporting person as trustee of the P. Kent Hawryluk Revocable Trust.

SEC source: 0001596771-17-000021 · primary_doc.xml · nonDerivative · entry 1

Hawryluk P. Kent · CIK 0001673991 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by the P. Kent Hawryluk Revocable Trust

Disclosed balance after: 81,889

F1 · shares: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F1 · price: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F2 · ownership.nature: These shares are indirectly owned by the reporting person as trustee of the P. Kent Hawryluk Revocable Trust.

SEC source: 0001596771-17-000022 · primary_doc.xml · derivative · entry 2

LICHTINGER PEDRO · CIK 0001470741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,920

Underlying: Common Stock · 7,920 shares

Expires 2022-03-15

F1 · shares: The shares of common stock were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F1 · price: The shares of common stock were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

SEC source: 0001596771-17-000022 · primary_doc.xml · nonDerivative · entry 1

LICHTINGER PEDRO · CIK 0001470741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,833

F1 · shares: The shares of common stock were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F1 · price: The shares of common stock were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

SEC source: 0001596771-17-000023 · primary_doc.xml · derivative · entry 2

SASSINE ANDY · CIK 0001515322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,840

Underlying: Common Stock · 15,840 shares

Expires 2022-03-15

F1 · shares: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F1 · price: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

SEC source: 0001596771-17-000023 · primary_doc.xml · nonDerivative · entry 1

SASSINE ANDY · CIK 0001515322 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,264

F1 · shares: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F1 · price: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

SEC source: 0001596771-17-000020 · primary_doc.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 39,599

Underlying: Common Stock · 39,599 shares

Expires 2022-03-15

F1 · shares: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F1 · price: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

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: 0001596771-17-000020 · primary_doc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

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

Disclosed balance after: 858,823

F1 · shares: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

F1 · price: The shares of common stock and warrants were purchased as part of a private placement pursuant to a Securities Purchase Agreement whereby the Issuer sold units consisting of one share of the Issuer's common stock and a warrant to purchase 0.75 shares of the Issuer's common stock at a per unit price of $9.47. The private placement is expected to close on March 15, 2017.

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: 0001596771-17-000007 · primary_doc.xml · nonDerivative · entry 2

KOUSKY KENNETH W · CIK 0000939478 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by BWA Gemphire Investment Group II, LLC

Disclosed balance after: 6,463

F3 · kind: The transaction on this line represents a pro rata distribution by BWA Gemphire Investment Group II, LLC ("BWA II") to its members without consideration.

F4 · ownership.nature: Mr. Kousky, as the Manager of BWA II, beneficially owns the reported securities indirectly.

SEC source: 0001596771-17-000007 · primary_doc.xml · nonDerivative · entry 1

KOUSKY KENNETH W · CIK 0000939478 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held by BWA Gemphire Investment Group, LLC

Disclosed balance after: 4,472

F1 · kind: The transaction on this line represents a pro rata distribution by BWA Gemphire Investment Group, LLC ("BWA") to its members without consideration.

F2 · ownership.nature: Mr. Kousky, as the Manager of BWA, beneficially owns the reported securities indirectly.

SEC source: 0001596771-16-000166 · primary_doc.xml · derivative · entry 1

Sooch Mina · CIK 0001674006 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 120,000 shares

Expires 2026-08-03

F1 · shares: The reporting person was granted an option to purchase 600,000 shares of common stock effective August 4, 2016. 360,000 of the shares underlying the option award were immediately earned on the date of the grant, 120,000 shares underlying the option award were earned on September 30, 2016 following the initiation of the Company's first clinical trial and 120,000 shares underlying the option award are earned upon the initiation of the Company's second clinical trial. The Company has initiated its second clinical trial, so the 120,000 shares underlying the option award that were subject to the initiation of the Company's second clinical trial have been earned.

F2 · derivative.exercise_date: The option vests in 48 equal consecutive monthly increments, so that all of the shares will be vested on the fourth anniversary of the date of grant.

F1 · balance_after: The reporting person was granted an option to purchase 600,000 shares of common stock effective August 4, 2016. 360,000 of the shares underlying the option award were immediately earned on the date of the grant, 120,000 shares underlying the option award were earned on September 30, 2016 following the initiation of the Company's first clinical trial and 120,000 shares underlying the option award are earned upon the initiation of the Company's second clinical trial. The Company has initiated its second clinical trial, so the 120,000 shares underlying the option award that were subject to the initiation of the Company's second clinical trial have been earned.

SEC source: 0001596771-16-000159 · primary_doc.xml · derivative · entry 1

Golden Lee Scott · CIK 0001686217 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,000

Underlying: Common Stock · 126,000 shares

Expires 2026-10-04

F1 · derivative.exercise_date: The option vests as to 12,000 shares immediately on the Vesting Commencement Date; one-fourth of the remaining shares vest on the last day of the month on which the one year anniversary of the Vesting Commencement Date occurs; the balance of the shares vest in a series of 36 successive equal monthly installments measured from the last day of the month on which the one year anniversary of the Vesting Commencement Date occurs.

SEC source: 0001596771-16-000157 · primary_doc.xml · derivative · entry 1

Sooch Mina · CIK 0001674006 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 480,000

Underlying: Common Stock · 120,000 shares

Expires 2026-08-03

F1 · shares: The reporting person was granted an option to purchase 600,000 shares of common stock effective August 4, 2016. 360,000 of the shares underlying the option award were immediately earned on the date of grant, 120,000 shares underlying the option award are earned upon the initiation of the Company's first clinical trial and 120,000 shares underlying the option award are earned upon the initiation of the Company's second clinical trial. The Company has initiated its first clinical trial, so the 120,000 shares underlying the option award that were subject to the initiation of the Company's first clinical trial have been earned.

F2 · derivative.exercise_date: The option vests in 48 equal consecutive monthly increments, so that all of the shares will be vested on the fourth anniversary of the date of grant.

F1 · balance_after: The reporting person was granted an option to purchase 600,000 shares of common stock effective August 4, 2016. 360,000 of the shares underlying the option award were immediately earned on the date of grant, 120,000 shares underlying the option award are earned upon the initiation of the Company's first clinical trial and 120,000 shares underlying the option award are earned upon the initiation of the Company's second clinical trial. The Company has initiated its first clinical trial, so the 120,000 shares underlying the option award that were subject to the initiation of the Company's first clinical trial have been earned.