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Nasdaq · USD

NGNE

Neurogene Inc.

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5160
SEC CIK
0001404644
Parsed reports
226

Last 12 months

Inside the activity.

0 purchase rows · 17 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202601
Mar 202609
Apr 202600
May 202602
Jun 202600
Jul 202605
Aug 202600
Sep 202600
Oct 202600

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Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 08, 2023 Filed Jun 9, 2023 16:26 UTC GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $0.79 $0.00
Disclosure

SEC source: 0001209191-23-035861 · doc4.xml · derivative · entry 1

Noonberg Sarah B. · CIK 0001706301 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-07

F1 · derivative.exercise_date: The option vests as to 1/12 of the total shares monthly beginning July 8, 2023 until the option is fully vested on June 8, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
June 08, 2023 Filed Jun 9, 2023 20:24 UTC GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $0.79 $0.00
Disclosure

SEC source: 0001209191-23-035853 · doc4.xml · derivative · entry 1

Babler Martin · CIK 0001435618 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-07

F1 · derivative.exercise_date: The option vests as to 1/12 of the total shares monthly beginning July 8, 2023 until the option is fully vested on June 8, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
June 08, 2023 Filed Jun 9, 2023 16:27 UTC GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $0.79 $0.00
Disclosure

SEC source: 0001209191-23-035866 · doc4.xml · derivative · entry 1

PALEKAR ROHAN · CIK 0001423327 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-07

F1 · derivative.exercise_date: The option vests as to 1/12 of the total shares monthly beginning July 8, 2023 until the option is fully vested on June 8, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
June 08, 2023 Filed Jun 9, 2023 20:28 UTC GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $0.79 $0.00
Disclosure

SEC source: 0001209191-23-035869 · doc4.xml · derivative · entry 1

SIMPSON TODD E · CIK 0001216477 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-07

F1 · derivative.exercise_date: The option vests as to 1/12 of the total shares monthly beginning July 8, 2023 until the option is fully vested on June 8, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
June 08, 2023 Filed Jun 12, 2023 20:03 UTC
667, L.P.Director
BAKER FELIXDirector
BAKER JULIANDirector
GrantNon-Qualified Stock Option (right to buy) · Derivative 25,000 $0.00 Strike: $0.79 $0.00
Disclosure

SEC source: 0001209191-23-036241 · doc4.xml · derivative · entry 2

BAKER BROS. ADVISORS LP · CIK 0001263508 · Director

667, L.P. · CIK 0001551139 · Director

Baker Brothers Life Sciences LP · CIK 0001363364 · Director

BAKER FELIX · CIK 0001087940 · Director

BAKER JULIAN · CIK 0001087939 · Director

Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-07

F1 · shares: Includes 25,000 non-qualified stock options ("Stock Options") exercisable solely into common stock ("Common Stock") of Neoleukin Therapeutics, Inc. (the "Issuer") granted by the Issuer to M. Cantey Boyd, a full-time employee of Baker Bros. Advisors LP (the "Adviser") on June 8, 2023, in her capacity as director of the Issuer, pursuant to the Issuer's 2014 Equity Incentive Plan (the "Incentive Plan"). The Stock Options have a strike price of $0.79 and vest in 12 equal monthly installments beginning on July 8, 2023, subject to M. Cantey Boyd's continued service on the board of directors of the Issuer (the "Board") and expire on June 7, 2033. M. Cantey Boyd serves on the Board as a representative of Baker Brothers Life Sciences, L.P. ("Life Sciences") and 667, L.P. ("667", and together with Life Sciences, the "Funds") and their affiliates.

F1 · derivative.exercise_date: Includes 25,000 non-qualified stock options ("Stock Options") exercisable solely into common stock ("Common Stock") of Neoleukin Therapeutics, Inc. (the "Issuer") granted by the Issuer to M. Cantey Boyd, a full-time employee of Baker Bros. Advisors LP (the "Adviser") on June 8, 2023, in her capacity as director of the Issuer, pursuant to the Issuer's 2014 Equity Incentive Plan (the "Incentive Plan"). The Stock Options have a strike price of $0.79 and vest in 12 equal monthly installments beginning on July 8, 2023, subject to M. Cantey Boyd's continued service on the board of directors of the Issuer (the "Board") and expire on June 7, 2033. M. Cantey Boyd serves on the Board as a representative of Baker Brothers Life Sciences, L.P. ("Life Sciences") and 667, L.P. ("667", and together with Life Sciences, the "Funds") and their affiliates.

F1 · ownership.nature: Includes 25,000 non-qualified stock options ("Stock Options") exercisable solely into common stock ("Common Stock") of Neoleukin Therapeutics, Inc. (the "Issuer") granted by the Issuer to M. Cantey Boyd, a full-time employee of Baker Bros. Advisors LP (the "Adviser") on June 8, 2023, in her capacity as director of the Issuer, pursuant to the Issuer's 2014 Equity Incentive Plan (the "Incentive Plan"). The Stock Options have a strike price of $0.79 and vest in 12 equal monthly installments beginning on July 8, 2023, subject to M. Cantey Boyd's continued service on the board of directors of the Issuer (the "Board") and expire on June 7, 2033. M. Cantey Boyd serves on the Board as a representative of Baker Brothers Life Sciences, L.P. ("Life Sciences") and 667, L.P. ("667", and together with Life Sciences, the "Funds") and their affiliates.

F3 · ownership.nature: Pursuant to the policies of the Adviser, M. Cantey Boyd does not have a right to any of the Issuer's securities issued as compensation for her service on the Board and the Funds are entitled to an indirect proportionate pecuniary interest in the securities. The Funds each own an indirect proportionate pecuniary interest in the Stock Options. Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options and any Common Stock acquired upon the exercise of Stock Options (i.e. no direct pecuniary interest).

F4 · ownership.nature: The Adviser serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held directly by the Funds or for the benefit of the Funds. The Adviser GP is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held directly by the Funds or for the benefit of the Funds. The general partners of the Funds have relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held directly by the Funds or for the benefit of the Funds.

F5 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds or for the benefit of the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

F6 · ownership.nature: Pursuant to agreements between M. Cantey Boyd and the Adviser and the policies of the Adviser, the Adviser has voting and dispositive power over the Stock Options and any Common Stock acquired as a result of the exercise of the Stock Options.

F7 · ownership.nature: The acquisition of Stock Options reported on this form represents a single grant to M. Cantey Boyd of 25,000 Stock Options on Table II. This grant of 25,000 Stock Options for M. Cantey Boyd is reported for each of the Funds as each has an indirect pecuniary interest in such securities.

F8 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Brothers Life Sciences Capital, L.P. and (ii) Life Sciences, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in the Stock Options reported in column 9 of Table II held for the benefit of Life Sciences, a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital, L.P., a limited partnership of which the sole general partner is Baker Brothers Life Sciences Capital (GP), LLC, due to their interest in Life Sciences and Baker Brothers Life Sciences Capital, L.P.'s right to receive an allocation of a portion of the profits from Life Sciences.

Read SEC document
June 08, 2023 Filed Jun 12, 2023 20:03 UTC
667, L.P.Director
BAKER FELIXDirector
BAKER JULIANDirector
GrantNon-Qualified Stock Option (right to buy) · Derivative 25,000 $0.00 Strike: $0.79 $0.00
Disclosure

SEC source: 0001209191-23-036241 · doc4.xml · derivative · entry 1

BAKER BROS. ADVISORS LP · CIK 0001263508 · Director

667, L.P. · CIK 0001551139 · Director

Baker Brothers Life Sciences LP · CIK 0001363364 · Director

BAKER FELIX · CIK 0001087940 · Director

BAKER JULIAN · CIK 0001087939 · Director

Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2033-06-07

F1 · shares: Includes 25,000 non-qualified stock options ("Stock Options") exercisable solely into common stock ("Common Stock") of Neoleukin Therapeutics, Inc. (the "Issuer") granted by the Issuer to M. Cantey Boyd, a full-time employee of Baker Bros. Advisors LP (the "Adviser") on June 8, 2023, in her capacity as director of the Issuer, pursuant to the Issuer's 2014 Equity Incentive Plan (the "Incentive Plan"). The Stock Options have a strike price of $0.79 and vest in 12 equal monthly installments beginning on July 8, 2023, subject to M. Cantey Boyd's continued service on the board of directors of the Issuer (the "Board") and expire on June 7, 2033. M. Cantey Boyd serves on the Board as a representative of Baker Brothers Life Sciences, L.P. ("Life Sciences") and 667, L.P. ("667", and together with Life Sciences, the "Funds") and their affiliates.

F1 · derivative.exercise_date: Includes 25,000 non-qualified stock options ("Stock Options") exercisable solely into common stock ("Common Stock") of Neoleukin Therapeutics, Inc. (the "Issuer") granted by the Issuer to M. Cantey Boyd, a full-time employee of Baker Bros. Advisors LP (the "Adviser") on June 8, 2023, in her capacity as director of the Issuer, pursuant to the Issuer's 2014 Equity Incentive Plan (the "Incentive Plan"). The Stock Options have a strike price of $0.79 and vest in 12 equal monthly installments beginning on July 8, 2023, subject to M. Cantey Boyd's continued service on the board of directors of the Issuer (the "Board") and expire on June 7, 2033. M. Cantey Boyd serves on the Board as a representative of Baker Brothers Life Sciences, L.P. ("Life Sciences") and 667, L.P. ("667", and together with Life Sciences, the "Funds") and their affiliates.

F1 · ownership.nature: Includes 25,000 non-qualified stock options ("Stock Options") exercisable solely into common stock ("Common Stock") of Neoleukin Therapeutics, Inc. (the "Issuer") granted by the Issuer to M. Cantey Boyd, a full-time employee of Baker Bros. Advisors LP (the "Adviser") on June 8, 2023, in her capacity as director of the Issuer, pursuant to the Issuer's 2014 Equity Incentive Plan (the "Incentive Plan"). The Stock Options have a strike price of $0.79 and vest in 12 equal monthly installments beginning on July 8, 2023, subject to M. Cantey Boyd's continued service on the board of directors of the Issuer (the "Board") and expire on June 7, 2033. M. Cantey Boyd serves on the Board as a representative of Baker Brothers Life Sciences, L.P. ("Life Sciences") and 667, L.P. ("667", and together with Life Sciences, the "Funds") and their affiliates.

F2 · ownership.nature: After giving effect to the transaction reported herein and as a result of their ownership interest in (i) Baker Biotech Capital, L.P. and (ii) 667, Julian C. Baker and Felix J. Baker each may be deemed to have an indirect pecuniary interest in the Stock Options reported in column 9 of Table II held for the benefit of 667, a limited partnership of which the sole general partner is Baker Biotech Capital, L.P., a limited partnership of which the sole general partner is Baker Biotech Capital (GP), LLC, due to their interest in 667 and Baker Biotech Capital, L.P.'s right to receive an allocation of a portion of the profits from 667.

F3 · ownership.nature: Pursuant to the policies of the Adviser, M. Cantey Boyd does not have a right to any of the Issuer's securities issued as compensation for her service on the Board and the Funds are entitled to an indirect proportionate pecuniary interest in the securities. The Funds each own an indirect proportionate pecuniary interest in the Stock Options. Solely as a result of their ownership interest in (i) the general partners of the Funds and (ii) the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options and any Common Stock acquired upon the exercise of Stock Options (i.e. no direct pecuniary interest).

F4 · ownership.nature: The Adviser serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held directly by the Funds or for the benefit of the Funds. The Adviser GP is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held directly by the Funds or for the benefit of the Funds. The general partners of the Funds have relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held directly by the Funds or for the benefit of the Funds.

F5 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds or for the benefit of the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

F6 · ownership.nature: Pursuant to agreements between M. Cantey Boyd and the Adviser and the policies of the Adviser, the Adviser has voting and dispositive power over the Stock Options and any Common Stock acquired as a result of the exercise of the Stock Options.

F7 · ownership.nature: The acquisition of Stock Options reported on this form represents a single grant to M. Cantey Boyd of 25,000 Stock Options on Table II. This grant of 25,000 Stock Options for M. Cantey Boyd is reported for each of the Funds as each has an indirect pecuniary interest in such securities.

Read SEC document
April 03, 2023 Filed Apr 4, 2023 20:51 UTC
Patel PritiFormer Chief Medical Officer
SaleCommon Stock 3,769 $0.69 $2,607.77
Disclosure

SEC source: 0001209191-23-023100 · doc4.xml · nonDerivative · entry 2

Patel Priti · CIK 0001859997 · Former Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,313

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $0.6831 and the highest price at which shares were sold was $0.6980. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 20:51 UTC
Patel PritiFormer Chief Medical Officer
Exercise / conversionRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-23-023100 · doc4.xml · derivative · entry 3

Patel Priti · CIK 0001859997 · Former Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 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 RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.

F4 · derivative.exercise_date: The RSUs vested as to 1/2 of the total number of shares underlying the award on April 30, 2022 and the remainder of the RSUs vested on March 31, 2023 pursuant to an agreement between the Reporting Person and the Issuer.

F5 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.

Read SEC document
March 31, 2023 Filed Apr 4, 2023 20:51 UTC
Patel PritiFormer Chief Medical Officer
Exercise / conversionCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-023100 · doc4.xml · nonDerivative · entry 1

Patel Priti · CIK 0001859997 · Former Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,082

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.

Read SEC document
February 02, 2023 Filed Feb 3, 2023 16:32 UTC
Patel PritiChief Medical Officer
SaleCommon Stock 14,380 $0.60 $8,587.74
Disclosure

SEC source: 0001209191-23-006881 · doc4.xml · nonDerivative · entry 2

Patel Priti · CIK 0001859997 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,082

F2 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F3 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $0.576 and the highest price at which shares were sold was $0.635. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the ranges set forth herein.

F1 · balance_after: Includes 2,000 shares of Common Stock acquired by the Reporting Person on May 13, 2022 and 2,000 shares of Common Stock acquired by the Reporting Person on November 15, 2022 pursuant to the Issuer's employee stock purchase plan.

Read SEC document
February 02, 2023 Filed Feb 3, 2023 16:33 UTC
Smith Sean MichaelPrincipal Accounting Officer
SaleCommon Stock 3,316 $0.60 $1,980.32
Disclosure

SEC source: 0001209191-23-006886 · doc4.xml · nonDerivative · entry 2

Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,960

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $0.576 and the highest price at which shares were sold was $0.635. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the ranges set forth herein.

Read SEC document
February 01, 2023 Filed Feb 3, 2023 16:32 UTC
Patel PritiChief Medical Officer
Exercise / conversionRestricted Stock Units · Derivative 35,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-23-006881 · doc4.xml · derivative · entry 3

Patel Priti · CIK 0001859997 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.

F5 · derivative.exercise_date: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of February 1, 2023 and February 1, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F6 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.

Read SEC document
February 01, 2023 Filed Feb 3, 2023 16:32 UTC
Patel PritiChief Medical Officer
Exercise / conversionCommon Stock 35,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-006881 · doc4.xml · nonDerivative · entry 1

Patel Priti · CIK 0001859997 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,462

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

F1 · balance_after: Includes 2,000 shares of Common Stock acquired by the Reporting Person on May 13, 2022 and 2,000 shares of Common Stock acquired by the Reporting Person on November 15, 2022 pursuant to the Issuer's employee stock purchase plan.

Read SEC document
February 01, 2023 Filed Feb 3, 2023 16:33 UTC
Smith Sean MichaelPrincipal Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 12,500 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-23-006886 · doc4.xml · derivative · entry 3

Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 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 RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.

F4 · derivative.exercise_date: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of February 1, 2023 and February 1, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F5 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.

Read SEC document
February 01, 2023 Filed Feb 3, 2023 16:33 UTC
Smith Sean MichaelPrincipal Accounting Officer
Exercise / conversionCommon Stock 12,500 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-006886 · doc4.xml · nonDerivative · entry 1

Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,276

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.

Read SEC document
August 10, 2022 Filed Aug 12, 2022 17:24 UTC
Smith Sean MichaelPrincipal Accounting Officer
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-045667 · doc4.xml · derivative · entry 3

Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 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 RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.

F4 · derivative.exercise_date: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of August 10, 2022 and August 10, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F5 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.

Read SEC document
August 10, 2022 Filed Aug 12, 2022 17:24 UTC
Smith Sean MichaelPrincipal Accounting Officer
SaleCommon Stock 1,655 $0.99 $1,640.77
Disclosure

SEC source: 0001209191-22-045667 · doc4.xml · nonDerivative · entry 2

Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,776

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $.9801 and the highest price at which shares were sold was $1.01. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein.

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August 10, 2022 Filed Aug 12, 2022 17:24 UTC
Smith Sean MichaelPrincipal Accounting Officer
Exercise / conversionCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-045667 · doc4.xml · nonDerivative · entry 1

Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,431

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.

Read SEC document
August 02, 2022 Filed Aug 4, 2022 16:40 UTC
Patel PritiChief Medical Officer
GrantStock Option (Right to Buy) · Derivative 250,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001209191-22-044433 · doc4.xml · derivative · entry 1

Patel Priti · CIK 0001859997 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2032-08-01

F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 2, 2023, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

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August 02, 2022 Filed Aug 4, 2022 16:41 UTC
Smith Sean MichaelPrincipal Accounting Officer
GrantStock Option (Right to Buy) · Derivative 150,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001209191-22-044434 · doc4.xml · derivative · entry 1

Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2032-08-01

F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 2, 2023, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
August 02, 2022 Filed Aug 4, 2022 16:43 UTC
Walkey CarlSenior Vice President
GrantStock Option (Right to Buy) · Derivative 150,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001209191-22-044435 · doc4.xml · derivative · entry 1

Walkey Carl · CIK 0001843189 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2032-08-01

F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 2, 2023, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
August 02, 2022 Filed Aug 4, 2022 20:37 UTC
Cochener DonnaGeneral Counsel, SVP Legal
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001209191-22-044430 · doc4.xml · derivative · entry 1

Cochener Donna · CIK 0001915445 · General Counsel, SVP Legal

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-08-01

F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 2, 2023, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
August 02, 2022 Filed Aug 4, 2022 20:38 UTC
DRACHMAN JONATHAN GDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 350,000 $0.00 Strike: $0.99 $0.00
Disclosure

SEC source: 0001209191-22-044432 · doc4.xml · derivative · entry 1

DRACHMAN JONATHAN G · CIK 0001588467 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 350,000 shares

Expires 2032-08-01

F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 2, 2023, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
May 12, 2022 Filed May 16, 2022 20:01 UTC
667, L.P.Director
BAKER FELIXDirector
BAKER JULIANDirector
GrantNon-Qualified Stock Option (right to buy) · Derivative 25,000 $0.00 Strike: $1.07 $0.00
Disclosure

SEC source: 0001209191-22-029115 · doc4.xml · derivative · entry 1

BAKER BROS. ADVISORS LP · CIK 0001263508 · Director

667, L.P. · CIK 0001551139 · Director

Baker Brothers Life Sciences LP · CIK 0001363364 · Director

BAKER FELIX · CIK 0001087940 · Director

BAKER JULIAN · CIK 0001087939 · Director

Baker Bros. Advisors (GP) LLC · CIK 0001580575 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-05-11

F1 · derivative.exercise_date: 25,000 non-qualified stock options ("Stock Options") exercisable solely into common stock of Neoleukin Therapeutics, Inc. (the "Issuer") were granted under the Issuer's 2014 Equity Incentive Plan to M. Cantey Boyd, a full-time employee of Baker Bros. Advisors LP (the "Adviser") in her capacity as a director of the Issuer. The Stock Options with a strike price of $1.07 vest in 12 equal monthly installments beginning on June 12, 2022, subject to M. Cantey Boyd's continued service on the board of directors of the Issuer (the "Board") and expire on May 11, 2032. M. Cantey Boyd serves on the Board as a representative of Baker Brothers Life Sciences, L.P. ("Life Sciences") and 667, L.P. ("667", and together with Life Sciences, the "Funds").

F1 · ownership.nature: 25,000 non-qualified stock options ("Stock Options") exercisable solely into common stock of Neoleukin Therapeutics, Inc. (the "Issuer") were granted under the Issuer's 2014 Equity Incentive Plan to M. Cantey Boyd, a full-time employee of Baker Bros. Advisors LP (the "Adviser") in her capacity as a director of the Issuer. The Stock Options with a strike price of $1.07 vest in 12 equal monthly installments beginning on June 12, 2022, subject to M. Cantey Boyd's continued service on the board of directors of the Issuer (the "Board") and expire on May 11, 2032. M. Cantey Boyd serves on the Board as a representative of Baker Brothers Life Sciences, L.P. ("Life Sciences") and 667, L.P. ("667", and together with Life Sciences, the "Funds").

F2 · ownership.nature: The policies of the Funds and the Adviser do not permit full-time employees of the Adviser or managing members of the Adviser GP (as defined below) to receive compensation for serving as a director of the Issuer. The Funds are entitled to receive all of the pecuniary interest in the securities issued. The Funds each own an indirect proportionate pecuniary interest in the Stock Options. Solely as a result of Felix J. Baker's and Julian C. Baker's ownership interest in (i) the general partners of the Funds and (ii) the Funds, Felix J. Baker and Julian C. Baker may be deemed to have an indirect pecuniary interest in the Stock Options (i.e. no direct pecuniary interest).

F3 · ownership.nature: The Adviser serves as the investment adviser to the Funds. In connection with the services provided by the Adviser, the Adviser receives an asset-based management fee that does not confer any pecuniary interest in the securities held by the Funds. Baker Bros. Advisors (GP) LLC (the "Adviser GP") is the Adviser's sole general partner. Julian C. Baker and Felix J. Baker are managing members of the Adviser GP. The Adviser has complete and unlimited discretion and authority with respect to the investment and voting power of the securities held by the Funds. The general partners of the Funds have relinquished to the Adviser all discretion and authority with respect to the investment and voting power of the securities held by the Funds. The Adviser has investment and dispositive power over the Stock Options and any common stock of the Issuer received as a result of the exercise of Stock Options.

F4 · ownership.nature: Julian C. Baker, Felix J. Baker, the Adviser GP and the Adviser disclaim beneficial ownership of the securities held directly by the Funds except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that any of Julian C. Baker, Felix J. Baker, the Adviser GP or the Adviser is a beneficial owner of such securities for purposes of Section 16 or any other purpose.

Read SEC document
May 12, 2022 Filed May 16, 2022 22:23 UTC
Lavelle ErinDirector
GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $1.07 $0.00
Disclosure

SEC source: 0001209191-22-029323 · doc4.xml · derivative · entry 1

Lavelle Erin · CIK 0001737613 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-05-11

F1 · derivative.exercise_date: The option vests as to 1/12 of the total shares monthly beginning June 12, 2022 until the option is fully vested on May 12, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
May 12, 2022 Filed May 16, 2022 18:24 UTC GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $1.07 $0.00
Disclosure

SEC source: 0001209191-22-029324 · doc4.xml · derivative · entry 1

Noonberg Sarah B. · CIK 0001706301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-05-11

F1 · derivative.exercise_date: The option vests as to 1/12 of the total shares monthly beginning June 12, 2022 until the option is fully vested on May 12, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
May 12, 2022 Filed May 16, 2022 22:22 UTC GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $1.07 $0.00
Disclosure

SEC source: 0001209191-22-029321 · doc4.xml · derivative · entry 1

Babler Martin · CIK 0001435618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-05-11

F1 · derivative.exercise_date: The option vests as to 1/12 of the total shares monthly beginning June 12, 2022 until the option is fully vested on May 12, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
May 12, 2022 Filed May 16, 2022 18:26 UTC GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $1.07 $0.00
Disclosure

SEC source: 0001209191-22-029325 · doc4.xml · derivative · entry 1

PALEKAR ROHAN · CIK 0001423327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-05-11

F1 · derivative.exercise_date: The option vests as to 1/12 of the total shares monthly beginning June 12, 2022 until the option is fully vested on May 12, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
May 12, 2022 Filed May 16, 2022 22:27 UTC GrantStock Option (Right to Buy) · Derivative 25,000 $0.00 Strike: $1.07 $0.00
Disclosure

SEC source: 0001209191-22-029326 · doc4.xml · derivative · entry 1

SIMPSON TODD E · CIK 0001216477 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-05-11

F1 · derivative.exercise_date: The option vests as to 1/12 of the total shares monthly beginning June 12, 2022 until the option is fully vested on May 12, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
May 02, 2022 Filed May 3, 2022 19:16 UTC
Patel PritiChief Medical Officer
SaleCommon Stock 5,538 $1.22 $6,748.61
Disclosure

SEC source: 0001209191-22-026894 · doc4.xml · nonDerivative · entry 2

Patel Priti · CIK 0001859997 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,462

F2 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F3 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $1.21 and the highest price at which shares were sold was $1.25. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the ranges set forth herein.

F1 · balance_after: Includes 2,000 shares of common stock acquired by the Reporting Person on November 15, 2021 pursuant to the Issuer's employee stock purchase plan.

Read SEC document
April 30, 2022 Filed May 3, 2022 19:16 UTC
Patel PritiChief Medical Officer
Exercise / conversionRestricted Stock Units · Derivative 10,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-026894 · doc4.xml · derivative · entry 3

Patel Priti · CIK 0001859997 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.

F5 · derivative.exercise_date: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of April 30, 2022 and April 30, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F6 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.

Read SEC document
April 30, 2022 Filed May 3, 2022 19:16 UTC
Patel PritiChief Medical Officer
Exercise / conversionCommon Stock 10,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-026894 · doc4.xml · nonDerivative · entry 1

Patel Priti · CIK 0001859997 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

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

F1 · balance_after: Includes 2,000 shares of common stock acquired by the Reporting Person on November 15, 2021 pursuant to the Issuer's employee stock purchase plan.

Read SEC document
March 14, 2022 Filed Mar 15, 2022 22:05 UTC
Cochener DonnaGeneral Counsel, SVP Legal
GrantStock Option (Right to Buy) · Derivative 400,000 $0.00 Strike: $1.81 $0.00
Disclosure

SEC source: 0001209191-22-018936 · doc4.xml · derivative · entry 1

Cochener Donna · CIK 0001915445 · General Counsel, SVP Legal

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2032-03-14

F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on March 14, 2023, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
March 02, 2022 Filed Mar 3, 2022 16:39 UTC
Smith Sean MichaelPrincipal Accounting Officer
GrantStock Option (Right to Buy) · Derivative 80,000 $0.00 Strike: $2.72 $0.00
Disclosure

SEC source: 0001209191-22-015479 · doc4.xml · derivative · entry 1

Smith Sean Michael · CIK 0001914769 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2032-03-01

F1 · derivative.exercise_date: 1/4 of the shares subject to the option will vest on March 2, 2023, and 1/48 of the shares subject to the option will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
March 02, 2022 Filed Mar 4, 2022 18:12 UTC GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $2.72 $0.00
Disclosure

SEC source: 0001209191-22-016454 · doc4.xml · derivative · entry 1

PALEKAR ROHAN · CIK 0001423327 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2032-03-01

F1 · derivative.exercise_date: The option vests as to 1/3 of the total shares on each of March 2, 2023, March 2, 2024 and March 2, 2025, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
February 01, 2022 Filed Feb 2, 2022 16:39 UTC
Patel PritiChief Medical Officer
GrantRestricted Stock Units · Derivative 70,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-006395 · doc4.xml · derivative · entry 1

Patel Priti · CIK 0001859997 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of February 1, 2023 and February 1, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F3 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.

Read SEC document
February 01, 2022 Filed Feb 2, 2022 16:42 UTC
Walkey CarlSenior Vice President
GrantRestricted Stock Units · Derivative 55,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-006398 · doc4.xml · derivative · entry 1

Walkey Carl · CIK 0001843189 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of February 1, 2023 and February 1, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F3 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.

Read SEC document
February 01, 2022 Filed Feb 2, 2022 16:36 UTC
Ho RobertChief Financial Officer
GrantRestricted Stock Units · Derivative 70,000 $0.00 Strike: $0.00 $0.00
Disclosure

SEC source: 0001209191-22-006391 · doc4.xml · derivative · entry 1

Ho Robert · CIK 0001806254 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: The RSUs will vest as to 1/2 of the total number of shares underlying the award on each of February 1, 2023 and February 1, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F3 · derivative.expiration_date: The RSUs do not expire; these securities either vest and settle or are canceled prior to the vesting date.

Read SEC document
October 26, 2021 Filed Feb 15, 2022 00:54 UTC
DRACHMAN JONATHAN GDirector · President and CEO
GiftCommon Stock 75,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-009562 · doc5.xml · nonDerivative · entry 4

DRACHMAN JONATHAN G · CIK 0001588467 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 100,000

F2 · ownership.nature: These securities are held by the JGD Family Trust 2020.

Read SEC document
October 26, 2021 Filed Feb 15, 2022 00:54 UTC
DRACHMAN JONATHAN GDirector · President and CEO
GiftCommon Stock 75,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-009562 · doc5.xml · nonDerivative · entry 3

DRACHMAN JONATHAN G · CIK 0001588467 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 100,000

F1 · ownership.nature: These securities are held by the PLD Family Trust 2020.

Read SEC document
October 26, 2021 Filed Feb 15, 2022 00:54 UTC
DRACHMAN JONATHAN GDirector · President and CEO
GiftCommon Stock 75,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-009562 · doc5.xml · nonDerivative · entry 2

DRACHMAN JONATHAN G · CIK 0001588467 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,198,686

Read SEC document
October 26, 2021 Filed Feb 15, 2022 00:54 UTC
DRACHMAN JONATHAN GDirector · President and CEO
GiftCommon Stock 75,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-22-009562 · doc5.xml · nonDerivative · entry 1

DRACHMAN JONATHAN G · CIK 0001588467 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,198,686

Read SEC document
August 25, 2021 Filed Aug 26, 2021 23:08 UTC
DRACHMAN JONATHAN GDirector · President and CEO
PurchaseCommon Stock 25,000 $6.45 $161,225.00
Disclosure

SEC source: 0001209191-21-053544 · doc4.xml · nonDerivative · entry 3

DRACHMAN JONATHAN G · CIK 0001588467 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 25,000

F2 · price: Represents the weighted average purchase price. The lowest price at which shares were purchased was $6.09 and the highest price at which shares were purchased was $6.60.

F4 · ownership.nature: These securities are held by a spousal limited access trust of which the Reporting Person's spouse is the primary beneficiary.

Read SEC document
August 25, 2021 Filed Aug 26, 2021 23:08 UTC
DRACHMAN JONATHAN GDirector · President and CEO
PurchaseCommon Stock 25,000 $6.45 $161,225.00
Disclosure

SEC source: 0001209191-21-053544 · doc4.xml · nonDerivative · entry 2

DRACHMAN JONATHAN G · CIK 0001588467 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 25,000

F2 · price: Represents the weighted average purchase price. The lowest price at which shares were purchased was $6.09 and the highest price at which shares were purchased was $6.60.

F3 · ownership.nature: These securities are held by a spousal limited access trust of which the Reporting Person is the primary beneficiary.

Read SEC document
August 24, 2021 Filed Aug 26, 2021 23:08 UTC
DRACHMAN JONATHAN GDirector · President and CEO
PurchaseCommon Stock 100,000 $6.11 $611,100.00
Disclosure

SEC source: 0001209191-21-053544 · doc4.xml · nonDerivative · entry 1

DRACHMAN JONATHAN G · CIK 0001588467 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,348,686

F1 · price: Represents the weighted average purchase price. The lowest price at which shares were purchased was $6.1099 and the highest price at which shares were purchased was $6.1482. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares purchased at each separate price within the ranges set forth in footnotes (1) and (2) to this Form 4.

Read SEC document
August 03, 2021 Filed Aug 5, 2021 16:23 UTC
Patel PritiChief Medical Officer
GrantStock Option (Right to Buy) · Derivative 50,000 $0.00 Strike: $6.80 $0.00
Disclosure

SEC source: 0001209191-21-049928 · doc4.xml · derivative · entry 1

Patel Priti · CIK 0001859997 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2031-08-03

F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 3, 2022, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
August 03, 2021 Filed Aug 5, 2021 16:29 UTC
Walkey CarlSenior Vice President
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $6.80 $0.00
Disclosure

SEC source: 0001209191-21-049941 · doc4.xml · derivative · entry 1

Walkey Carl · CIK 0001843189 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-08-03

F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 3, 2022, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
August 03, 2021 Filed Aug 5, 2021 16:14 UTC
Ho RobertChief Financial Officer
GrantStock Option (Right to Buy) · Derivative 190,000 $0.00 Strike: $6.80 $0.00
Disclosure

SEC source: 0001209191-21-049923 · doc4.xml · derivative · entry 1

Ho Robert · CIK 0001806254 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,000

Underlying: Common Stock · 190,000 shares

Expires 2031-08-03

F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 3, 2022, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
August 03, 2021 Filed Aug 5, 2021 20:25 UTC
Vance HollyGeneral Counsel
GrantStock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $6.80 $0.00
Disclosure

SEC source: 0001209191-21-049930 · doc4.xml · derivative · entry 1

Vance Holly · CIK 0001827307 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-08-03

F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 3, 2022, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document
August 03, 2021 Filed Aug 5, 2021 20:12 UTC
DRACHMAN JONATHAN GDirector · President and CEO
GrantStock Option (Right to Buy) · Derivative 400,000 $0.00 Strike: $6.80 $0.00
Disclosure

SEC source: 0001209191-21-049919 · doc4.xml · derivative · entry 1

DRACHMAN JONATHAN G · CIK 0001588467 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2031-08-03

F1 · derivative.exercise_date: The option vests as to 1/4 of the total shares on August 3, 2022, and then 1/48 of the total shares will vest monthly thereafter, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.