OCGN

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 15

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,078

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 14

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,078

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 13

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,078

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 12

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,078

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 11

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,078

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 10

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,915

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 9

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,915

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 8

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,915

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 7

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,715

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 6

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,515

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 5

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,855

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 4

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,855

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 3

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,755

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 2

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 397

SEC source: 0001104659-19-053095 · a4.xml · nonDerivative · entry 1

Zhang Junge · CIK 0001790205 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197

SEC source: 0000899243-19-003145 · doc4.xml · derivative · entry 8

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 111,111 shares

Expires 2021-11-22

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F4 · ownership.nature: The reportable securities are owned by the Kevin L Rakin Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-003145 · doc4.xml · derivative · entry 7

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 33,333 shares

Expires 2021-11-22

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F3 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Julia Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-003145 · doc4.xml · derivative · entry 6

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 33,333 shares

Expires 2021-11-22

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F2 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Sarah Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-003145 · doc4.xml · derivative · entry 5

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 173,076 shares

Expires 2023-10-10

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

SEC source: 0000899243-19-003145 · doc4.xml · nonDerivative · entry 4

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 257,846

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F4 · ownership.nature: The reportable securities are owned by the Kevin L Rakin Irrevocable Trust. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-003145 · doc4.xml · nonDerivative · entry 3

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 66,666

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F3 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Julia Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Exchange Act or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-003145 · doc4.xml · nonDerivative · entry 2

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 66,666

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F2 · ownership.nature: The reportable securities are owned by the Alison N Hoffman and Kevin L Rakin Irrevocable Trust For Sarah Hoffman Rakin. The Reporting Person disclaims beneficial ownership of these shares and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or for any other purpose, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-19-003145 · doc4.xml · nonDerivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 418,639

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

SEC source: 0000899243-19-003147 · doc4.xml · derivative · entry 4

Wilmslow Estates Ltd · CIK 0001626777 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,244,444 shares

Expires 2021-11-22

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

SEC source: 0000899243-19-003147 · doc4.xml · derivative · entry 3

Wilmslow Estates Ltd · CIK 0001626777 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 403,845 shares

Expires 2023-10-10

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

SEC source: 0000899243-19-003147 · doc4.xml · nonDerivative · entry 2

Wilmslow Estates Ltd · CIK 0001626777 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,258,859

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

SEC source: 0000899243-19-003147 · doc4.xml · nonDerivative · entry 1

Wilmslow Estates Ltd · CIK 0001626777 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,014,415

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

SEC source: 0000899243-19-003146 · doc4.xml · derivative · entry 4

Lewis Michael · CIK 0001626134 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,244,444 shares

Expires 2021-11-22

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F2 · ownership.nature: The reportable securities are owned by Wilmslow Estates Limited. The Reporting Person has no beneficial interest in the trust which ultimately owns the economic interest in Wilmslow Estates Limited, but other members of the Reporting Person's family are discretionary beneficiaries in such trust. To the extent the Reporting Person may be deemed to hold an indirect beneficial interest under applicable United States securities laws, the Reporting Person disclaims such beneficial interest. The Reporting Person disclaims beneficial ownership of these shares and this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-19-003146 · doc4.xml · derivative · entry 3

Lewis Michael · CIK 0001626134 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 403,845 shares

Expires 2023-10-10

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F2 · ownership.nature: The reportable securities are owned by Wilmslow Estates Limited. The Reporting Person has no beneficial interest in the trust which ultimately owns the economic interest in Wilmslow Estates Limited, but other members of the Reporting Person's family are discretionary beneficiaries in such trust. To the extent the Reporting Person may be deemed to hold an indirect beneficial interest under applicable United States securities laws, the Reporting Person disclaims such beneficial interest. The Reporting Person disclaims beneficial ownership of these shares and this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-19-003146 · doc4.xml · nonDerivative · entry 2

Lewis Michael · CIK 0001626134 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 5,258,859

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F2 · ownership.nature: The reportable securities are owned by Wilmslow Estates Limited. The Reporting Person has no beneficial interest in the trust which ultimately owns the economic interest in Wilmslow Estates Limited, but other members of the Reporting Person's family are discretionary beneficiaries in such trust. To the extent the Reporting Person may be deemed to hold an indirect beneficial interest under applicable United States securities laws, the Reporting Person disclaims such beneficial interest. The Reporting Person disclaims beneficial ownership of these shares and this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-19-003146 · doc4.xml · nonDerivative · entry 1

Lewis Michael · CIK 0001626134 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,014,415

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

F1 · price: The per share exercise price of each Common Stock Warrant was re-priced to $0.01 pursuant to a warrant exercise agreement entered into with the Issuer on February 8, 2019.

F2 · ownership.nature: The reportable securities are owned by Wilmslow Estates Limited. The Reporting Person has no beneficial interest in the trust which ultimately owns the economic interest in Wilmslow Estates Limited, but other members of the Reporting Person's family are discretionary beneficiaries in such trust. To the extent the Reporting Person may be deemed to hold an indirect beneficial interest under applicable United States securities laws, the Reporting Person disclaims such beneficial interest. The Reporting Person disclaims beneficial ownership of these shares and this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001567619-19-001160 · doc1.xml · nonDerivative · entry 3

KIRK RANDAL J · CIK 0001091823 · 10% owner

INTREXON CORP · CIK 0001356090 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Intrexon

Disclosed balance after: 1,692,366

F1 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon Corporation ("Intrexon") and serves as Intrexon's Chairman of the Board and Chief Executive Officer. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

SEC source: 0001567619-19-001160 · doc1.xml · nonDerivative · entry 2

KIRK RANDAL J · CIK 0001091823 · 10% owner

INTREXON CORP · CIK 0001356090 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Intrexon

Disclosed balance after: 2,038,263

F1 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon Corporation ("Intrexon") and serves as Intrexon's Chairman of the Board and Chief Executive Officer. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

SEC source: 0001567619-19-001160 · doc1.xml · nonDerivative · entry 1

KIRK RANDAL J · CIK 0001091823 · 10% owner

INTREXON CORP · CIK 0001356090 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by Intrexon

Disclosed balance after: 2,438,770

F1 · ownership.nature: Randal J. Kirk, directly and through certain affiliates, is the largest shareholder of Intrexon Corporation ("Intrexon") and serves as Intrexon's Chairman of the Board and Chief Executive Officer. Mr. Kirk may therefore be deemed to have voting and dispositive power over the shares of the issuer owned by Intrexon. Shares held by Intrexon may be deemed to be indirectly beneficially owned (as defined under Rule 13d-3 promulgated under the Securities Exchange Act of 1934, as amended) by Mr. Kirk. Mr. Kirk disclaims beneficial ownership of such shares, except to the extent of any pecuniary interest therein.

SEC source: 0000899243-18-026560 · doc4.xml · derivative · entry 2

Wilmslow Estates Ltd · CIK 0001626777 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 403,845

Underlying: Common Stock · 403,845 shares

Expires 2023-10-10

F1 · price: The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $0.65 per unit. Each share of Common Stock is accompanied by a Common Stock Warrant to purchase 0.75 shares of Common Stock, which are exercisable immediately for a period of 5 years from the date of issuance.

SEC source: 0000899243-18-026560 · doc4.xml · nonDerivative · entry 1

Wilmslow Estates Ltd · CIK 0001626777 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,610,570

F1 · price: The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $0.65 per unit. Each share of Common Stock is accompanied by a Common Stock Warrant to purchase 0.75 shares of Common Stock, which are exercisable immediately for a period of 5 years from the date of issuance.

SEC source: 0000899243-18-026561 · doc4.xml · derivative · entry 5

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,076

Underlying: Common Stock · 173,076 shares

Expires 2023-10-10

F1 · price: The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $0.65 per unit. Each share of Common Stock is accompanied by a Common Stock Warrant to purchase 0.75 shares of Common Stock, which are exercisable immediately for a period of 5 years from the date of issuance.

SEC source: 0000899243-18-026561 · doc4.xml · nonDerivative · entry 1

RAKIN KEVIN · CIK 0001184421 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,563

F1 · price: The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $0.65 per unit. Each share of Common Stock is accompanied by a Common Stock Warrant to purchase 0.75 shares of Common Stock, which are exercisable immediately for a period of 5 years from the date of issuance.

SEC source: 0000899243-18-026559 · doc4.xml · derivative · entry 2

Lewis Michael · CIK 0001626134 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 403,845

Underlying: Common Stock · 403,845 shares

Expires 2023-10-10

F1 · price: The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $0.65 per unit. Each share of Common Stock is accompanied by a Common Stock Warrant to purchase 0.75 shares of Common Stock, which are exercisable immediately for a period of 5 years from the date of issuance.

F2 · ownership.nature: The reportable securities are owned by Wilmslow Estates Limited. The Reporting Person has no beneficial interest in the trust which ultimately owns the economic interest in Wilmslow Estates Limited, but other members of the Reporting Person's family are discretionary beneficiaries in such trust. To the extent the Reporting Person may be deemed to hold an indirect beneficial interest under applicable United States securities laws, the Reporting Person disclaims such beneficial interest. The Reporting Person disclaims beneficial ownership of these shares and this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-18-026559 · doc4.xml · nonDerivative · entry 1

Lewis Michael · CIK 0001626134 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,610,570

F1 · price: The Common Stock and Common Stock Warrants were issued and sold in a fixed combination at a purchase price of $0.65 per unit. Each share of Common Stock is accompanied by a Common Stock Warrant to purchase 0.75 shares of Common Stock, which are exercisable immediately for a period of 5 years from the date of issuance.

F2 · ownership.nature: The reportable securities are owned by Wilmslow Estates Limited. The Reporting Person has no beneficial interest in the trust which ultimately owns the economic interest in Wilmslow Estates Limited, but other members of the Reporting Person's family are discretionary beneficiaries in such trust. To the extent the Reporting Person may be deemed to hold an indirect beneficial interest under applicable United States securities laws, the Reporting Person disclaims such beneficial interest. The Reporting Person disclaims beneficial ownership of these shares and this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-18-026060 · doc4.xml · derivative · entry 2

Kelley Lynne E · CIK 0001667584 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2028-07-30

F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options.

F2 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on July 31, 2018. This option vests over four (4) years of service following July 31, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and in thirty-six (36) equal monthly installments thereafter.

SEC source: 0000899243-18-026060 · doc4.xml · derivative · entry 1

Kelley Lynne E · CIK 0001667584 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2028-07-30

F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options.

F2 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on July 31, 2018. This option vests over four (4) years of service following July 31, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service and in thirty-six (36) equal monthly installments thereafter.

SEC source: 0000899243-18-026059 · doc4.xml · derivative · entry 15

Kennedy Stephen Richard · CIK 0001625830 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2025-02-25

F9 · kind: This transaction reflects the cancellation for no consideration of certain outstanding stock options to purchase common stock of the Issuer that were previously granted to the Reporting Person (the "Cancelled Options").

F10 · derivative.exercise_date: The Cancelled Option was originally granted to the Reporting Person on February 26, 2015 and was to vest in full if the Issuer's Common Stock price reached $19.92 per shares or above for any consecutive sixty (60) day period within four (4) years of the date of grant.

SEC source: 0000899243-18-026059 · doc4.xml · derivative · entry 14

Kennedy Stephen Richard · CIK 0001625830 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,000

Underlying: Common Stock · 115,000 shares

Expires 2028-02-15

F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options.

F8 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on February 16, 2018. This option vests over four (4) years of service to the Issuer following February 16, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter.

SEC source: 0000899243-18-026059 · doc4.xml · derivative · entry 13

Kennedy Stephen Richard · CIK 0001625830 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 115,000 shares

Expires 2028-02-15

F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options.

F8 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on February 16, 2018. This option vests over four (4) years of service to the Issuer following February 16, 2018, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter.

SEC source: 0000899243-18-026059 · doc4.xml · derivative · entry 12

Kennedy Stephen Richard · CIK 0001625830 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-10-09

F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options.

F7 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on October 10, 2017, This option vests over four (4) years of service to the Issuer following October 10, 2017, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter.

SEC source: 0000899243-18-026059 · doc4.xml · derivative · entry 11

Kennedy Stephen Richard · CIK 0001625830 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2027-10-09

F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options.

F7 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on October 10, 2017, This option vests over four (4) years of service to the Issuer following October 10, 2017, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter.

SEC source: 0000899243-18-026059 · doc4.xml · derivative · entry 10

Kennedy Stephen Richard · CIK 0001625830 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2027-02-13

F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options.

F6 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on February 14, 2017, This option vests over four (4) years of service to the Issuer following February 14, 2017, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter.

SEC source: 0000899243-18-026059 · doc4.xml · derivative · entry 9

Kennedy Stephen Richard · CIK 0001625830 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2027-02-13

F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options.

F6 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on February 14, 2017, This option vests over four (4) years of service to the Issuer following February 14, 2017, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter.

SEC source: 0000899243-18-026059 · doc4.xml · derivative · entry 8

Kennedy Stephen Richard · CIK 0001625830 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2026-02-25

F1 · kind: The transactions reported herein reflect a one-time stock option repricing (the "Option Repricing") that became effective on October 1, 2018. Pursuant to the Option Repricing, the exercise price of each "Relevant Option" (any stock option awarded by the Issuer under it 2012 Equity Incentive Plan or 2013 Equity Incentive Plan with an exercise price greater than $ 0.75628 per share held by current service providers other than the non-employee members of the Issuer's board of directors) has been amended to reduce such exercise price to $0.568, which was the closing price of a share of the Issuer's common stock reported on The Nasdaq Capital Market on October 1, 2018. There have been no other changes to the terms of the Relevant Options.

F5 · derivative.exercise_date: The stock option was originally granted to the Reporting Person on February 26, 2016. This option vests over four (4) years of service to the Issuer following February 26, 2016, with twenty-five percent (25%) vesting upon completion of one (1) year of continuous service to the Issuer following such date and the balance vesting in thirty-six (36) equal monthly installments thereafter.