OTLK

SEC source: 0001209191-23-021905 · doc4.xml · derivative · entry 1

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,065

Underlying: Common Stock · 41,065 shares

Expires 2033-03-29

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 29,2024; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-23-021907 · doc4.xml · derivative · entry 1

Gangolli Julian S · CIK 0001532023 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,065

Underlying: Common Stock · 41,065 shares

Expires 2033-03-29

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 29,2024; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-23-021913 · doc4.xml · derivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,065

Underlying: Common Stock · 41,065 shares

Expires 2033-03-29

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 29,2024; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-23-021912 · doc4.xml · derivative · entry 1

Haller Julia A · CIK 0001656082 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,065

Underlying: Common Stock · 41,065 shares

Expires 2033-03-29

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 29,2024; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-23-021906 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,065

Underlying: Common Stock · 41,065 shares

Expires 2033-03-29

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 29,2024; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-23-004732 · doc4.xml · nonDerivative · entry 1

Evanson Jeff · CIK 0001760511 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 745,975

F1 · shares: These shares were sold to cover taxes upon lapse of Issuer's repurchase right as to 75% of the shares as provided in that certain Consulting Agreement dated January 27, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.10 - $1.24, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-23-004118 · doc4.xml · nonDerivative · entry 3

Evanson Jeff · CIK 0001760511 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,012,975

F1 · shares: These shares were sold to cover taxes upon lapse of Issuer's repurchase right as to 75% of the shares as provided in that certain Consulting Agreement dated January 27, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.1909 - $1.265, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-23-004118 · doc4.xml · nonDerivative · entry 2

Evanson Jeff · CIK 0001760511 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,116,230

F1 · shares: These shares were sold to cover taxes upon lapse of Issuer's repurchase right as to 75% of the shares as provided in that certain Consulting Agreement dated January 27, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from within a $1.00 range. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-23-004118 · doc4.xml · nonDerivative · entry 1

Evanson Jeff · CIK 0001760511 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,149,968

F1 · shares: These shares were sold to cover taxes upon lapse of Issuer's repurchase right as to 75% of the shares as provided in that certain Consulting Agreement dated January 27, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from within a $1.00 range. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0000947871-22-001263 · ownership.xml · nonDerivative · entry 1

Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner

GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 70,047,204

F1 · kind: These securities are held of record by GMS Ventures & Investments ("GMS Ventures"). Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization.

F1 · ownership.nature: These securities are held of record by GMS Ventures & Investments ("GMS Ventures"). Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization.

F2 · ownership.nature: By virtue of the relationships described above in Footnote 1, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0001209191-22-053357 · doc4.xml · nonDerivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.29 - $1.295, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

F2 · balance_after: Reflects the amount of securities beneficially owned by the Reporting Person following the reported transaction herein and corrects the erroneous Form 4 filed with the Securities and Exchange Commission on April 22, 2022 (the "April 22, 2022 Filing"), pursuant to which a total of 55,816,786 shares were reported as indirectly beneficially owned (by GMS Ventures) on Table I. These shares are indirectly beneficially owned by Ghiath M. Sukhtian (CIK number 0001717441) and not by the Reporting Person. The April 22, 2022 Filing was erroneously made under the Reporting Person's CIK number.

SEC source: 0001209191-22-053354 · doc4.xml · nonDerivative · entry 2

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,343

SEC source: 0001209191-22-053354 · doc4.xml · nonDerivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,743

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.279 - $1.2915, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-22-052778 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473,117

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.21 - $1.27, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-22-053111 · doc4.xml · derivative · entry 1

Huang Andong · CIK 0001815678 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,399

Underlying: Common Stock · 38,399 shares

Expires 2032-10-05

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $40,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2023, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-22-053116 · doc4.xml · derivative · entry 1

Auffarth Gerd · CIK 0001649867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,239

Underlying: Common Stock · 42,239 shares

Expires 2032-10-05

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $44,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2023, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-22-053121 · doc4.xml · derivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,598

Underlying: Common Stock · 57,598 shares

Expires 2032-10-05

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $60,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2023, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-22-053119 · doc4.xml · derivative · entry 1

Gangolli Julian S · CIK 0001532023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,398

Underlying: Common Stock · 74,398 shares

Expires 2032-10-05

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $77,500 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2023, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-22-053123 · doc4.xml · derivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,998

Underlying: Common Stock · 71,998 shares

Expires 2032-10-05

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $75,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2023, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-22-053117 · doc4.xml · derivative · entry 1

Haller Julia A · CIK 0001656082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,239

Underlying: Common Stock · 42,239 shares

Expires 2032-10-05

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $44,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2023, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-22-053113 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,878

Underlying: Common Stock · 74,878 shares

Expires 2032-10-05

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $78,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2023, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-22-052778 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 457,455

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.26 - $1.315, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-22-051912 · doc4.xml · nonDerivative · entry 3

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 361,914

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.21 - $1.26, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-22-051912 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,116

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.19 - $1.30, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-22-051912 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 286,917

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.18 - $1.21, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-22-045826 · doc4.xml · derivative · entry 1

Haller Julia A · CIK 0001656082 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-08-11

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in three equal installments on each of August 11, 2023, August 11, 2024 and August 11, 2025, subject to the Reporting Person providing continuous service to the Issuer on each such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-22-038989 · doc4.xml · nonDerivative · entry 1

Dagnon Terry · CIK 0001760510 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,173,058

SEC source: 0001209191-22-038985 · doc4.xml · nonDerivative · entry 1

TRENARY C RUSSELL III · CIK 0001227307 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,925

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.03 to $1.09, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0000947871-22-000476 · ownership.xml · nonDerivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director · 10% owner

GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 55,816,786

F1 · kind: On April 21, 2022, GMS Ventures & Investments ("GMS Ventures") entered into a share purchase agreement with BioLexis Pte Ltd. ("BioLexis"), pursuant to which, in connection with the transactions contemplated thereby (the "Restructuring"), GMS Ventures took direct ownership of the Issuer's shares that GMS Ventures and its affiliates (collectively, "GMS") indirectly held through its ownership in BioLexis. Upon the completion of the Restructuring, GMS will no longer be a shareholder in BioLexis. The transfer of the Issuer's shares to GMS Ventures in connection with the Restructuring occurred at the historic cost basis of GMS's investment in BioLexis for accounting purposes. The Reporting Persons hereby undertake to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the price at which the transfer was effected.

F1 · price: On April 21, 2022, GMS Ventures & Investments ("GMS Ventures") entered into a share purchase agreement with BioLexis Pte Ltd. ("BioLexis"), pursuant to which, in connection with the transactions contemplated thereby (the "Restructuring"), GMS Ventures took direct ownership of the Issuer's shares that GMS Ventures and its affiliates (collectively, "GMS") indirectly held through its ownership in BioLexis. Upon the completion of the Restructuring, GMS will no longer be a shareholder in BioLexis. The transfer of the Issuer's shares to GMS Ventures in connection with the Restructuring occurred at the historic cost basis of GMS's investment in BioLexis for accounting purposes. The Reporting Persons hereby undertake to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the price at which the transfer was effected.

F2 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization.

F3 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000947871-22-000475 · ownership.xml · nonDerivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,982,529

F1 · kind: On April 21, 2022, the Reporting Person entered into a share purchase agreement with GMS Ventures & Investments ("GMS Ventures") pursuant to which, in connection with the transactions contemplated thereby (the "Restructuring"), GMS Ventures took direct ownership of the Issuer's shares that GMS Ventures and its affiliates (collectively, "GMS") indirectly held through its ownership in the Reporting Person. The transfer of the Issuer's shares to GMS Ventures in connection with the Restructuring occurred at the historic cost basis of GMS's investment in the Reporting Person for accounting purposes. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the price at which the transfer was effected.

F1 · price: On April 21, 2022, the Reporting Person entered into a share purchase agreement with GMS Ventures & Investments ("GMS Ventures") pursuant to which, in connection with the transactions contemplated thereby (the "Restructuring"), GMS Ventures took direct ownership of the Issuer's shares that GMS Ventures and its affiliates (collectively, "GMS") indirectly held through its ownership in the Reporting Person. The transfer of the Issuer's shares to GMS Ventures in connection with the Restructuring occurred at the historic cost basis of GMS's investment in the Reporting Person for accounting purposes. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the price at which the transfer was effected.

F2 · ownership.direct: GMS does not have an economic interest in, or voting rights with respect to, the shares of the Issuer held by the Reporting Person. Following the completion of the Restructuring, Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), will become the sole shareholder of the Reporting Person. Kumar, a natural person, is the holder of a controlling interest in Tenshi. By virtue of these relationships, Kumar may be deemed to have voting and investment power with respect to the securities held by the Reporting Person and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its pecuniary interest therein, if any.

SEC source: 0000947871-22-000751 · ownership.xml · nonDerivative · entry 1

Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner

GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 55,816,786

F1 · security: This Form 4/A corrects and replaces the Form 4 filed on April 22, 2022 (the "Original Form 4"), which due to an administrative error incorrectly identified Faisal Ghiath Sukhtian as a Reporting Person. The correct Reporting Person is Ghiath M. Sukhtian ("Ghiath Sukhtian"). No other changes have been made to the Original Form 4.

F2 · kind: On April 21, 2022, GMS Ventures & Investments ("GMS Ventures") entered into a share purchase agreement with BioLexis Pte Ltd. ("BioLexis"), pursuant to which, in connection with the transactions contemplated thereby (the "Restructuring"), GMS Ventures took direct ownership of the Issuer's shares that GMS Ventures and its affiliates (collectively, "GMS") indirectly held through its ownership in BioLexis. Upon the completion of the Restructuring, GMS will no longer be a shareholder in BioLexis. The transfer of the Issuer's shares to GMS Ventures in connection with the Restructuring occurred at the historic cost basis of GMS's investment in BioLexis for accounting purposes. The Reporting Persons hereby undertake to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the price at which the transfer was effected.

F2 · price: On April 21, 2022, GMS Ventures & Investments ("GMS Ventures") entered into a share purchase agreement with BioLexis Pte Ltd. ("BioLexis"), pursuant to which, in connection with the transactions contemplated thereby (the "Restructuring"), GMS Ventures took direct ownership of the Issuer's shares that GMS Ventures and its affiliates (collectively, "GMS") indirectly held through its ownership in BioLexis. Upon the completion of the Restructuring, GMS will no longer be a shareholder in BioLexis. The transfer of the Issuer's shares to GMS Ventures in connection with the Restructuring occurred at the historic cost basis of GMS's investment in BioLexis for accounting purposes. The Reporting Persons hereby undertake to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the price at which the transfer was effected.

F3 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath Sukhtian, a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization.

F4 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0001209191-22-022672 · doc4.xml · derivative · entry 1

Dagnon Terry · CIK 0001760510 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-12-21

F1 · shares: Represents the number of shares that vested under a performance-based stock option grant based on the Issuer's satisfaction of certain performance criteria. In light of the performance-based vesting conditions of the option, such shares were not reportable under Section 16 until vesting was determined, which occurred on March 31, 2022. The vested shares represents the first of three possible vesting events of the total number of shares subject to the option. The remaining shares subject to the option will vest only upon the satisfaction of additional performance vesting criteria.

F2 · derivative.exercise_date: Fully vested and immediately exercisable.

SEC source: 0001209191-22-022674 · doc4.xml · derivative · entry 1

Evanson Jeff · CIK 0001760511 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-12-21

F1 · shares: Represents the number of shares that vested under a performance-based stock option grant based on the Issuer's satisfaction of certain performance criteria. In light of the performance-based vesting conditions of the option, such shares were not reportable under Section 16 until vesting was determined, which occurred on March 31, 2022. The vested shares represents the first of three possible vesting events of the total number of shares subject to the option. The remaining shares subject to the option will vest only upon the satisfaction of additional performance vesting criteria.

F2 · derivative.exercise_date: Fully vested and immediately exercisable.

SEC source: 0001209191-22-022669 · doc4.xml · derivative · entry 1

TRENARY C RUSSELL III · CIK 0001227307 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2031-12-21

F1 · shares: Represents the number of shares that vested under a performance-based stock option grant based on the Issuer's satisfaction of certain performance criteria. In light of the performance-based vesting conditions of the option, such shares were not reportable under Section 16 until vesting was determined, which occurred on March 31, 2022. The vested shares represents the first of four possible vesting events of the total number of shares subject to the option. The remaining shares subject to the option will vest only upon the satisfaction of additional performance vesting criteria.

F2 · derivative.exercise_date: Fully vested and immediately exercisable.

SEC source: 0001209191-22-020950 · doc4.xml · derivative · entry 1

Huang Andong · CIK 0001815678 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,878

Underlying: Common Stock · 21,878 shares

Expires 2032-03-23

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 23,2023; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-22-020951 · doc4.xml · derivative · entry 1

Auffarth Gerd · CIK 0001649867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,878

Underlying: Common Stock · 21,878 shares

Expires 2032-03-23

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 23,2023; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-22-020954 · doc4.xml · derivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,878

Underlying: Common Stock · 21,878 shares

Expires 2032-03-23

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 23,2023; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-22-020949 · doc4.xml · derivative · entry 1

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,878

Underlying: Common Stock · 81,878 shares

Expires 2032-03-23

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 23,2023; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-22-020955 · doc4.xml · derivative · entry 1

Gangolli Julian S · CIK 0001532023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,878

Underlying: Common Stock · 21,878 shares

Expires 2032-03-23

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 23,2023; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-22-020953 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,878

Underlying: Common Stock · 21,878 shares

Expires 2032-03-23

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 23,2023; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-22-020952 · doc4.xml · derivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,878

Underlying: Common Stock · 21,878 shares

Expires 2032-03-23

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 23,2023; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-22-015722 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,117

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.63 - $1.70, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-22-013733 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,409

SEC source: 0001209191-22-013733 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,409

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.41 - $1.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-22-012325 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,249

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.41 - $1.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-22-012325 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,714

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.46 - $1.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

F2 · balance_after: Reflects a one-for-eight reverse stock split effected by the Issuer on March 15, 2019.

SEC source: 0000947871-22-000124 · ownership.xml · nonDerivative · entry 1

Sukhtian Ghiath M. · CIK 0001717441 · Director · 10% owner

GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 27,982,529

F1 · kind: On January 31, 2022, GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, entered into a securities purchase agreement with Tenshi Life Sciences Private Limited and Tenshi Life Sciences Pte. Limited (collectively, "Tenshi"), both private investment vehicles controlled by Arun Pillai Kumar, pursuant to which GMS Pharma purchased from Tenshi approximately 4.9% of the outstanding shares of BioLexis Pte Ltd. (the "Share Purchase"), which corresponds to 2,500,000 shares of the Issuer held by BioLexis. The Share Purchase closed on February 1, 2022.

F2 · kind: These securities are held of record by BioLexis and represent the number securities in which Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, may be deemed to have an indirect pecuniary interest in by virtue of the relationships described herein. GMS Pharma is a beneficial owner of BioLexis. Ghiath Sukhtian is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. Ghiath Sukhtian disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any. BioLexis has designated one representative to serve on the Issuer's board of directors. This report shall not be deemed an admission that Ghiath Sukhtian is the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F1 · ownership.nature: On January 31, 2022, GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, entered into a securities purchase agreement with Tenshi Life Sciences Private Limited and Tenshi Life Sciences Pte. Limited (collectively, "Tenshi"), both private investment vehicles controlled by Arun Pillai Kumar, pursuant to which GMS Pharma purchased from Tenshi approximately 4.9% of the outstanding shares of BioLexis Pte Ltd. (the "Share Purchase"), which corresponds to 2,500,000 shares of the Issuer held by BioLexis. The Share Purchase closed on February 1, 2022.

F2 · ownership.nature: These securities are held of record by BioLexis and represent the number securities in which Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, may be deemed to have an indirect pecuniary interest in by virtue of the relationships described herein. GMS Pharma is a beneficial owner of BioLexis. Ghiath Sukhtian is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma. Ghiath Sukhtian disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any. BioLexis has designated one representative to serve on the Issuer's board of directors. This report shall not be deemed an admission that Ghiath Sukhtian is the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000947871-22-000125 · ownership.xml · nonDerivative · entry 1

Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 22,982,529

F1 · kind: These securities are held of record by BioLexis Pte Ltd. ("BioLexis") and represent the number securities in which Arun Kumar Pillai ("Kumar"), a natural person, may be deemed to have an indirect pecuniary interest in by virtue of the relationships described herein. Tenshi Life Sciences Private Limited and Tenshi Life Sciences Pte. Limited (collectively, "Tenshi"), both private investment vehicles controlled by Kumar, are beneficial owners of BioLexis and Kumar is the holder of a controlling interest in Tenshi. Kumar disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any.

F2 · kind: On January 31, 2022, GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, entered into a securities purchase agreement with each Tenshi entity, pursuant to which GMS Pharma purchased from Tenshi approximately 4.9% of the outstanding shares of BioLexis (the "Share Sale"), which corresponds to 2,500,000 shares of the Issuer held by BioLexis. The Share Sale closed on February 1, 2022.

F3 · kind: BioLexis has designated one representative to serve on the Issuer's board of directors. This report shall not be deemed an admission that Kumar is the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F1 · ownership.nature: These securities are held of record by BioLexis Pte Ltd. ("BioLexis") and represent the number securities in which Arun Kumar Pillai ("Kumar"), a natural person, may be deemed to have an indirect pecuniary interest in by virtue of the relationships described herein. Tenshi Life Sciences Private Limited and Tenshi Life Sciences Pte. Limited (collectively, "Tenshi"), both private investment vehicles controlled by Kumar, are beneficial owners of BioLexis and Kumar is the holder of a controlling interest in Tenshi. Kumar disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any.

F2 · ownership.nature: On January 31, 2022, GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, entered into a securities purchase agreement with each Tenshi entity, pursuant to which GMS Pharma purchased from Tenshi approximately 4.9% of the outstanding shares of BioLexis (the "Share Sale"), which corresponds to 2,500,000 shares of the Issuer held by BioLexis. The Share Sale closed on February 1, 2022.

F3 · ownership.nature: BioLexis has designated one representative to serve on the Issuer's board of directors. This report shall not be deemed an admission that Kumar is the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0001209191-21-071122 · doc4.xml · derivative · entry 1

Dagnon Terry · CIK 0001760510 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Common Stock · 800,000 shares

Expires 2031-12-21

F1 · derivative.exercise_date: 25% of the shares subject to the option shall vest on December 21, 2022, with the remaining shares vesting in equal monthly installments over the following three years thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date. The option is also subject to acceleration under certain circumstances.

SEC source: 0001209191-21-071123 · doc4.xml · derivative · entry 1

Evanson Jeff · CIK 0001760511 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,000

Underlying: Common Stock · 800,000 shares

Expires 2031-12-21

F1 · derivative.exercise_date: 25% of the shares subject to the option shall vest on December 21, 2022, with the remaining shares vesting in equal monthly installments over the following three years thereafter, subject to the Reporting Person's continuous service with the Issuer on each such date. The option is also subject to acceleration under certain circumstances.