OTLK

SEC source: 0001209191-20-043228 · doc4.xml · derivative · entry 1

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,000

Underlying: Common Stock · 210,000 shares

Expires 2030-07-17

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on July 17, 2021, 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, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-20-043224 · doc4.xml · derivative · entry 1

KENYON LAWRENCE A · CIK 0001230484 · Director · CEO, Pres, CFO, Treas & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2030-07-17

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in four equal installments beginning on July 17, 2021 such that the option shall be vested in full on July 17, 2024, 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, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-20-043217 · doc4.xml · derivative · entry 1

Gangolli Julian S · CIK 0001532023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2030-07-17

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on July 17, 2021, 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, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-20-043226 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,000

Underlying: Common Stock · 135,000 shares

Expires 2030-07-17

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on July 17, 2021, 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, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-20-043218 · doc4.xml · derivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,000

Underlying: Common Stock · 135,000 shares

Expires 2030-07-17

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on July 17, 2021, 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, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-20-051048 · doc4a.xml · derivative · entry 1

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,555

Underlying: Common Stock · 154,555 shares

Expires 2030-07-17

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on July 17, 2021, 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, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001104659-20-087467 · tm2025948d1_form4.xml · nonDerivative · entry 1

Syntone Ventures LLC · CIK 0001814394 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,823,045

SEC source: 0001209191-20-041328 · doc4.xml · derivative · entry 1

Huang Andong · CIK 0001815678 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,376

Underlying: Common Stock · 11,376 shares

Expires 2030-07-01

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") in lieu of $11,208.79 cash fees payable under the Issuer's non-employee Director compensation program and vest on the last day of the remaining fiscal quarter such that they are vested in full on September 30, 2020, 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: 0001209191-20-041199 · doc4.xml · derivative · entry 1

Auffarth Gerd · CIK 0001649867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,874

Underlying: Common Stock · 19,874 shares

Expires 2030-07-01

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") in lieu of $19,582.42 cash fees payable under the Issuer's non-employee Director compensation program, and vest on the last day of the remaining fiscal quarter such that they are vested in full on September 30, 2020, 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: 0001209191-20-041363 · doc4.xml · derivative · entry 1

Gangolli Julian S · CIK 0001532023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,006

Underlying: Common Stock · 35,006 shares

Expires 2030-07-01

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") in lieu of $34,491.76 cash fees payable under the Issuer's non-employee Director compensation program, and vest on the last day of the remaining fiscal quarter such that they are vested in full on September 30, 2020, 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: 0001209191-20-038577 · doc4.xml · derivative · entry 1

Huang Andong · CIK 0001815678 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-06-19

F1 · derivative.exercise_date: The option will vest in three equal annual installments such that the stock option will be fully vested as of the third anniversary of the grant date, subject to (x) the Reporting Person's Continuous Service to the Issuer through such vesting date and (y) acceleration upon a Change in Control.

SEC source: 0001209191-20-025302 · doc4.xml · derivative · entry 1

Auffarth Gerd · CIK 0001649867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-04-20

F1 · derivative.exercise_date: The option will vest in three equal annual installments such that the stock option will be fully vested as of the third anniversary of the grant date, subject to (x) the Reporting Person's Continuous Service to the Issuer through such vesting date and (y) acceleration upon a Change in Control.

SEC source: 0001209191-20-025303 · doc4.xml · derivative · entry 1

Gangolli Julian S · CIK 0001532023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-04-20

F1 · derivative.exercise_date: The option will vest in three equal annual installments such that the stock option will be fully vested as of the third anniversary of the grant date, subject to (x) the Reporting Person's Continuous Service to the Issuer through such vesting date and (y) acceleration upon a Change in Control.

SEC source: 0000947871-20-000253 · ownership.xml · derivative · entry 5

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29,358,621 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F2 · derivative.exercise_price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share.

F1 · price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F2 · price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share.

F1 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F3 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated a representative to serve on the Issuer's board of directors. Therefore, BioLexis, GMS Pharma, Tenshi, Kumar and Ghiath Sukhtian may each be deemed a director by deputization. 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: 0000947871-20-000253 · ownership.xml · nonDerivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,965,058

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: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F2 · price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share.

F3 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated a representative to serve on the Issuer's board of directors. Therefore, BioLexis, GMS Pharma, Tenshi, Kumar and Ghiath Sukhtian may each be deemed a director by deputization. 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: 0001209191-20-020510 · doc4.xml · derivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-03-19

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on March 19, 2021, 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, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-20-020508 · doc4.xml · derivative · entry 1

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-03-19

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on March 19, 2021, 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, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-20-020512 · doc4.xml · derivative · entry 1

KENYON LAWRENCE A · CIK 0001230484 · Director · CEO, Pres, CFO, Treas & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,435

Underlying: Common Stock · 216,435 shares

Expires 2030-03-19

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in four equal installments beginning on March 19, 2021 such that the option shall be vested in full on March 19, 2024, 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, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-20-020511 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-03-19

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on March 19, 2021, 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, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-20-020509 · doc4.xml · derivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-03-19

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on March 19, 2021, 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, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0000947871-20-000253 · ownership.xml · derivative · entry 4

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,112

Underlying: Common Stock · 29,358,621 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F2 · derivative.exercise_price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share.

F2 · shares: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share.

F1 · price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F2 · price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share.

F1 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F3 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated a representative to serve on the Issuer's board of directors. Therefore, BioLexis, GMS Pharma, Tenshi, Kumar and Ghiath Sukhtian may each be deemed a director by deputization. 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: 0000947871-20-000253 · ownership.xml · derivative · entry 3

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,287,178 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F2 · derivative.exercise_price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share.

F2 · shares: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share.

F1 · price: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F2 · price: On March 19, 2020, the Issuer's stockholders approved, and the Issuer subsequently filed, a Certificate of Amendment of the Certificate of Designation of the Series A-1 Preferred Stock, which increased the effective conversion ratio of the Series A-1 Preferred Stock from $18.89797 per share to $431.03447263 per share.

F1 · derivative.exercise_date: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock") was convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares"), at any time at the election of the holder. The Series A-1 Preferred Stock had no expiration date.

F3 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated a representative to serve on the Issuer's board of directors. Therefore, BioLexis, GMS Pharma, Tenshi, Kumar and Ghiath Sukhtian may each be deemed a director by deputization. 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: 0001209191-20-025304 · doc4.xml · nonDerivative · entry 1

Dagnon Terry · CIK 0001760510 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,207,457

F1 · shares: These shares were issued to the Reporting Person pursuant to the terms of that certain Consulting Agreement dated January 27, 2020, and are subject to repurchase by the Issuer as provided therein.

F1 · price: These shares were issued to the Reporting Person pursuant to the terms of that certain Consulting Agreement dated January 27, 2020, and are subject to repurchase by the Issuer as provided therein.

SEC source: 0001209191-20-025305 · doc4.xml · nonDerivative · entry 1

Evanson Jeff · CIK 0001760511 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,207,457

F1 · shares: These shares were issued to the Reporting Person pursuant to the terms of that certain Consulting Agreement dated January 27, 2020, and are subject to repurchase by the Issuer as provided therein.

F1 · price: These shares were issued to the Reporting Person pursuant to the terms of that certain Consulting Agreement dated January 27, 2020, and are subject to repurchase by the Issuer as provided therein.

SEC source: 0000947871-20-000157 · ownership.xml · derivative · entry 3

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

GMS Ventures & Investments · CIK 0001804598 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,230,315

Underlying: Common Stock · 1,230,315 shares

Expires 2024-02-26

F1 · ownership.nature: These securities are held of record by GMS Ventures and 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 one representative to serve on the Issuer's board of directors. Therefore, 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: 0000947871-20-000157 · ownership.xml · nonDerivative · entry 1

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

GMS Ventures & Investments · CIK 0001804598 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 2,460,630

F1 · ownership.nature: These securities are held of record by GMS Ventures and 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 one representative to serve on the Issuer's board of directors. Therefore, 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: 0001209191-20-005415 · doc4.xml · derivative · entry 10

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,282,051 shares

Expires 2026-06-08

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.

F5 · derivative.exercise_date: Immediately exercisable.

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-20-005415 · doc4.xml · derivative · entry 9

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,282,051 shares

Expires 2026-05-14

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.

F5 · derivative.exercise_date: Immediately exercisable.

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-20-005415 · doc4.xml · derivative · entry 8

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,093,750 shares

Expires 2025-10-31

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.

F6 · price: This Warrant was issued to BioLexis in consideration of its purchase of Series A Preferred Stock pursuant to that certain Purchase Agreement dated October 31, 2017.

F5 · derivative.exercise_date: Immediately exercisable.

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-20-005415 · doc4.xml · nonDerivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,606,437

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 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-20-005415 · doc4.xml · derivative · entry 7

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,282,051

Underlying: Common Stock · 1,282,051 shares

Expires 2026-06-08

F8 · kind: The two reported transactions involved an amendment of an outstanding Warrant, resulting in the deemed cancellation of the "old" Warrant and the issuance of a replacement Warrant. The Warrant was originally issued on June 8, 2018.

F3 · price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019.

F5 · derivative.exercise_date: Immediately exercisable.

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-20-005415 · doc4.xml · derivative · entry 6

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,282,051 shares

Expires 2026-06-08

F3 · derivative.exercise_price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019.

F8 · kind: The two reported transactions involved an amendment of an outstanding Warrant, resulting in the deemed cancellation of the "old" Warrant and the issuance of a replacement Warrant. The Warrant was originally issued on June 8, 2018.

F3 · shares: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019.

F3 · price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019.

F5 · derivative.exercise_date: Immediately exercisable.

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-20-005415 · doc4.xml · derivative · entry 5

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,282,051

Underlying: Common Stock · 1,282,051 shares

Expires 2026-05-14

F7 · kind: The two reported transactions involved an amendment of an outstanding Warrant, resulting in the deemed cancellation of the "old" Warrant and the issuance of a replacement Warrant. The Warrant was originally issued on May 14, 2018.

F3 · price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019.

F5 · derivative.exercise_date: Immediately exercisable.

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-20-005415 · doc4.xml · derivative · entry 4

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,282,051 shares

Expires 2026-05-14

F3 · derivative.exercise_price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019.

F7 · kind: The two reported transactions involved an amendment of an outstanding Warrant, resulting in the deemed cancellation of the "old" Warrant and the issuance of a replacement Warrant. The Warrant was originally issued on May 14, 2018.

F3 · shares: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019.

F3 · price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019.

F5 · derivative.exercise_date: Immediately exercisable.

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-20-005415 · doc4.xml · derivative · entry 3

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,039,750

Underlying: Common Stock · 2,039,750 shares

Expires 2025-10-31

F4 · kind: The two reported transactions involved an amendment of an outstanding Warrant, resulting in the deemed cancellation of the "old" Warrant and the issuance of a replacement Warrant. The Warrant was originally issued on October 31, 2017.

F6 · price: This Warrant was issued to BioLexis in consideration of its purchase of Series A Preferred Stock pursuant to that certain Purchase Agreement dated October 31, 2017.

F5 · derivative.exercise_date: Immediately exercisable.

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-20-005415 · doc4.xml · derivative · entry 2

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,093,750 shares

Expires 2025-10-31

F3 · derivative.exercise_price: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019.

F4 · kind: The two reported transactions involved an amendment of an outstanding Warrant, resulting in the deemed cancellation of the "old" Warrant and the issuance of a replacement Warrant. The Warrant was originally issued on October 31, 2017.

F3 · shares: Reflects the 1:8 reverse stock split effected by the Issuer on March 15, 2019.

F6 · price: This Warrant was issued to BioLexis in consideration of its purchase of Series A Preferred Stock pursuant to that certain Purchase Agreement dated October 31, 2017.

F5 · derivative.exercise_date: Immediately exercisable.

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-20-002167 · doc4.xml · derivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,980

Underlying: Common Stock · 5,980 shares

Expires 2030-01-02

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $5,892.86 cash fees payable under the Issuers's non-employee Director compensation program and vest in three equal quarterly installments on the last day of each remaining fiscal quarter (3/31, 6/30 and 9/30) such that they are vested in full on September 30, 2020, 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: 0001209191-19-062314 · doc4.xml · derivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,112

Underlying: Common Stock · 31,389 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date.

F2 · kind: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1.

F2 · shares: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1.

F1 · derivative.exercise_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date.

F1 · derivative.expiration_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date.

F3 · ownership.direct: These securities are held of record by BioLexis. Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-19-062163 · doc4.xml · derivative · entry 2

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,636,364 shares

Expires 2019-12-24

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

F5 · price: The Warrant was acquired by BioLexis in the Issuer's April 2019 public offering of shares and accompanying warrants at a combined purchase price of $2.75 per share of Common Stock and accompanying 15-month warrants and 5-year warrants. The Warrants originally had an exercise price of $2.90 per share but were amended on 12/23/2019 to reduce the exercise price to $0.232 per share and shorten the expiration date to 12/24/2019.

F4 · derivative.exercise_date: Immediately exercisable.

F5 · derivative.expiration_date: The Warrant was acquired by BioLexis in the Issuer's April 2019 public offering of shares and accompanying warrants at a combined purchase price of $2.75 per share of Common Stock and accompanying 15-month warrants and 5-year warrants. The Warrants originally had an exercise price of $2.90 per share but were amended on 12/23/2019 to reduce the exercise price to $0.232 per share and shorten the expiration date to 12/24/2019.

F2 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F3 · ownership.direct: By virtue of the relationships described above in Footnote 2, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-19-062163 · doc4.xml · nonDerivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

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

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

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,948,585

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 · shares: Represents the actual number of shares of common stock received upon the net exercise of such warrant in full in accordance with its amended terms.

F2 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F3 · ownership.direct: By virtue of the relationships described above in Footnote 2, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis 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. BioLexis has designated four representatives to serve on the Issuer's board of directors. 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: 0001209191-19-052708 · doc4.xml · derivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,893

Underlying: Common Stock · 60,893 shares

Expires 2029-10-03

F2 · 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, 2020, 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: 0001209191-19-052708 · doc4.xml · derivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-10-03

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on the one year anniversary of the grant date, 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: 0001209191-19-052709 · doc4.xml · derivative · entry 2

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,036

Underlying: Common Stock · 207,036 shares

Expires 2029-10-03

F2 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $204,000 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, 2020, 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: 0001209191-19-052709 · doc4.xml · derivative · entry 1

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-10-03

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on the one year anniversary of the grant date, 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: 0001209191-19-052712 · doc4.xml · derivative · entry 2

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,176

Underlying: Common Stock · 80,176 shares

Expires 2029-10-03

F2 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $79,000 cash fees payable under the Issuers'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, 2020, 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: 0001209191-19-052712 · doc4.xml · derivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-10-03

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on the one year anniversary of the grant date, 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: 0001209191-19-052711 · doc4.xml · derivative · entry 2

Thomas Joe · CIK 0001716336 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,207

Underlying: Common Stock · 48,207 shares

Expires 2029-10-03

F2 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $47,500 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, 2020, 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: 0001209191-19-052711 · doc4.xml · derivative · entry 1

Thomas Joe · CIK 0001716336 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-10-03

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on the one year anniversary of the grant date, 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: 0001209191-19-052710 · doc4.xml · derivative · entry 2

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,772

Underlying: Common Stock · 86,772 shares

Expires 2029-10-03

F2 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $85,500 cash fees payable under the Issuers'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, 2020, 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: 0001209191-19-052710 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-10-03

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on the one year anniversary of the grant date, 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.