OTLK

SEC source: 0001209191-19-051134 · 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: 66,451

Underlying: Common Stock · 30,614 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: 0001209191-19-050468 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,863

F1 · shares: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.70 - $1.705, 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: 0001209191-19-053184 · doc4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,926

F1 · shares: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units ("RSUs"). This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.70 - $1.705, 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: 0001209191-19-049497 · 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 2029-09-12

F1 · derivative.exercise_date: The shares underlying the option shall vest in four equal annual installments beginning on September 12, 2020 such that the option shall be vested in full on September 12, 2023, subject to the Reporting Person providing continuous service to the Issuer on each such date. Vesting may be accelerated in the event of a change in control as defined in the Issuer's 2015 Equity Incentive Plan, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-19-039777 · 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: 64,831

Underlying: Common Stock · 29,877 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: 0001209191-19-038105 · 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 2020-07-12

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.

F2 · price: Such warrant provides for the receipt of .60 of the underlying shares in a cashless exercise in the event the weighted average price is lower than the exercise price per share beginning May 12, 2019.

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 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: 0001209191-19-038105 · 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: 14,039,494

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 exchange of such warrant in full in accordance with its terms.

F2 · price: Such warrant provides for the receipt of .60 of the underlying shares in a cashless exercise in the event the weighted average price is lower than the exercise price per share beginning May 12, 2019.

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 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: 0001209191-19-024794 · 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: 3,636,364

Underlying: Common Stock · 3,636,364 shares

Expires 2024-04-12

F1 · price: The Common Stock together with the 15-month and 5-year Common Stock Warrants reported in Table II herein were acquired by BioLexis Pte Ltd ("BioLexis") in the Issuers combined public offering of the Common Stock and accompanying Warrants. The purchase price for the combined offering of the shares of Common Stock and the accompanying Warrants is $2.75 per share.

F4 · derivative.exercise_date: Immediately exercisable.

F2 · 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.

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: 0001209191-19-024794 · 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: 3,636,364

Underlying: Common Stock · 3,636,364 shares

Expires 2020-07-12

F1 · price: The Common Stock together with the 15-month and 5-year Common Stock Warrants reported in Table II herein were acquired by BioLexis Pte Ltd ("BioLexis") in the Issuers combined public offering of the Common Stock and accompanying Warrants. The purchase price for the combined offering of the shares of Common Stock and the accompanying Warrants is $2.75 per share.

F4 · derivative.exercise_date: Immediately exercisable.

F2 · 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.

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: 0001209191-19-024794 · 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: 11,857,676

F1 · price: The Common Stock together with the 15-month and 5-year Common Stock Warrants reported in Table II herein were acquired by BioLexis Pte Ltd ("BioLexis") in the Issuers combined public offering of the Common Stock and accompanying Warrants. The purchase price for the combined offering of the shares of Common Stock and the accompanying Warrants is $2.75 per share.

F2 · 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.

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: 0001209191-19-022631 · 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: 63,250

Underlying: Common Stock · 29,140 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: 0001209191-19-011378 · 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: 800,000

Underlying: Common Stock · 800,000 shares

Expires 2029-02-19

F1 · derivative.exercise_date: The shares underlying the option shall vest in four equal installments beginning on February 19, 2020 such that the option shall be vested in full on February 19, 2023, subject to the Reporting Person providing continuous service to the Issuer on each such date. Vesting may be accelerated in the event of (a) a change in control as defined in the Issuer's 2015 Equity Incentive Plan and (b) the achievement of certain pre-defined corporate objectives, in each case subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-19-011377 · doc4.xml · derivative · entry 1

Bahrt Kenneth · CIK 0001527197 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

Underlying: Common Stock · 600,000 shares

Expires 2029-02-19

F1 · derivative.exercise_date: The shares underlying the option shall vest in four equal installments beginning on February 19, 2020 such that the option shall be vested in full on February 19, 2023, subject to the Reporting Person providing continuous service to the Issuer on each such date. Vesting may be accelerated in the event of (a) a change in control as defined in the Issuer's 2015 Equity Incentive Plan and (b) the achievement of certain pre-defined corporate objectives, in each case subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-19-008782 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,213

F1 · kind: The purchases reported in this Form 4 were matchable under Section 16(b) of the Securities Exchange Act of 1934, as amended, with the Reporting Person's sales of shares at $0.89 per share on September 18, 2018 to cover withholding taxes, as reported on the Reporting Person's Form 4 filed with the Securities and Exchange Commission on September 18, 2018. The Reporting Person has paid to the Issuer $8.19, which represents the full amount of the profit realized in connection with this short-swing transaction, less transaction costs.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.8823 - $0.8952, 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: 0001209191-19-007844 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,947

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.7679 - $0.81, 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: 0001209191-19-006603 · doc4.xml · nonDerivative · entry 3

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,964

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.745 - $0.78, 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: 0001209191-19-007382 · doc4.xml · nonDerivative · entry 1

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

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

Sukhtian Faisal Ghiath · CIK 0001716033 · 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: 65,770,503

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: 0001209191-19-006603 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,764

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.729 - $0.7695, 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: 0001209191-19-006603 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,464

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.71 - $0.7375, 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: 0001209191-19-005917 · doc4.xml · nonDerivative · entry 3

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,574

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.72 - $0.7357, 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: 0001209191-19-005917 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,174

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.679 - $0.7467, 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: 0001209191-19-005917 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,290

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.67 - $0.699, 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: 0001209191-19-005247 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,462

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.66 - $0.685, 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: 0001209191-19-005247 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,196

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6605 - $0.69, 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: 0001209191-19-004571 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,447

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.67 - $0.69, 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: 0001209191-19-004571 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,147

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.68 - $0.687, 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: 0001209191-19-003962 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,347

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.666 - $0.72, 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: 0001209191-19-004233 · doc4.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,064,553

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6649 - $0.72, 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: 0001209191-19-003962 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,081

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.68 - $0.7143, 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: 0001209191-19-003446 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,682

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.685 - $0.7493, 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: 0001209191-19-003446 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,629

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.70 - $0.74, 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: 0001209191-19-002918 · doc4.xml · nonDerivative · entry 3

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,837

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.59 - $0.695, 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: 0001209191-19-002918 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,427

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.59 - $0.65, 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: 0001209191-19-002918 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,261

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.57 - $0.625, 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: 0001209191-19-001265 · doc4.xml · nonDerivative · entry 3

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,056

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.5472 - $0.623, 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: 0001209191-19-001265 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,856

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.51 - $0.601, 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: 0001209191-19-000912 · doc4.xml · nonDerivative · entry 1

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

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

Sukhtian Faisal Ghiath · CIK 0001716033 · 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: 61,481,879

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: 0001209191-18-064382 · doc4.xml · derivative · entry 1

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

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

Sukhtian Faisal Ghiath · CIK 0001716033 · 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: 61,708

Underlying: Common Stock · 227,531 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: 0001209191-19-001265 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,216

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.50 - $0.6031, 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: 0001209191-18-064336 · doc4.xml · nonDerivative · entry 3

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,867

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.45 - $0.5845, 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: 0001209191-18-064336 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,957

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.45 - $0.55, 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: 0001209191-18-064336 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,227

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.4759 - $0.5950, 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: 0001209191-18-064123 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,513

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.65 - $0.67, 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: 0001209191-18-063966 · doc4.xml · nonDerivative · entry 1

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.63 - $0.70, 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: 0001209191-18-064123 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,400

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.63 - $0.6706, 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: Includes an aggregate of 7,246 shares that were issued upon vesting and settlement of Restricted Stock Units previously reported in a Form 3 filed with the Securities and Exchange Commission on May 12, 2016 but erroneously omitted from Column 5 in subsequent filings.

SEC source: 0001209191-18-061332 · doc4.xml · nonDerivative · entry 1

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

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

Sukhtian Faisal Ghiath · CIK 0001716033 · 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: 57,193,255

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: 0001209191-18-058305 · doc4.xml · derivative · entry 1

Windisch Joerg · CIK 0001735528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,465

Underlying: Common Stock · 130,465 shares

Expires 2028-11-09

F2 · price: This option was issued to the Reporting Person pursuant to the Issuer's 2015 Equity Incentive Plan in lieu of two years of cash retainer and meeting fees of $80,000.

F1 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001209191-18-058304 · doc4.xml · derivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,851

Underlying: Common Stock · 203,851 shares

Expires 2028-11-09

F2 · price: This option was issued to the Reporting Person pursuant to the Issuer's 2015 Equity Incentive Plan in lieu of two years of cash retainer and meeting fees of $125,000.

F1 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001209191-18-058302 · doc4.xml · derivative · entry 1

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567,522

Underlying: Common Stock · 567,522 shares

Expires 2028-11-09

F2 · price: This option was issued to the Reporting Person pursuant to the Issuer's 2015 Equity Incentive Plan in lieu of two years of cash retainer and meeting fees, including Executive Chairman fee, of $348,000.

F1 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001209191-18-058307 · doc4.xml · derivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,157

Underlying: Common Stock · 114,157 shares

Expires 2028-11-09

F2 · price: This option was issued to the Reporting Person pursuant to the Issuer's 2015 Equity Incentive Plan in lieu of two years of cash retainer and meeting fees of $70,000.

F1 · derivative.exercise_date: Immediately exercisable.