OTLK

SEC source: 0001209191-18-057995 · 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: 52,904,631

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: 0001209191-18-056074 · doc4.xml · derivative · entry 1

MCANDREW STEPHEN J · CIK 0001227041 · SVP Bus. Strat. & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2028-10-22

F1 · derivative.exercise_date: The shares underlying the option shall vest in four equal installments beginning on October 22, 2019 such that the option shall be vested in full on October 22, 2022, subject to the Reporting Person providing continuous service to the Issuer on each such date. Vesting may be accelerated in certain circumstances as provided in the Issuer's 2015 Equity Incentive Plan.

SEC source: 0001209191-18-056075 · doc4.xml · derivative · entry 1

Bahrt Kenneth · CIK 0001527197 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2028-10-22

F1 · derivative.exercise_date: The shares underlying the option shall vest in four equal installments beginning on October 22, 2019 such that the option shall be vested in full on October 22, 2022, subject to the Reporting Person providing continuous service to the Issuer on each such date. Vesting may be accelerated in certain circumstances as provided in the Issuer's 2015 Equity Incentive Plan.

SEC source: 0001209191-18-053237 · doc4.xml · derivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · 10% owner

Pillai Arun Kumar · CIK 0001717437 · 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: 60,383

Underlying: Common Stock · 249,151 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: 0001209191-18-064381 · doc4a.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: 60,203

Underlying: Common Stock · 221,937 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: 0001209191-18-052156 · doc4.xml · derivative · entry 1

Windisch Joerg · CIK 0001735528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-09-21

F1 · derivative.exercise_date: 100% of the shares underlying the option shall vest on September 21, 2019, subject to the Reporting Person providing continuous service to the Issuer on such date.

SEC source: 0001209191-18-052158 · 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 2028-09-21

F1 · derivative.exercise_date: 100% of the shares underlying the option shall vest on September 21, 2019, subject to the Reporting Person providing continuous service to the Issuer on such date.

SEC source: 0001209191-18-052159 · 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 2028-09-21

F1 · derivative.exercise_date: 100% of the shares underlying the option shall vest on September 21, 2019, subject to the Reporting Person providing continuous service to the Issuer on such date.

SEC source: 0001209191-18-052155 · doc4.xml · derivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-09-21

F1 · derivative.exercise_date: 100% of the shares underlying the option shall vest on September 21, 2019, subject to the Reporting Person providing continuous service to the Issuer on such date.

SEC source: 0001209191-18-051494 · 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: 57,213

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 $0.855 - $0.89, 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 footnote (2) to this Form 4.

F3 · balance_after: Includes 21,739 shares of the Issuer's common stock subject to RSUs that will vest on 9/15/2019, subject to continued service through such date.

SEC source: 0001209191-18-045340 · 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: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-08-01

F1 · derivative.exercise_date: The shares underlying the option shall vest in four equal installments beginning on August 1, 2019 such that the option shall be vested in full on August 1, 2022, 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: 0000947871-18-000587 · ownership.xml · derivative · entry 3

GMS Tenshi Holdings 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: 58,735

Underlying: Common Stock · 8,879,780 shares

Expires not disclosed

F4 · derivative.exercise_price: Each share of Series A-1 Preferred Stock is convertible into Shares at any time at the election of the holder. The Series A-1 Preferred Stock has no expiration date.

F3 · shares: Shares of Series A Preferred Stock was exchanged on a one-for-one basis for shares of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock").

F4 · price: Each share of Series A-1 Preferred Stock is convertible into Shares at any time at the election of the holder. The Series A-1 Preferred Stock has no expiration date.

F4 · derivative.exercise_date: Each share of Series A-1 Preferred Stock is convertible into Shares at any time at the election of the holder. The Series A-1 Preferred Stock has no expiration date.

F4 · derivative.expiration_date: Each share of Series A-1 Preferred Stock is convertible into Shares at any time at the election of the holder. The Series A-1 Preferred Stock has no expiration date.

F5 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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.

F6 · 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 GMS Tenshi 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. GMS Tenshi 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: 0000947871-18-000587 · ownership.xml · derivative · entry 2

GMS Tenshi Holdings 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 · 8,879,780 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date.

F3 · shares: Shares of Series A Preferred Stock was exchanged on a one-for-one basis for shares of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred Stock").

F1 · price: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date.

F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date.

F5 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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.

F6 · 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 GMS Tenshi 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. GMS Tenshi 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: 0000947871-18-000587 · ownership.xml · derivative · entry 1

GMS Tenshi Holdings 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: 58,735

Underlying: Common Stock · 986,626 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date.

F2 · shares: Represents shares of Series A Preferred Stock received by GMS Tenshi Holdings Pte. Limited ("GMS Tenshi") as a payment-in-kind dividend on previously purchased Series A Preferred Stock.

F1 · price: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date.

F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock ("Series A Preferred Stock") 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 Preferred Stock has no expiration date.

F5 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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.

F6 · 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 GMS Tenshi 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. GMS Tenshi 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: 0001209191-18-039938 · doc4.xml · derivative · entry 1

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-06-27

F1 · derivative.exercise_date: 33.33% of the shares underlying the option shall vest on each of the first, second and third anniversaries of the grant date, such that 100% of the shares underlying the option shall be vested on June 27, 2021, subject to the Reporting Person providing continued service through such date.

SEC source: 0001209191-18-039725 · doc4.xml · nonDerivative · entry 1

Bahrt Kenneth · CIK 0001527197 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,120

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 is a weighted average sales price. The shares were sold in multiple transactions at prices ranging from $0.845 to $0.8525, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Includes 14,493 shares of the Issuer's common stock subject to RSUs that will vest on 6/22/19, the four-year anniversary of the 6/22/15 grant date, subject to continued service through such date.

SEC source: 0000947871-18-000524 · ss96638_4.xml · derivative · entry 8

GMS Tenshi Holdings 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: 52,209

Underlying: Common Stock · 31,572,617 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 Convertible Preferred Stock ("Preferred Stock") is convertible into shares of the Issuer's common stock, par value $0.01 per share, at any time at the election of the holder. The Preferred Stock has no expiration date.

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

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

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

F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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").

F5 · ownership.direct: 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. GMS Tenshi 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: 0000947871-18-000524 · ss96638_4.xml · nonDerivative · entry 3

GMS Tenshi Holdings 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: 44,327,383

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

F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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").

F5 · ownership.direct: 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. GMS Tenshi 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: 0001209191-18-038655 · doc4.xml · derivative · entry 1

MCANDREW STEPHEN J · CIK 0001227041 · SVP Bus. Strat. & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-06-15

F1 · derivative.exercise_date: The shares underlying the option shall vest in three equal installments beginning on June 15, 2019 such that the option shall be vested in full on June 15, 2021, subject to the Reporting Person providing continuous service to the Issuer on each such date.

SEC source: 0000947871-18-000524 · ss96638_4.xml · derivative · entry 5

GMS Tenshi Holdings 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: 20,512,820

Underlying: Common Stock · 10,256,410 shares

Expires 2026-06-08

F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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").

F5 · ownership.direct: 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. GMS Tenshi 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: 0000947871-18-000524 · ss96638_4.xml · nonDerivative · entry 2

GMS Tenshi Holdings 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: 12,754,766

F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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").

F5 · ownership.direct: 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. GMS Tenshi 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: 0000947871-18-000524 · ss96638_4.xml · derivative · entry 4

GMS Tenshi Holdings 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: 10,256,410

Underlying: Common Stock · 10,256,410 shares

Expires 2026-05-14

F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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").

F5 · ownership.direct: 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. GMS Tenshi 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: 0000947871-18-000524 · ss96638_4.xml · nonDerivative · entry 1

GMS Tenshi Holdings 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: 6,377,383

F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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").

F5 · ownership.direct: 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. GMS Tenshi 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: 0001209191-18-025216 · doc4.xml · derivative · entry 1

THURMAN RANDY H · CIK 0001204059 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-04-13

F1 · derivative.exercise_date: 33.33% of the shares underlying the option shall vest on each of the first, second and third anniversaries of the grant date, such that 100% of the shares underlying the option shall be vested on April 13, 2021, subject to the Reporting Person providing continued service through such date.

SEC source: 0000947871-18-000524 · ss96638_4.xml · derivative · entry 7

GMS Tenshi Holdings 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: 261,045

Underlying: Common Stock · 962,587 shares

Expires not disclosed

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

F2 · shares: Represents shares of Preferred Stock received by GMS Tenshi Holdings Pte. Limited ("GMS Tenshi") as a payment-in-kind dividend on previously purchased Preferred Stock.

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

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

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

F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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").

F5 · ownership.direct: 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. GMS Tenshi 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: 0001209191-18-021775 · doc4.xml · derivative · entry 1

Windisch Joerg · CIK 0001735528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-03-23

F1 · derivative.exercise_date: 33.33% of the shares underlying the option shall vest on each of the first, second and third anniversaries of the grant date, such that 100% of the shares underlying the option shall be vested on March 23, 2021, subject to the Reporting Person providing continued service through such date.

SEC source: 0001209191-18-002466 · doc4.xml · nonDerivative · entry 2

Mohan Pankaj · CIK 0001664386 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,056,553

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.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.13 - $1.25, 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 footnote (4) to this Form 4.

F3 · balance_after: Includes 202,898 shares of the Issuer's common stock that vested on 12/31/2017.

SEC source: 0001209191-18-002466 · doc4.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,119,122

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 $1.16 - $1.29, 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 footnote (2) to this Form 4.

F3 · balance_after: Includes 202,898 shares of the Issuer's common stock that vested on 12/31/2017.

SEC source: 0000947871-18-000524 · ss96638_4.xml · derivative · entry 6

GMS Tenshi Holdings 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: 254,678

Underlying: Common Stock · 707,238 shares

Expires not disclosed

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

F2 · shares: Represents shares of Preferred Stock received by GMS Tenshi Holdings Pte. Limited ("GMS Tenshi") as a payment-in-kind dividend on previously purchased Preferred Stock.

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

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

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

F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 GMS Tenshi 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").

F5 · ownership.direct: 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. GMS Tenshi 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: 0001209191-17-067232 · doc4.xml · nonDerivative · entry 1

MCANDREW STEPHEN J · CIK 0001227041 · SVP Bus. Strat. & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,899

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 · balance_after: Includes shares of common stock underlying RSUs reported on the Reporting Person's Form 4 filed with the Securities and Exchange Commission on December 22, 2016. The vesting of RSUs was accelerated such that 100% of the shares underlying the RSU vested on December 21, 2017.

SEC source: 0001209191-17-067229 · doc4.xml · nonDerivative · entry 1

KENYON LAWRENCE A · CIK 0001230484 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,313

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 · balance_after: Includes 43,478 shares of the Issuer's common stock subject to RSUs that will vest 50% on each of the third and fourth year anniversaries of the 9/15/15 grant date, subject to continued service through such date. The vesting of RSUs reported on the Reporting Person's Form 4 filed with the Securities and Exchange Commission on December 22, 2016 was accelerated such that 100% of the shares underling those RSUs vested on December 21, 2017.

SEC source: 0001209191-17-067233 · doc4.xml · nonDerivative · entry 1

Bahrt Kenneth · CIK 0001527197 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,820

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 · balance_after: Includes 28,985 shares of the Issuer's common stock subject to RSUs that will vest 50% on each of the third and fourth year anniversaries of the 6/22/15 grant date, subject to continued service through such date. The vesting of RSUs reported on the Reporting Person's Form 4 filed with the Securities and Exchange Commission on December 22, 2016 was accelerated such that 100% of the shares underling those RSUs vested on December 21, 2017.

SEC source: 0001209191-17-067235 · doc4.xml · nonDerivative · entry 1

Yamashita Elizabeth A. · CIK 0001663252 · VP, Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,648

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 · balance_after: Includes 21,739 shares of the Issuer's common stock subject to RSUs that will vest on 4/7/2018, subject to continued service through such date.

SEC source: 0001209191-17-066693 · doc4.xml · nonDerivative · entry 2

Mohan Pankaj · CIK 0001664386 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,171,230

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.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.11 - $1.21, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (4) to this Form 4.

F3 · balance_after: Includes 202,898 shares of the Issuer's common stock subject to RSUs that will vest on 12/31/2017, subject to continued service through such date.

SEC source: 0001209191-17-066692 · doc4.xml · nonDerivative · entry 2

Yamashita Elizabeth A. · CIK 0001663252 · VP, Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,818

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.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.11 - $1.21, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (4) to this Form 4.

F3 · balance_after: Includes shares of common stock underlying RSUs reported on the Reporting Person's Form 4 filed with the Securities and Exchange Commission on December 22, 2016. The vesting of RSUs was accelerated such that 100% of the shares underlying the RSU will vest on December 21, 2017.

SEC source: 0001209191-17-066693 · doc4.xml · nonDerivative · entry 1

Mohan Pankaj · CIK 0001664386 · Director · President & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,254,838

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 $1.12 - $1.24, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

F3 · balance_after: Includes 202,898 shares of the Issuer's common stock subject to RSUs that will vest on 12/31/2017, subject to continued service through such date.

SEC source: 0001209191-17-066692 · doc4.xml · nonDerivative · entry 1

Yamashita Elizabeth A. · CIK 0001663252 · VP, Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,969

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 $1.12 - $1.24, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

F3 · balance_after: Includes shares of common stock underlying RSUs reported on the Reporting Person's Form 4 filed with the Securities and Exchange Commission on December 22, 2016. The vesting of RSUs was accelerated such that 100% of the shares underlying the RSU will vest on December 21, 2017.

SEC source: 0000947871-17-000865 · ss65484_4.xml · derivative · entry 2

GMS Tenshi Holdings Pte. Ltd · CIK 0001716335 · Director · Chief Executive Officer · 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: 16,750,000

Underlying: Common Stock · 16,750,000 shares

Expires not disclosed

F2 · price: In consideration of GMS Tenshi Holdings Pte. Limited's ("GMS Tenshi") purchases of Preferred Stock, the Issuer issued GMS Tenshi warrants ("Warrants") to purchase shares of Common Stock. The Warrants are immediately exercisable when issued and are exercisable for eight years from the date of issuance.

F2 · derivative.exercise_date: In consideration of GMS Tenshi Holdings Pte. Limited's ("GMS Tenshi") purchases of Preferred Stock, the Issuer issued GMS Tenshi warrants ("Warrants") to purchase shares of Common Stock. The Warrants are immediately exercisable when issued and are exercisable for eight years from the date of issuance.

F2 · derivative.expiration_date: In consideration of GMS Tenshi Holdings Pte. Limited's ("GMS Tenshi") purchases of Preferred Stock, the Issuer issued GMS Tenshi warrants ("Warrants") to purchase shares of Common Stock. The Warrants are immediately exercisable when issued and are exercisable for eight years from the date of issuance.

F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 4, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Tenshi 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").

F5 · ownership.direct: 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. GMS Tenshi has designated four representatives, currently Faisal G. Sukhtian (a director of both GMS Pharma and GMS Holdings), Joe Thomas (a director and executive of a company controlled by Kumar), Claudio Albrecht (a director of GMS Holdings) and Yezan Munther Haddadin (an executive of GMS Holdings), 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: 0000947871-17-000865 · ss65484_4.xml · derivative · entry 1

GMS Tenshi Holdings Pte. Ltd · CIK 0001716335 · Director · Chief Executive Officer · 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: 250,000

Underlying: Common Stock · 32,863,123 shares

Expires not disclosed

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

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

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

F3 · ownership.direct: These securities are held of record by GMS Tenshi. 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 GMS Tenshi, 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 4, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Tenshi 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").

F5 · ownership.direct: 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. GMS Tenshi has designated four representatives, currently Faisal G. Sukhtian (a director of both GMS Pharma and GMS Holdings), Joe Thomas (a director and executive of a company controlled by Kumar), Claudio Albrecht (a director of GMS Holdings) and Yezan Munther Haddadin (an executive of GMS Holdings), 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: 0001209191-17-058967 · doc4.xml · derivative · entry 1

Albrecht Claudio · CIK 0001718003 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-10-31

F1 · derivative.exercise_date: 33.33% of the shares underlying the option shall vest on each of the first, second and third anniversaries of the grant date, such that 100% of the shares underlying the option shall be vested on October 31, 2020, subject to the Reporting Person providing continued service through such date.

SEC source: 0001209191-17-058966 · doc4.xml · derivative · entry 1

Haddadin Yezan Munther · CIK 0001718004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-10-31

F1 · derivative.exercise_date: 33.33% of the shares underlying the option shall vest on each of the first, second and third anniversaries of the grant date, such that 100% of the shares underlying the option shall be vested on October 31, 2020, subject to the Reporting Person providing continued service through such date.

SEC source: 0001209191-17-058965 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-10-31

F1 · derivative.exercise_date: 33.33% of the shares underlying the option shall vest on each of the first, second and third anniversaries of the grant date, such that 100% of the shares underlying the option shall be vested on October 31, 2020, subject to the Reporting Person providing continued service through such date.

SEC source: 0001209191-17-058963 · doc4.xml · derivative · entry 1

Thomas Joe · CIK 0001716336 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-10-31

F1 · derivative.exercise_date: 33.33% of the shares underlying the option shall vest on each of the first, second and third anniversaries of the grant date, such that 100% of the shares underlying the option shall be vested on October 31, 2020, subject to the Reporting Person providing continued service through such date.

SEC source: 0001209191-17-058366 · 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 2027-10-26

F1 · derivative.exercise_date: 100% of the shares underlying the option shall vest on October 26, 2018, subject to the Reporting Person providing continuous service to the Issuer on such date.

SEC source: 0001209191-17-058361 · doc4.xml · derivative · entry 1

Canute Scott A · CIK 0001303416 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-10-26

F1 · derivative.exercise_date: 100% of the shares underlying the option shall vest on October 26, 2018, subject to the Reporting Person providing continuous service to the Issuer on such date.

SEC source: 0001209191-17-058363 · doc4.xml · derivative · entry 1

Brady Todd C · CIK 0001579179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-10-26

F1 · derivative.exercise_date: 100% of the shares underlying the option shall vest on October 26, 2018, subject to the Reporting Person providing continuous service to the Issuer on such date.

SEC source: 0001209191-17-058359 · doc4.xml · derivative · entry 1

Dyrness Albert D. · CIK 0001664801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-10-26

F1 · derivative.exercise_date: 100% of the shares underlying the option shall vest on October 26, 2018, subject to the Reporting Person providing continuous service to the Issuer on such date.

SEC source: 0001209191-17-005333 · doc4.xml · derivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,036 shares

Expires 2019-11-08

F1 · kind: Represents the exercise of (i) a Warrant to purchase 7,561 received from Proximare Lifesciences Fund LLC, of which the reporting person is a member, and (ii) a Warrant to purchase 4,475 received from Proximare Lifesciences Fund 2 LLC, of which the reporting person is a member.

F2 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001209191-17-005333 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,554

F1 · kind: Represents the exercise of (i) a Warrant to purchase 7,561 received from Proximare Lifesciences Fund LLC, of which the reporting person is a member, and (ii) a Warrant to purchase 4,475 received from Proximare Lifesciences Fund 2 LLC, of which the reporting person is a member.

SEC source: 0001209191-16-156824 · doc4.xml · derivative · entry 1

Canute Scott A · CIK 0001303416 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,500

Underlying: Common Stock · 80,500 shares

Expires 2021-12-22

F2 · price: The Reporting Person acquired a Senior Secured Note in the principal amount of $350,000 together with a Warrant to purchase 80,500 shares of the common stock of the Issuer in exchange for the Reporting Person's Unsecured Bridge Note in the principal amount of $350,000.

F1 · derivative.exercise_date: Immediately exercisable.