PVLA

SEC source: 0000921895-24-002972 · form407422010_12172024.xml · nonDerivative · entry 1

BVF PARTNERS L P/IL · CIK 0001055947 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND L P · CIK 0000918923 · See Explanation of Responses

BVF I GP LLC · CIK 0001803805 · See Explanation of Responses

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · See Explanation of Responses

BVF II GP LLC · CIK 0001803806 · See Explanation of Responses

Biotechnology Value Trading Fund OS LP · CIK 0001660683 · See Explanation of Responses

BVF Partners OS Ltd. · CIK 0001660684 · See Explanation of Responses

BVF GP HOLDINGS LLC · CIK 0001803809 · See Explanation of Responses

BVF INC/IL · CIK 0001056807 · See Explanation of Responses

LAMPERT MARK N · CIK 0001233840 · See Explanation of Responses

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 371,916

F1 · security: This Form 4 is filed jointly by Biotechnology Value Fund, L.P. ("BVF"), Biotechnology Value Fund II, L.P. ("BVF2"), Biotechnology Value Trading Fund OS LP ("Trading Fund OS"), BVF Partners OS Ltd. ("Partners OS"), BVF I GP LLC ("BVF GP"), BVF II GP LLC ("BVF2 GP"), BVF GP Holdings LLC ("BVF GPH"), BVF Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a group for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") that previously collectively beneficially owned over 10% of the Issuer's outstanding shares of Common Stock (the "Common Stock"). Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein.

F2 · kind: On December 13, 2024, Palvella Therapeutics, Inc., formerly known as Pieris Pharmaceuticals, Inc. (the "Issuer"), completed a reverse merger transaction (the "Merger") with Palvella Therapeutics, Inc. ("Former Palvella") pursuant to that certain Agreement and Plan of Merger, dated as of July 23, 2024 (the "Merger Agreement"). In connection with the Merger, the Reporting Persons acquired an aggregate of 438,929 shares of Common Stock in exchange for all of the Former Palvella capital stock owned of record by the Reporting Persons.

F2 · price: On December 13, 2024, Palvella Therapeutics, Inc., formerly known as Pieris Pharmaceuticals, Inc. (the "Issuer"), completed a reverse merger transaction (the "Merger") with Palvella Therapeutics, Inc. ("Former Palvella") pursuant to that certain Agreement and Plan of Merger, dated as of July 23, 2024 (the "Merger Agreement"). In connection with the Merger, the Reporting Persons acquired an aggregate of 438,929 shares of Common Stock in exchange for all of the Former Palvella capital stock owned of record by the Reporting Persons.

F11 · balance_after: Reflects an eighty-for-one reverse stock split of the Issuer's issued and outstanding Common Stock, effective as of April 18, 2024.

F3 · ownership.direct: Securities owned directly by BVF. As the general partner of BVF, BVF GP may be deemed to beneficially own the securities owned directly by BVF. As the sole member of BVF GP, BVF GPH may be deemed to beneficially own the securities owned directly by BVF. As the investment manager of BVF, Partners may be deemed to beneficially own the securities owned directly by BVF. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF.

SEC source: 0001062993-24-020817 · form4.xml · derivative · entry 1

JENKINS GEORGE M · CIK 0001271081 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2034-12-13

F1 · derivative.exercise_date: The stock options will vest and become exercisable in 36 equal monthly installments through the third anniversary of the grant date.

SEC source: 0001062993-24-020815 · form4.xml · derivative · entry 1

KIRITSY CHRISTOPHER P · CIK 0001261156 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2034-12-13

F1 · derivative.exercise_date: The stock options will vest and become exercisable in 36 equal monthly installments through the third anniversary of the grant date.

SEC source: 0001062993-24-020823 · form4.xml · derivative · entry 1

HERON ELAINE J · CIK 0001235471 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2034-12-13

F1 · derivative.exercise_date: The stock options will vest and become exercisable in 36 equal monthly installments through the third anniversary of the grant date.

SEC source: 0001062993-24-020821 · form4.xml · derivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2034-12-13

F1 · derivative.exercise_date: The stock options will vest and become exercisable in 36 equal monthly installments through the third anniversary of the grant date.

SEC source: 0001062993-24-020822 · form4.xml · derivative · entry 1

Wessel Tadd S. · CIK 0002048706 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,700

Underlying: Common Stock · 24,700 shares

Expires 2034-12-13

F1 · derivative.exercise_date: The stock options will vest and become exercisable in 36 equal monthly installments through the third anniversary of the grant date.

SEC source: 0001062993-24-020820 · form4.xml · derivative · entry 1

Martini Jeffrey S · CIK 0001914560 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 126,416

Underlying: Common Stock · 126,416 shares

Expires 2034-12-13

F1 · derivative.exercise_date: The stock options will vest in equal monthly tranches over 48 months.

SEC source: 0001062993-24-020819 · form4.xml · derivative · entry 1

Goin Kathleen · CIK 0001912570 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,843

Underlying: Common Stock · 27,843 shares

Expires 2034-12-13

F1 · derivative.exercise_date: The stock options will vest in equal monthly tranches over 48 months.

SEC source: 0001062993-24-020818 · form4.xml · derivative · entry 1

Korenberg Matthew E · CIK 0001649903 · CFO, Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 167,100

Underlying: Common Stock · 167,100 shares

Expires 2034-12-13

F1 · derivative.exercise_date: 25% of the stock options will vest on October 16, 2025, and the remaining 75% will vest in equal monthly tranches over the following 36 months.

SEC source: 0001062993-24-020816 · form4.xml · derivative · entry 1

Kaupinen Wes · CIK 0001918142 · Director · President and CEO · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 417,806

Underlying: Common Stock · 417,806 shares

Expires 2034-12-13

F1 · derivative.exercise_date: The stock options will vest in equal monthly tranches over 48 months.

SEC source: 0001437749-24-037353 · rdgdoc.xml · nonDerivative · entry 1

GERAGHTY JAMES A · CIK 0001239746 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: This Form 4 relates to the redemption of the Series F Preferred Stock, par value $0.001, that was issued to James A. Geraghty on August 7, 2024. The Series F Preferred Stock was redeemed by Pieris Pharmaceuticals, Inc. for $0.01 automatically and effective immediately after the effectiveness of its Authorized Share Increase, as set forth in the Certificate of Designation of Series F Preferred Stock.

SEC source: 0001437749-24-036916 · rdgdoc.xml · derivative · entry 1

KIRITSY CHRISTOPHER P · CIK 0001261156 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500

Underlying: Common Stock · 500 shares

Expires 2034-12-02

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on December 2, 2025, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001940272-24-000006 · primary_doc.xml · nonDerivative · entry 3

ADAR1 Capital Management, LLC · CIK 0001940272 · 10% owner

ADAR1 Partners, LP · CIK 0001758866 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By: Spearhead Insurance Solutions IDF, LLC - Series ADAR1

Disclosed balance after: 15,067

F2 · ownership.nature: ADAR1 Capital Management, LLC ("ADAR1 Capital"), an entity owned and controlled by Dr. Daniel Schneeberger, owns voting and investment control with respect to the shares held by Spearhead Insurance Solutions IDF, LLC - Series ADAR1 ("Spearhead"). Because of the relationship between Spearhead and ADAR1 Capital, ADAR1 Capital may be deemed to beneficially own the shares held directly by Spearhead.

F3 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001940272-24-000006 · primary_doc.xml · nonDerivative · entry 2

ADAR1 Capital Management, LLC · CIK 0001940272 · 10% owner

ADAR1 Partners, LP · CIK 0001758866 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By: ADAR1 Partners

Disclosed balance after: 129,574

F1 · ownership.nature: ADAR1 Capital Management, LLC ("ADAR1 Capital"), an entity owned and controlled by Dr. Daniel Schneeberger, owns voting and investment control with respect to the shares held by ADAR1 Partners, LP ("ADAR1 Partners"). Because of the relationship between ADAR1 Partners and ADAR1 Capital, ADAR1 Capital may be deemed to beneficially own the shares held directly by ADAR1 Partners.

F3 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001940272-24-000006 · primary_doc.xml · nonDerivative · entry 1

ADAR1 Capital Management, LLC · CIK 0001940272 · 10% owner

ADAR1 Partners, LP · CIK 0001758866 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · By: ADAR1 Partners

Disclosed balance after: 127,331

F1 · ownership.nature: ADAR1 Capital Management, LLC ("ADAR1 Capital"), an entity owned and controlled by Dr. Daniel Schneeberger, owns voting and investment control with respect to the shares held by ADAR1 Partners, LP ("ADAR1 Partners"). Because of the relationship between ADAR1 Partners and ADAR1 Capital, ADAR1 Capital may be deemed to beneficially own the shares held directly by ADAR1 Partners.

F3 · ownership.nature: For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, each Reporting Person disclaims beneficial ownership of any such securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or otherwise.

SEC source: 0001437749-24-032319 · rdgdoc.xml · nonDerivative · entry 1

GERAGHTY JAMES A · CIK 0001239746 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1

F1 · shares: On August 7, 2024, the Reporting Person purchased one (1) share of Series F Preferred Stock, par value $0.001 per share (the "Preferred Stock"), of Pieris Pharmaceuticals, Inc. (the "Issuer") from the Issuer for cash consideration of $1.00. The Preferred Stock has the rights, preferences, privileges and restrictions set forth in the Certificate of Designation of Series F Preferred Stock filed by the Issuer with the Nevada Secretary of State on August 7, 2024 (the "Series F COD"), including the right to have 25,000,000 votes and to vote together with the outstanding shares of the Issuer's common stock as a single class exclusively with respect to such voting proposals defined in the Series F COD.

F1 · balance_after: On August 7, 2024, the Reporting Person purchased one (1) share of Series F Preferred Stock, par value $0.001 per share (the "Preferred Stock"), of Pieris Pharmaceuticals, Inc. (the "Issuer") from the Issuer for cash consideration of $1.00. The Preferred Stock has the rights, preferences, privileges and restrictions set forth in the Certificate of Designation of Series F Preferred Stock filed by the Issuer with the Nevada Secretary of State on August 7, 2024 (the "Series F COD"), including the right to have 25,000,000 votes and to vote together with the outstanding shares of the Issuer's common stock as a single class exclusively with respect to such voting proposals defined in the Series F COD.

SEC source: 0001437749-23-018284 · rdgdoc.xml · derivative · entry 1

Barbier Ann · CIK 0001737596 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2024 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001437749-23-018278 · rdgdoc.xml · derivative · entry 1

Sherman Matthew L · CIK 0001325710 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2024 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001437749-23-018281 · rdgdoc.xml · derivative · entry 1

KIRITSY CHRISTOPHER P · CIK 0001261156 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2024 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001437749-23-018283 · rdgdoc.xml · derivative · entry 1

GERAGHTY JAMES A · CIK 0001239746 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2024 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001437749-23-018282 · rdgdoc.xml · derivative · entry 1

Kiener Peter A · CIK 0001328146 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2024 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001437749-23-018280 · rdgdoc.xml · derivative · entry 1

Richman Michael · CIK 0001366265 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2024 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001437749-23-018279 · rdgdoc.xml · derivative · entry 1

Said Maya R. · CIK 0001783701 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2024 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001562180-23-004575 · primarydocument.xml · nonDerivative · entry 1

KIRITSY CHRISTOPHER P · CIK 0001261156 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

SEC source: 0001437749-23-004948 · rdgdoc.xml · derivative · entry 1

Olwill Shane · CIK 0001875416 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,080

Underlying: Common Stock · 249,080 shares

Expires 2033-02-24

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 24, 2024 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.

SEC source: 0001437749-23-004963 · rdgdoc.xml · derivative · entry 1

Bures Thomas · CIK 0001787029 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,080

Underlying: Common Stock · 249,080 shares

Expires 2033-02-24

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 24, 2024 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.

SEC source: 0001437749-23-004958 · rdgdoc.xml · derivative · entry 1

Kaufmann Hitto · CIK 0001787104 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,080

Underlying: Common Stock · 249,080 shares

Expires 2033-02-24

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 24, 2024 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.

SEC source: 0001437749-23-004953 · rdgdoc.xml · derivative · entry 1

Mousa Ahmed · CIK 0001889073 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,080

Underlying: Common Stock · 249,080 shares

Expires 2033-02-24

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 24, 2024 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.

SEC source: 0001437749-23-004940 · rdgdoc.xml · derivative · entry 1

Yoder Stephen S. · CIK 0001645577 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 634,021

Underlying: Common Stock · 634,021 shares

Expires 2033-02-24

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 24, 2024 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.

SEC source: 0001583648-22-000054 · wf-form4_165611185402944.xml · derivative · entry 1

Barbier Ann · CIK 0001737596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-06-22

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2023 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001583648-22-000048 · wf-form4_165611172543156.xml · derivative · entry 1

Sherman Matthew L · CIK 0001325710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-06-22

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2023 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001583648-22-000050 · wf-form4_165611176500631.xml · derivative · entry 1

KIRITSY CHRISTOPHER P · CIK 0001261156 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-06-22

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2023 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001583648-22-000052 · wf-form4_165611180914979.xml · derivative · entry 1

GERAGHTY JAMES A · CIK 0001239746 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2032-06-22

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2023 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001583648-22-000051 · wf-form4_165611178802913.xml · derivative · entry 1

Kiener Peter A · CIK 0001328146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-06-22

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2023 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001583648-22-000049 · wf-form4_165611174598543.xml · derivative · entry 1

Richman Michael · CIK 0001366265 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-06-22

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2023 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001583648-22-000053 · wf-form4_165611183103804.xml · derivative · entry 1

Said Maya R. · CIK 0001783701 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-06-22

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2023 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001583648-22-000030 · wf-form4_165274672969009.xml · nonDerivative · entry 1

Demuth Tim · CIK 0001875267 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

F1 · price: Purchase price was 1.65 Euros per share which was converted into dollars using the noon buying rate of 1.00 Euro to $1.03745 based on information provided on May 13, 2022 via Xignite.

SEC source: 0001562180-22-001873 · primarydocument.xml · derivative · entry 1

Olwill Shane · CIK 0001875416 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,819

Underlying: Common Stock · 215,819 shares

Expires 2032-02-22

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 22, 2023 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.

SEC source: 0001562180-22-001876 · primarydocument.xml · derivative · entry 1

Demuth Tim · CIK 0001875267 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2032-02-22

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 22, 2023 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.

SEC source: 0001562180-22-001874 · primarydocument.xml · derivative · entry 1

Mousa Ahmed · CIK 0001889073 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,819

Underlying: Common Stock · 215,819 shares

Expires 2032-02-22

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 22, 2023 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.

SEC source: 0001562180-22-001872 · primarydocument.xml · derivative · entry 1

Bures Thomas · CIK 0001787029 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,819

Underlying: Common Stock · 215,819 shares

Expires 2032-02-22

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 22, 2023 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.

SEC source: 0001562180-22-001871 · primarydocument.xml · derivative · entry 1

Kaufmann Hitto · CIK 0001787104 · SVP, Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,819

Underlying: Common Stock · 215,819 shares

Expires 2032-02-22

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 22, 2023 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.

SEC source: 0001562180-22-001870 · primarydocument.xml · derivative · entry 1

Yoder Stephen S. · CIK 0001645577 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 625,874

Underlying: Common Stock · 625,874 shares

Expires 2032-02-22

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on February 22, 2023 and as to an additional 6.25% of the option shares at the end of each successive three-month period thereafter.

SEC source: 0001562180-21-005712 · primarydocument.xml · derivative · entry 4

Olwill Shane · CIK 0001875416 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,600

Underlying: Common Stock · 100,000 shares

Expires 2026-02-12

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 · derivative.exercise_date: The option has fully vested.

SEC source: 0001562180-21-005712 · primarydocument.xml · nonDerivative · entry 3

Olwill Shane · CIK 0001875416 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,638

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.07 to $5.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, on request, full information regarding the number of shares sold at each separate price within the range set forth above.

SEC source: 0001562180-21-005712 · primarydocument.xml · nonDerivative · entry 2

Olwill Shane · CIK 0001875416 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,838

SEC source: 0001562180-21-005712 · primarydocument.xml · nonDerivative · entry 1

Olwill Shane · CIK 0001875416 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,038

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.

SEC source: 0001562180-21-005129 · primarydocument.xml · derivative · entry 1

Demuth Tim · CIK 0001875267 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 360,000

Underlying: Common Stock · 360,000 shares

Expires 2031-08-01

F1 · derivative.exercise_date: The option vests as to 25% of the option shares on August 1, 2022 and vests as to an additional 6.25% of the option shares at the end of each successive calendar quarter thereafter beginning on December 31, 2022.

SEC source: 0001562180-21-004558 · primarydocument.xml · derivative · entry 1

Barbier Ann · CIK 0001737596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-06-25

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2022 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.

SEC source: 0001562180-21-004564 · primarydocument.xml · derivative · entry 1

Sherman Matthew L · CIK 0001325710 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-06-25

F1 · derivative.exercise_date: The stock option will vest as to 100% of the underlying shares on the date of the Company's 2022 annual stockholders meeting, subject to the Reporting Person's continued service as a director through the vesting date.