RCKT

SEC source: 0001140361-21-003321 · form4.xml · derivative · entry 3

Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,428 shares

Expires 2027-04-12

F1 · derivative.exercise_date: This option represents a right to purchase a total of 11,428 shares of the Issuer's Common Stock 4,113 of which will become fully vested and exercisable on April 12, 2018, with the remaining 7,315 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-21-003321 · form4.xml · nonDerivative · entry 2

Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,529

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: 0001140361-21-003321 · form4.xml · nonDerivative · entry 1

Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,428

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: 0001140361-21-000393 · form4.xml · derivative · entry 1

Garcia-Parada Carlos · CIK 0001839342 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2031-01-04

F1 · derivative.exercise_date: The option represents a right to purchase a total of 125,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on January 4, 2022, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-21-005127 · form5.xml · nonDerivative · entry 6

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Gaurav D. Shah Irrevocable Trust

Disclosed balance after: 198,341

SEC source: 0001140361-21-005127 · form5.xml · nonDerivative · entry 5

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 622,759

F2 · kind: Represents a Gift of (i) 126,341 shares on December 18, 2020 and (ii) 72,000 shares on December 31, 2020 to the Gaurav D. Shah Irrevocable Trust.

SEC source: 0001140361-20-029917 · form4.xml · nonDerivative · entry 2

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,977

F2 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan dated 10/23/2020 in multiple trades at prices ranging from $56.903 to $57.49. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001140361-20-029917 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,404

F1 · price: This transaction was executed pursuant to a Rule 10b5-1 trading plan dated 10/23/2020 in multiple trades at prices ranging from $55.90 to $56.86. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001140361-21-005130 · form5.xml · derivative · entry 6

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Paul Andrew Granadillo 2020 Irrevocable Trust dated 12/28/2020

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-06-16

F3 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021.

SEC source: 0001140361-21-005130 · form5.xml · derivative · entry 5

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2030-06-16

F3 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021.

SEC source: 0001140361-21-005130 · form5.xml · derivative · entry 4

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ann Granadillo Lowe 2020 Revocable Trust dated 12/28/2020

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-29

F2 · derivative.exercise_date: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 37,778 of which are currently vested and exercisable, with the remaining 2,222 shares vesting in equal monthly installments on each of February 28, 2021 and March 29, 2021.

SEC source: 0001140361-21-005130 · form5.xml · derivative · entry 3

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,000 shares

Expires 2028-03-29

F2 · derivative.exercise_date: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 37,778 of which are currently vested and exercisable, with the remaining 2,222 shares vesting in equal monthly installments on each of February 28, 2021 and March 29, 2021.

SEC source: 0001140361-21-005130 · form5.xml · derivative · entry 2

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ann Granadillo Lowe 2020 Revocable Trust dated 12/28/2020

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, all of which are currently vested and exercisable.

SEC source: 0001140361-21-005130 · form5.xml · derivative · entry 1

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2029-01-28

F1 · derivative.exercise_date: This option represents a right to purchase a total of 30,000 shares of the Issuer's Common Stock, all of which are currently vested and exercisable.

SEC source: 0001140361-21-005127 · form5.xml · nonDerivative · entry 4

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Gaurav D. Shah Irrevocable Trust

Disclosed balance after: 126,341

SEC source: 0001140361-21-005127 · form5.xml · nonDerivative · entry 3

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 694,759

F2 · kind: Represents a Gift of (i) 126,341 shares on December 18, 2020 and (ii) 72,000 shares on December 31, 2020 to the Gaurav D. Shah Irrevocable Trust.

SEC source: 0001493152-20-023575 · ownership.xml · nonDerivative · entry 1

RTW INVESTMENTS, LP · CIK 0001493215 · Director · 10% owner

WONG RODERICK · CIK 0001493280 · Director · 10% owner

Yalamanchi Naveen · CIK 0001725743 · Director

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By RTW

Disclosed balance after: 17,530,044

F1 · ownership.nature: Represents shares of common stock purchased from the underwriters pursuant to an underwritten public offering by the Issuer (the "Offering") at the public offering price of $56.00 per share.

F2 · ownership.nature: The securities reported herein may be deemed beneficially owned by each of: (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of shares held by RTW Master Fund, Ltd., RTW Innovation Master Fund, Ltd., RTW Special Purpose Fund II, LLC and RTW Venture Fund Limited, which are investment funds managed by RTW, (ii) Roderick Wong, M.D., who serves as the Managing Partner and Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, and (iii) Naveen Yalamanchi, M.D., who serves as a Partner and Portfolio Manager of RTW and who is a director of the Issuer. Dr. Wong exercises voting and dispositive control over the securities held by RTW and is therefore deemed be the beneficial owner of securities owned or controlled by RTW.

F3 · ownership.nature: Both Dr. Wong and Dr. Yalamanchi have a pecuniary interest in securities held by RTW. Each of RTW, Dr. Wong and Dr. Yalamanchi disclaims beneficial ownership of the shares of common stock of the Issuer beneficially held by RTW, except to the extent of its or his pecuniary interest therein. The shares reported above exclude (i) 82,391 shares of common stock indirectly beneficially held by Dr. Yalamanchi through the Naveen Yalamanchi Revocable Living Trust, February 9, 2016 (the "Yalamanchi Trust"); and (ii) 31,250 shares of common stock indirectly beneficially held by Dr. Yalamanchi through and previously gifted to the Yalamanchi Family Foundation by the Yalamanchi Trust.

SEC source: 0001140361-21-005127 · form5.xml · nonDerivative · entry 2

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 207,897

F1 · kind: Represents a Gift of 207,897 shares on December 9, 2020 to Falguni G. Shah, the spouse of the Reporting Person.

SEC source: 0001140361-21-005127 · form5.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 821,100

F1 · kind: Represents a Gift of 207,897 shares on December 9, 2020 to Falguni G. Shah, the spouse of the Reporting Person.

SEC source: 0001140361-21-005123 · form5.xml · nonDerivative · entry 1

Yalamanchi Naveen · CIK 0001725743 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · The Naveen Yalmanchi Revocable Living Trust, February 9, 2016

Disclosed balance after: 82,391

F1 · balance_after: Excludes 17,530,044 shares beneficially owned by each of (i) RTW Investments, LP ("RTW"), which is deemed the beneficial owner of the shares held by RTW Master Fund, Ltd., RTW Venture Fund Limited and RTW Special Purpose Fund II, LLC, which are investment funds managed by RTW, and (ii) Roderick Wong, M.D., who serves as the Managing Partner of Chief Investment Officer of RTW and who is a director of the Issuer and Chairman of the Issuer's Board of Directors, in which Dr. Yalamanchi has a pecuniary interest. Dr. Yalamanchi disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

SEC source: 0001140361-20-022671 · form4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-10-05

F1 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of RCKT common stock upon satisfaction of vesting conditions.

F2 · derivative.exercise_date: The restricted stock units were issued pursuant to the Rocket Pharmaceuticals Inc. 2014 Stock Option and Incentive Plan. The restricted stock units shall vest in equal annual installments over 3 years from October 5, 2020 (date of grant) subject to continued service through such dates.

F3 · ownership.nature: The restricted stock units were granted to the reporting person's husband, in connection with a Consulting Agreement for information technology services provided to the Company.

SEC source: 0001140361-20-020136 · form4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-09-08

F1 · derivative.exercise_date: The option represents a right to purchase a total of 50,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on September 8, 2021, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-20-017591 · form4.xml · derivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2030-08-03

F1 · derivative.exercise_date: This option represents a right to purchase a total of 18,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on August 3, 2021, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-20-014238 · form4.xml · derivative · entry 1

Bjork Elisabeth · CIK 0001810406 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021

SEC source: 0001140361-20-014239 · form4.xml · derivative · entry 3

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,206

Underlying: Common Stock · 3,206 shares

Expires 2030-06-16

F3 · derivative.exercise_date: This option represents a right to purchase a total of 3,206 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021. This option was issued to the Reporting Person in lieu of director retainer fees of $39,000.

SEC source: 0001140361-20-014239 · form4.xml · derivative · entry 2

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,784

Underlying: Common Stock · 9,784 shares

Expires 2030-06-16

F2 · derivative.exercise_date: This option represents a right to purchase a total of 9,784 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021.

SEC source: 0001140361-20-014239 · form4.xml · derivative · entry 1

Makker Gotham · CIK 0001726391 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021.

SEC source: 0001140361-20-014240 · form4.xml · derivative · entry 1

WONG RODERICK · CIK 0001493280 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,000

Underlying: Common Stock · 27,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: This option represents a right to purchase a total of 27,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021.

SEC source: 0001140361-20-014244 · form4.xml · derivative · entry 1

SOUTHWELL DAVID P · CIK 0001251553 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021.

SEC source: 0001140361-20-014243 · form4.xml · derivative · entry 1

GRANADILLO PEDRO P · CIK 0001217544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021.

SEC source: 0001140361-20-014237 · form4.xml · derivative · entry 1

Yalamanchi Naveen · CIK 0001725743 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021.

SEC source: 0001140361-20-014236 · form4.xml · derivative · entry 1

BOESS CARSTEN · CIK 0001277495 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, all of which will become fully vested and exercisable on June 16, 2021.

SEC source: 0001140361-20-009478 · form4.xml · derivative · entry 1

Bjork Elisabeth · CIK 0001810406 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2030-04-20

F1 · derivative.exercise_date: This option represents a right to purchase a total of 40,000 shares of the Issuer's Common Stock, 1/3 of which shall vest on the first anniversary of the date of this grant and the remaining 2/3 of which shall vest in equal monthly installments over the subsequent two years.

SEC source: 0001140361-20-007081 · form4.xml · derivative · entry 3

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,925 shares

Expires 2020-12-15

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 · kind: The options exercised and reported on this Form 4 were required to be exercised or otherwise forfeited in 2020 due to their upcoming expiration.

F3 · derivative.exercise_date: The option is fully vested and immediately exercisable and will expire under its own terms this year.

SEC source: 0001140361-20-007081 · form4.xml · nonDerivative · entry 2

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,028,997

F2 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price and the tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of on this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer to cover the exercise price of the options and the tax liability,

SEC source: 0001140361-20-007081 · form4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,061,642

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 · kind: The options exercised and reported on this Form 4 were required to be exercised or otherwise forfeited in 2020 due to their upcoming expiration.

SEC source: 0001140361-20-006375 · form4.xml · nonDerivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 6,675

SEC source: 0001209191-20-013480 · doc4.xml · derivative · entry 3

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,925

Underlying: Common Stock · 290,000 shares

Expires 2020-12-15

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 · kind: The options exercised and reported on this Form 4 were required to be exercised or otherwise forfeited in 2020 due to their upcoming expiration.

F3 · derivative.exercise_date: The option is fully vested and immediately exercisable and will expire under its own terms this year.

F4 · derivative.expiration_date: As the result of an administrative error, the Form 3 previously filed with the Securities and Exchange Commission on January 16, 2018 incorrectly reported the expiration date of this option. The expiration date is corrected on this Form 4.

SEC source: 0001209191-20-013480 · doc4.xml · nonDerivative · entry 2

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 970,717

F2 · kind: Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of on this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer to cover the exercise price of the options.

SEC source: 0001209191-20-013480 · doc4.xml · nonDerivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 976,950

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 · kind: The options exercised and reported on this Form 4 were required to be exercised or otherwise forfeited in 2020 due to their upcoming expiration.

SEC source: 0001209191-20-008017 · doc4.xml · derivative · entry 2

Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 7,000 shares

Expires 2030-02-10

F2 · derivative.exercise_date: This option represents a right to purchase a total of 7,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 10, 2021, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001209191-20-008012 · doc4.xml · derivative · entry 2

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2030-02-10

F2 · derivative.exercise_date: This option represents a right to purchase a total of 2,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 10, 2021, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001209191-20-008013 · doc4.xml · derivative · entry 2

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-02-10

F2 · derivative.exercise_date: This option represents a right to purchase a total of 15,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 10, 2021, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001209191-20-008006 · doc4.xml · derivative · entry 2

Alam Kamran · CIK 0001793412 · SVP - Finance & PFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2030-02-10

F2 · derivative.exercise_date: This option represents a right to purchase a total of 3,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 10, 2021, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001140361-21-003321 · form4.xml · derivative · entry 4

Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,309

Underlying: Common Stock · 213,101 shares

Expires 2026-02-08

F2 · derivative.exercise_date: This option represents a right to purchase a total of 251,410 shares of the Issuer's Common Stock 83,803 of which became fully vested and exercisable on February 8, 2017, with the remaining 167,607 shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001209191-20-008017 · doc4.xml · derivative · entry 1

Schwartz Jonathan David · CIK 0001726398 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2030-02-06

F1 · derivative.exercise_date: This option represents a right to purchase a total of 75,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 6, 2021, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001209191-20-008012 · doc4.xml · derivative · entry 1

Militello John · CIK 0001662170 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-02-06

F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 6, 2021, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001209191-20-008018 · doc4.xml · derivative · entry 1

Shah Gaurav · CIK 0001725922 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 383,306

Underlying: Common Stock · 383,306 shares

Expires 2030-02-06

F1 · derivative.exercise_date: This option represents a right to purchase a total of 383,306 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 6, 2021, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001209191-20-008013 · doc4.xml · derivative · entry 1

Patel Kinnari · CIK 0001725929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2030-02-06

F1 · derivative.exercise_date: This option represents a right to purchase a total of 150,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 6, 2021, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.

SEC source: 0001209191-20-008006 · doc4.xml · derivative · entry 1

Alam Kamran · CIK 0001793412 · SVP - Finance & PFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-02-06

F1 · derivative.exercise_date: This option represents a right to purchase a total of 25,000 shares of the Issuer's Common Stock, one-third of which will become fully vested and exercisable on February 6, 2021, with the remaining shares vesting in equal quarterly installments over the following two years, subject to the reporting person's continued employment with the Issuer.