SLS

SEC source: 0001104659-21-033337 · tm218923d2_4.xml · derivative · entry 2

WOOD BARBARA A · CIK 0001220051 · EVP, Gen. Counsel, Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,250

Underlying: Common Stock · 47,250 shares

Expires 2031-03-04

F2 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 4, 2021 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001104659-21-033337 · tm218923d2_4.xml · nonDerivative · entry 1

WOOD BARBARA A · CIK 0001220051 · EVP, Gen. Counsel, Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,875

F1 · shares: The Reporting Person received an award of 7,875 restricted stock units on March 4, 2021, which shall vest as follows: (i) 25% on December 1, 2021 and (ii) 25% on each December 1 thereafter until fully vested, provided that the Reporting Person remains in service with the Issuer through each such vesting date.

SEC source: 0001104659-21-033296 · tm218923d4_4.xml · derivative · entry 1

VAN NOSTRAND ROBERT L · CIK 0001225198 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) March 4, 2022 (the first anniversary of the date of grant) or (y) the business day prior to the 2022 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001104659-21-033301 · tm218923d7_4.xml · derivative · entry 1

SCHEINBERG DAVID A · CIK 0001250316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) March 4, 2022 (the first anniversary of the date of grant) or (y) the business day prior to the 2022 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001104659-21-033298 · tm218923d5_4.xml · derivative · entry 1

Wasman Jane · CIK 0001352455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2031-03-04

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) March 4, 2022 (the first anniversary of the date of grant) or (y) the business day prior to the 2022 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001104659-21-033294 · tm218923d3_4.xml · derivative · entry 2

Burns John Thomas · CIK 0001568734 · VP, Finance & Corp Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,250

Underlying: Common Stock · 17,250 shares

Expires 2031-03-04

F2 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 4, 2021 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001104659-21-033294 · tm218923d3_4.xml · nonDerivative · entry 1

Burns John Thomas · CIK 0001568734 · VP, Finance & Corp Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,875

F1 · shares: The Reporting Person received an award of 2,875 restricted stock units on March 4, 2021, which shall vest as follows: (i) 25% on December 1, 2021 and (ii) 25% on each December 1 thereafter until fully vested, provided that the Reporting Person remains in service with the Issuer through each such vesting date.

SEC source: 0001104659-21-033287 · tm218923-1_4.xml · derivative · entry 2

Stergiou Angelos M. · CIK 0001724253 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,500

Underlying: Common Stock · 118,500 shares

Expires 2031-03-04

F2 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 4, 2021 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001104659-21-033287 · tm218923-1_4.xml · nonDerivative · entry 1

Stergiou Angelos M. · CIK 0001724253 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,287

F1 · shares: The Reporting Person received an award of 19,750 restricted stock units on March 4, 2021, which shall vest as follows: (i) 25% on December 1, 2021 and (ii) 25% on each December 1 thereafter until fully vested, provided that the Reporting Person remains in service with the Issuer through each such vesting date.

SEC source: 0001104659-20-034289 · tm2012902-5_form4.xml · derivative · entry 1

Varian John · CIK 0001416176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

Underlying: Common Stock · 6,500 shares

Expires 2030-03-12

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) March 12, 2021 (the first anniversary of the date of grant) or (y) the business day prior to the 2021 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001104659-20-034291 · tm2012902-7_form4.xml · derivative · entry 2

WOOD BARBARA A · CIK 0001220051 · EVP, Gen. Counsel, Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-03-12

F2 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 12, 2020 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001104659-20-034291 · tm2012902-7_form4.xml · nonDerivative · entry 1

WOOD BARBARA A · CIK 0001220051 · EVP, Gen. Counsel, Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

F1 · shares: The reporting person received an award of 35,000 restricted stock units on March 12, 2020, which shall vest as follows: (i) 50% on meeting the primary endpoint in Phase 3 REGAL study, provided that if such endpoint is met prior to March 12, 2021, such vesting will not occur until March 12, 2021 and (ii) 50% upon approval by the FDA of galinpepimut-S.

SEC source: 0001104659-20-034288 · tm2012902-4_form4.xml · derivative · entry 1

VAN NOSTRAND ROBERT L · CIK 0001225198 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

Underlying: Common Stock · 6,500 shares

Expires 2030-03-12

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) March 12, 2021 (the first anniversary of the date of grant) or (y) the business day prior to the 2021 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001104659-20-034285 · tm2012902-2_form4.xml · derivative · entry 1

SCHEINBERG DAVID A · CIK 0001250316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

Underlying: Common Stock · 6,500 shares

Expires 2030-03-12

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) March 12, 2021 (the first anniversary of the date of grant) or (y) the business day prior to the 2021 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001104659-20-034290 · tm2012902-6_form4.xml · derivative · entry 1

Wasman Jane · CIK 0001352455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

Underlying: Common Stock · 6,500 shares

Expires 2030-03-12

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) March 12, 2021 (the first anniversary of the date of grant) or (y) the business day prior to the 2021 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001104659-20-034284 · tm2012902-1_form4.xml · derivative · entry 2

Burns John Thomas · CIK 0001568734 · VP, Finance & Corp Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-03-12

F2 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 12, 2020 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001104659-20-034284 · tm2012902-1_form4.xml · nonDerivative · entry 1

Burns John Thomas · CIK 0001568734 · VP, Finance & Corp Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · shares: The reporting person received an award of 15,000 restricted stock units on March 12, 2020, which shall vest as follows: (i) 50% on meeting the primary endpoint in Phase 3 REGAL study, provided that if such endpoint is met prior to March 12, 2021, such vesting will not occur until March 12, 2021 and (ii) 50% upon approval by the FDA of galinpepimut-S.

SEC source: 0001104659-20-034286 · tm2012902-3_form4.xml · derivative · entry 2

Stergiou Angelos M. · CIK 0001724253 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2030-03-12

F2 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 12, 2020 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001104659-20-034286 · tm2012902-3_form4.xml · nonDerivative · entry 1

Stergiou Angelos M. · CIK 0001724253 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

F1 · shares: The reporting person received an award of 95,000 restricted stock units on March 12, 2020, which shall vest as follows: (i) 50% on meeting the primary endpoint in Phase 3 REGAL study, provided that if such endpoint is met prior to March 12, 2021, such vesting will not occur until March 12, 2021 and (ii) 50% upon approval by the FDA of galinpepimut-S.

SEC source: 0000899243-19-008204 · doc4.xml · derivative · entry 1

Sarlis Nicholas J. · CIK 0001724151 · Chief Medical Officer and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2019-12-31

F1 · derivative.exercise_date: All of the option shares will vest and become exercisable upon the closing of a Change of Control transaction (as defined in Mr. Sarlis' stock option grant notice), provided that the Reporting Person remains in continuous service with the Issuer on the vesting date.

SEC source: 0000899243-19-008198 · doc4.xml · derivative · entry 1

Varian John · CIK 0001416176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-03-14

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) March 14, 2020 (the first anniversary of the date of grant) or (y) the day prior to the 2020 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0000899243-19-008194 · doc4.xml · derivative · entry 1

WOOD BARBARA A · CIK 0001220051 · EVP, Gen. Counsel, Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 165,000 shares

Expires 2029-03-14

F1 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 14, 2019 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0000899243-19-008205 · doc4.xml · derivative · entry 1

VAN NOSTRAND ROBERT L · CIK 0001225198 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-03-14

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) March 14, 2020 (the first anniversary of the date of grant) or (y) the day prior to the 2020 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0000899243-19-008207 · doc4.xml · derivative · entry 1

SCHEINBERG DAVID A · CIK 0001250316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-03-14

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) March 14, 2020 (the first anniversary of the date of grant) or (y) the day prior to the 2020 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0000899243-19-008206 · doc4.xml · derivative · entry 1

Wasman Jane · CIK 0001352455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-03-14

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) March 14, 2020 (the first anniversary of the date of grant) or (y) the day prior to the 2020 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0000899243-19-008201 · doc4.xml · derivative · entry 1

Burns John Thomas · CIK 0001568734 · VP, Finance & Corp Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2029-03-14

F1 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 14, 2019 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0000899243-19-008202 · doc4.xml · derivative · entry 1

Ghiglieri Stephen F · CIK 0001394548 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-03-14

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) March 14, 2020 (the first anniversary of the date of grant) or (y) the day prior to the 2020 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0000899243-19-008199 · doc4.xml · derivative · entry 1

Stergiou Angelos M. · CIK 0001724253 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,000

Underlying: Common Stock · 425,000 shares

Expires 2029-03-14

F1 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 14, 2019 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-19-001612 · doc4.xml · nonDerivative · entry 1

Stergiou Angelos M. · CIK 0001724253 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,858

F1 · shares: The Reporting Person sold such shares to cover personal income tax liability.

F2 · price: The price reported is a weighted average price. The shares were sold at prices ranging from $1.23 to $1.31 The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0000899243-18-025346 · doc4.xml · nonDerivative · entry 3

Lopez Fabio · CIK 0001724449 · Former Director, 10% holder

EQC Private Markets SAC Fund II Ltd-EQC Biotech Sely S Fund · CIK 0001724585 · 10% owner

EQC Private Markets SAC Fund Ltd-EQC Biotech Sely I Fund · CIK 0001724529 · 10% owner

EQC Private Markets SAC Fund Ltd-EQC Biotech Sely II Fund` · CIK 0001724530 · 10% owner

Equilibria Capital Management Ltd · CIK 0001724701 · 10% owner

Castilian Ltd. · CIK 0001724523 · 10% owner

Varibobi Financial Holdings Ltd · CIK 0001724811 · 10% owner

Tafur Daniel · CIK 0001724558 · 10% owner

EQC Private Markets II SAC Fund Ltd-EQC Biotech Sely III Fund · CIK 0001724539 · 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

F5 · kind: EQC Private Markets SAC Fund Ltd-EQC Biotech Sely II Fund ("Sely II") distributed 325,799 shares to its partners on a pro rata basis, for no consideration.

F6 · balance_after: As partners of Sely II, Fabio Lopez and Daniel Tafur received 6,325 and 2,372, respectively, of the shares distributed by Sely II.

SEC source: 0000899243-18-025346 · doc4.xml · nonDerivative · entry 2

Lopez Fabio · CIK 0001724449 · Former Director, 10% holder

EQC Private Markets SAC Fund II Ltd-EQC Biotech Sely S Fund · CIK 0001724585 · 10% owner

EQC Private Markets SAC Fund Ltd-EQC Biotech Sely I Fund · CIK 0001724529 · 10% owner

EQC Private Markets SAC Fund Ltd-EQC Biotech Sely II Fund` · CIK 0001724530 · 10% owner

Equilibria Capital Management Ltd · CIK 0001724701 · 10% owner

Castilian Ltd. · CIK 0001724523 · 10% owner

Varibobi Financial Holdings Ltd · CIK 0001724811 · 10% owner

Tafur Daniel · CIK 0001724558 · 10% owner

EQC Private Markets II SAC Fund Ltd-EQC Biotech Sely III Fund · CIK 0001724539 · 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

F3 · kind: EQC Private Markets SAC Fund Ltd-EQC Biotech Sely I Fund ("Sely I") distributed 676,324 shares to its partners on a pro rata basis, for no consideration.

F4 · balance_after: As partners of Sely I, Daniel Tafur and Equilibria Capital Management received 13,871 and 107,619, respectively, of the shares distributed by Sely I.

SEC source: 0000899243-18-025346 · doc4.xml · nonDerivative · entry 1

Lopez Fabio · CIK 0001724449 · Former Director, 10% holder

EQC Private Markets SAC Fund II Ltd-EQC Biotech Sely S Fund · CIK 0001724585 · 10% owner

EQC Private Markets SAC Fund Ltd-EQC Biotech Sely I Fund · CIK 0001724529 · 10% owner

EQC Private Markets SAC Fund Ltd-EQC Biotech Sely II Fund` · CIK 0001724530 · 10% owner

Equilibria Capital Management Ltd · CIK 0001724701 · 10% owner

Castilian Ltd. · CIK 0001724523 · 10% owner

Varibobi Financial Holdings Ltd · CIK 0001724811 · 10% owner

Tafur Daniel · CIK 0001724558 · 10% owner

EQC Private Markets II SAC Fund Ltd-EQC Biotech Sely III Fund · CIK 0001724539 · 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

F1 · kind: EQC Private Markets SAC Fund II Ltd-EQC Biotech Sely S Fund ("Sely S") distributed 1,521,863 shares to its partners on a pro rata basis, for no consideration.

F2 · balance_after: As a partner of Sely S, Fabio Lopez, received 19,524 of the shares distributed by Sely S.

SEC source: 0001209191-18-037550 · doc4.xml · derivative · entry 1

Lopez Fabio · CIK 0001724449 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 shares

Expires 2028-06-11

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) June 12, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001209191-18-037554 · doc4.xml · derivative · entry 1

Varian John · CIK 0001416176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 shares

Expires 2028-06-11

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) June 12, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001209191-18-037553 · doc4.xml · derivative · entry 1

VAN NOSTRAND ROBERT L · CIK 0001225198 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 shares

Expires 2028-06-11

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) June 12, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001209191-18-037555 · doc4.xml · derivative · entry 1

SCHEINBERG DAVID A · CIK 0001250316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 shares

Expires 2028-06-11

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) June 12, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001209191-18-037551 · doc4.xml · derivative · entry 1

Wasman Jane · CIK 0001352455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 shares

Expires 2028-06-11

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) June 12, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001209191-18-037552 · doc4.xml · derivative · entry 1

Ghiglieri Stephen F · CIK 0001394548 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 shares

Expires 2028-06-11

F1 · derivative.exercise_date: The shares subject to the option will fully vest on the earlier of (x) June 12, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001209191-18-025967 · doc4.xml · derivative · entry 1

Mack Gene · CIK 0001737979 · CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-04-19

F1 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the April 20, 2018 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-020186 · doc4.xml · derivative · entry 1

WOOD BARBARA A · CIK 0001220051 · EVP, Gen. Counsel, Corp. Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-03-13

F1 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 14, 2018 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-020017 · doc4.xml · derivative · entry 1

Lopez Fabio · CIK 0001724449 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 11,000 shares

Expires 2028-03-12

F1 · derivative.exercise_date: The option shares will vest and became exercisable in equal monthly installments for thirty-six (36) months following the March 13, 2018 grant date, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-020014 · doc4.xml · derivative · entry 1

Sarlis Nicholas J. · CIK 0001724151 · Chief Medical Officer and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-03-12

F1 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 13, 2018 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-020020 · doc4.xml · derivative · entry 1

Varian John · CIK 0001416176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 11,000 shares

Expires 2028-03-12

F1 · derivative.exercise_date: The option shares will vest and became exercisable in equal monthly installments for thirty-six (36) months following the March 13, 2018 grant date, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-020019 · doc4.xml · derivative · entry 1

VAN NOSTRAND ROBERT L · CIK 0001225198 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 11,000 shares

Expires 2028-03-12

F1 · derivative.exercise_date: The option shares will vest and became exercisable in equal monthly installments for thirty-six (36) months following the March 13, 2018 grant date, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-020018 · doc4.xml · derivative · entry 1

SCHEINBERG DAVID A · CIK 0001250316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 11,000 shares

Expires 2028-03-12

F1 · derivative.exercise_date: The option shares will vest and became exercisable in equal monthly installments for thirty-six (36) months following the March 13, 2018 grant date, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-020021 · doc4.xml · derivative · entry 1

Wasman Jane · CIK 0001352455 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 11,000 shares

Expires 2028-03-12

F1 · derivative.exercise_date: The option shares will vest and became exercisable in equal monthly installments for thirty-six (36) months following the March 13, 2018 grant date, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-020015 · doc4.xml · derivative · entry 1

Torre Gregory M · CIK 0001354865 · CRO and SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-03-12

F1 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 13, 2018 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-020016 · doc4.xml · derivative · entry 1

Ghiglieri Stephen F · CIK 0001394548 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

Underlying: Common Stock · 11,000 shares

Expires 2028-03-12

F1 · derivative.exercise_date: The option shares will vest and became exercisable in equal monthly installments for thirty-six (36) months following the March 13, 2018 grant date, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-020013 · doc4.xml · derivative · entry 1

Stergiou Angelos M. · CIK 0001724253 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock · 95,000 shares

Expires 2028-03-12

F1 · derivative.exercise_date: One-quarter (1/4) of the option shares will vest and became exercisable one year from the March 13, 2018 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-17-067657 · doc4.xml · derivative · entry 8

Lopez Fabio · CIK 0001724449 · Director · 10% owner

EQC Private Markets SAC Fund II Ltd-EQC Biotech Sely S Fund · CIK 0001724585 · 10% owner

EQC Private Markets SAC Fund Ltd-EQC Biotech Sely I Fund · CIK 0001724529 · 10% owner

EQC Private Markets SAC Fund Ltd-EQC Biotech Sely II Fund` · CIK 0001724530 · 10% owner

EQC Private Markets II SAC Fund Ltd-EQC Biotech Sely III Fund · CIK 0001724539 · 10% owner

Equilibria Capital Management Ltd · CIK 0001724701 · 10% owner

Castilian Ltd. · CIK 0001724523 · 10% owner

Varibobi Financial Holdings Ltd · CIK 0001724811 · 10% owner

Tafur Daniel · CIK 0001724558 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Company

Disclosed balance after: 316,163

Underlying: Common Stock · 316,163 shares

Expires 2022-12-29

F9 · derivative.exercise_price: The exercise price per share for the warrant is equal to 105% of the volume weighted average price of the Issuer's common stock for the 30 calendar days following the closing date of the Merger.

F10 · derivative.exercise_date: Immediately exercisable.

F4 · ownership.nature: Shares held directly by EQC Private Markets SAC Fund Ltd EQC Biotech Sely I Fund, ("Sely I"), a Bermuda mutual fund company. Equilibria manages Sely I and may be deemed to beneficially hold shares held by such fund.