SNDX

SEC source: 0001562180-19-000855 · primarydocument.xml · derivative · entry 1

Morrison Briggs · CIK 0001654430 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,000

Underlying: Common Stock · 354,000 shares

Expires 2029-02-06

F1 · derivative.exercise_date: The securities awarded on 02/06/2019 were in the form of stock options issued pursuant to the Syndax Pharmaceuticals, Inc. 2015 Omnibus Incentive Plan. Options to purchase 177,000 shares of common stock shall vest in 48 successive equal monthly installments measured from 02/06/2019. Options to purchase 177,000 shares of common stock shall vest periodically upon the Issuer achieving certain milestones.

SEC source: 0001562180-19-000853 · primarydocument.xml · derivative · entry 2

Meyers Michael L. · CIK 0001664204 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,325

Underlying: Common Stock · 104,325 shares

Expires 2029-02-06

F2 · derivative.exercise_date: The securities awarded on 02/06/2019 were in the form of stock options issued pursuant to the Syndax Pharmaceuticals, Inc. 2015 Omnibus Incentive Plan. Options to purchase 50,825 shares of common stock shall vest in 48 successive equal monthly installments measured from 02/06/2019. Options to purchase 53,500 shares of common stock shall vest periodically upon the Issuer achieving certain milestones.

SEC source: 0001562180-19-000852 · primarydocument.xml · derivative · entry 2

Metzger Michael A · CIK 0001507220 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,000

Underlying: Common Stock · 240,000 shares

Expires 2029-02-06

F2 · derivative.exercise_date: The securities awarded on 02/06/2019 were in the form of stock options issued pursuant to the Syndax Pharmaceuticals, Inc. 2015 Omnibus Incentive Plan. Options to purchase 120,000 shares of common stock shall vest in 48 successive equal monthly installments measured from 02/06/2019. Options to purchase 120,000 shares of common stock shall vest periodically upon the Issuer achieving certain milestones.

SEC source: 0001562180-19-000854 · primarydocument.xml · nonDerivative · entry 1

Shea Richard P · CIK 0001294354 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,215

F1 · kind: The Reporting Person is voluntarily filing this Form 4 to report the acquisition of 2,521 shares by the Reporting Person on 01/31/2019 pursuant to the Issuer's Employee Stock Purchase Plan.

F2 · balance_after: Includes 1,694 shares cumulatively acquired pursuant to the Issuer's Employee Stock Purchase Plan on 01/31/2018 and 07/31/2018, respectively.

SEC source: 0001562180-19-000853 · primarydocument.xml · nonDerivative · entry 1

Meyers Michael L. · CIK 0001664204 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,118

F1 · kind: The Reporting Person is voluntarily filing this Form 4 to report the acquisition of 3,720 shares by the Reporting Person on 01/31/2019 pursuant to the Issuer's Employee Stock Purchase Plan.

SEC source: 0001562180-19-000852 · primarydocument.xml · nonDerivative · entry 1

Metzger Michael A · CIK 0001507220 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,659

F1 · kind: The Reporting Person is voluntarily filing this Form 4 to report the acquisition of 2,659 shares by the Reporting Person on 01/31/2019 pursuant to the Issuer's Employee Stock Purchase Plan.

SEC source: 0001562180-18-004443 · primarydocument.xml · nonDerivative · entry 1

Meyers Michael L. · CIK 0001664204 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,398

F1 · balance_after: Includes 2,198 shares acquired under the Syndax Pharmaceuticals, Inc. 2015 Employee Stock Purchase Plan on 7/31/2018.

SEC source: 0001562180-18-004050 · primarydocument.xml · derivative · entry 1

Jarrett Jennifer · CIK 0001671311 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2028-09-25

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0001562180-18-004049 · primarydocument.xml · derivative · entry 1

Meury William · CIK 0001536778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2028-09-25

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0000921895-18-001976 · form407422010_06202018.xml · derivative · entry 6

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

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

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · 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 INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,746

Underlying: Common Stock, $0.0001 par value per share · 188,746 shares

Expires not disclosed

F5 · derivative.exercise_price: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · kind: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · price: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · derivative.exercise_date: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · derivative.expiration_date: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F4 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.

SEC source: 0000921895-18-001976 · form407422010_06202018.xml · derivative · entry 5

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

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

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · 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 INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 705,863

Underlying: Common Stock, $0.0001 par value per share · 705,863 shares

Expires not disclosed

F5 · derivative.exercise_price: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · kind: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · price: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · derivative.exercise_date: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · derivative.expiration_date: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F3 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.

SEC source: 0000921895-18-001976 · form407422010_06202018.xml · derivative · entry 4

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

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

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · 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 INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,105,391

Underlying: Common Stock, $0.0001 par value per share · 1,105,391 shares

Expires not disclosed

F5 · derivative.exercise_price: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · kind: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · price: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · derivative.exercise_date: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · derivative.expiration_date: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F2 · ownership.direct: Securities owned directly by BVF. As the general partner 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: 0000921895-18-001976 · form407422010_06202018.xml · nonDerivative · entry 3

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

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

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · 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 INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,038

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 Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owned more than 10% of the Issuer's outstanding shares of 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.

F5 · kind: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · price: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F4 · ownership.direct: Securities owned directly by Trading Fund OS. As the general partner of Trading Fund OS, Partners OS may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment manager of Trading Fund OS and the sole member of Partners OS, Partners may be deemed to beneficially own the securities owned directly by Trading Fund OS. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by Trading Fund OS. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by Trading Fund OS.

SEC source: 0000921895-18-001976 · form407422010_06202018.xml · nonDerivative · entry 2

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

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

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · 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 INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,021

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 Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owned more than 10% of the Issuer's outstanding shares of 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.

F5 · kind: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · price: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F3 · ownership.direct: Securities owned directly by BVF2. As the general partner of BVF2, Partners may be deemed to beneficially own the securities owned directly by BVF2. As the investment adviser and general partner of Partners, BVF Inc. may be deemed to beneficially own the securities owned directly by BVF2. As a director and officer of BVF Inc., Mr. Lampert may be deemed to beneficially own the securities owned directly by BVF2.

SEC source: 0000921895-18-001976 · form407422010_06202018.xml · nonDerivative · entry 1

BVF PARTNERS L P/IL · CIK 0001055947 · 10% owner

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

BIOTECHNOLOGY VALUE FUND II LP · CIK 0001102444 · 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 INC/IL · CIK 0001056807 · 10% owner

LAMPERT MARK N · CIK 0001233840 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 498,025

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 Partners L.P. ("Partners"), BVF Inc. and Mark N. Lampert (collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group that collectively owned more than 10% of the Issuer's outstanding shares of 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.

F5 · kind: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F5 · price: Pursuant to an agreement between the Issuer and the Reporting Persons, the Reporting Persons agreed to exchange in the aggregate 2,000,000 shares of the Company's Common Stock for pre-funded warrants (the "Exchange Warrants") to purchase an aggregate of 2,000,000 shares of Common Stock, subject to adjustment in the event of stock splits, recapitalizations and other similar events affecting Common Stock, with an exercise price of $0.0001 per share. The Exchange Warrants will expire twenty years from the date of issuance. The Exchange Warrants are exercisable at any time prior to expiration except that the Exchange Warrants cannot be exercised by the Reporting Persons if, after giving effect thereto, the Reporting Persons would beneficially own, as determined in accordance with Section 13(d) of the Securities Exchange Act of 1934, more than 9.99% of Common Stock, subject to certain exceptions.

F2 · ownership.direct: Securities owned directly by BVF. As the general partner 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: 0001562180-18-002685 · primarydocument.xml · derivative · entry 1

Chen Henry · CIK 0001667481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2028-05-23

SEC source: 0001562180-18-002683 · primarydocument.xml · derivative · entry 1

EVNIN LUKE · CIK 0001134657 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2028-05-23

SEC source: 0001562180-18-002682 · primarydocument.xml · derivative · entry 1

Katkin Keith · CIK 0001314596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2028-05-23

SEC source: 0001562180-18-002680 · primarydocument.xml · derivative · entry 1

Podlesak Dennis · CIK 0001314595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2028-05-23

SEC source: 0001562180-18-002681 · primarydocument.xml · derivative · entry 1

Legault Pierre · CIK 0001391045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2028-05-23

SEC source: 0001562180-18-002684 · primarydocument.xml · derivative · entry 1

Egros Fabrice · CIK 0001597085 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2028-05-23

SEC source: 0001562180-18-001800 · primarydocument.xml · derivative · entry 3

Ordentlich Peter · CIK 0001594274 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires 2023-05-09

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: This option is fully vested.

SEC source: 0001562180-18-001800 · primarydocument.xml · nonDerivative · entry 2

Ordentlich Peter · CIK 0001594274 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person.

SEC source: 0001562180-18-001800 · primarydocument.xml · nonDerivative · entry 1

Ordentlich Peter · CIK 0001594274 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

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: 0001562180-18-001429 · primarydocument.xml · derivative · entry 1

Shea Richard P · CIK 0001294354 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2028-03-01

F1 · derivative.exercise_date: The stock option will vest in 48 successive equal monthly installments measured from February 8, 2018.

SEC source: 0001562180-18-001428 · primarydocument.xml · derivative · entry 1

Ordentlich Peter · CIK 0001594274 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-03-01

F1 · derivative.exercise_date: The stock option will vest in 48 successive equal monthly installments measured from February 8, 2018.

SEC source: 0001562180-18-001427 · primarydocument.xml · derivative · entry 1

Morrison Briggs · CIK 0001654430 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2028-03-01

F1 · derivative.exercise_date: The stock option will vest in 48 successive equal monthly installments measured from February 8, 2018.

SEC source: 0001562180-18-001426 · primarydocument.xml · derivative · entry 1

Meyers Michael L. · CIK 0001664204 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2028-03-01

F1 · derivative.exercise_date: The stock option will vest in 48 successive equal monthly installments measured from February 8, 2018.

SEC source: 0001562180-18-001425 · primarydocument.xml · derivative · entry 1

Metzger Michael A · CIK 0001507220 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2028-03-01

F1 · derivative.exercise_date: The stock option will vest in 48 successive equal monthly installments measured from February 8, 2018.

SEC source: 0001562180-18-000718 · primarydocument.xml · derivative · entry 1

Chen Henry · CIK 0001667481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-02-08

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0001562180-18-000720 · primarydocument.xml · derivative · entry 1

EVNIN LUKE · CIK 0001134657 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-02-08

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0001562180-18-000723 · primarydocument.xml · derivative · entry 1

Podlesak Dennis · CIK 0001314595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-02-08

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0001562180-18-000721 · primarydocument.xml · derivative · entry 1

Katkin Keith · CIK 0001314596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-02-08

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0001562180-18-000722 · primarydocument.xml · derivative · entry 1

Legault Pierre · CIK 0001391045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-02-08

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0001562180-18-000719 · primarydocument.xml · derivative · entry 1

Egros Fabrice · CIK 0001597085 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-02-08

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0001562180-17-002004 · primarydocument.xml · derivative · entry 2

Chen Henry · CIK 0001667481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-05-17

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0001562180-17-002004 · primarydocument.xml · derivative · entry 1

Chen Henry · CIK 0001667481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-05-17

SEC source: 0001562180-17-002006 · primarydocument.xml · derivative · entry 2

EVNIN LUKE · CIK 0001134657 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-05-17

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0001562180-17-002006 · primarydocument.xml · derivative · entry 1

EVNIN LUKE · CIK 0001134657 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-05-17

SEC source: 0001562180-17-002007 · primarydocument.xml · derivative · entry 1

Katkin Keith · CIK 0001314596 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-05-17

SEC source: 0001562180-17-002009 · primarydocument.xml · derivative · entry 2

Podlesak Dennis · CIK 0001314595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-05-17

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0001562180-17-002009 · primarydocument.xml · derivative · entry 1

Podlesak Dennis · CIK 0001314595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-05-17

SEC source: 0001562180-17-002008 · primarydocument.xml · derivative · entry 2

Legault Pierre · CIK 0001391045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-05-17

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0001562180-17-002008 · primarydocument.xml · derivative · entry 1

Legault Pierre · CIK 0001391045 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-05-17

SEC source: 0001562180-17-002011 · primarydocument.xml · derivative · entry 3

Ordentlich Peter · CIK 0001594274 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 732 shares

Expires 2023-05-09

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 is fully vested.

SEC source: 0001562180-17-002011 · primarydocument.xml · nonDerivative · entry 2

Ordentlich Peter · CIK 0001594274 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan adopted by the Reporting Person.

SEC source: 0001562180-17-002011 · primarydocument.xml · nonDerivative · entry 1

Ordentlich Peter · CIK 0001594274 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

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: 0001562180-17-002010 · primarydocument.xml · derivative · entry 1

Sledge George W. Jr. · CIK 0001601351 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-05-17

F1 · derivative.exercise_date: 1/48th of the shares subject to the option shall vest monthly over a four-year period.

SEC source: 0001562180-17-002005 · primarydocument.xml · derivative · entry 2

Egros Fabrice · CIK 0001597085 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-05-17

F1 · derivative.exercise_date: 1/36th of the shares subject to the option shall vest monthly over a three-year period.

SEC source: 0001562180-17-002005 · primarydocument.xml · derivative · entry 1

Egros Fabrice · CIK 0001597085 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-05-17