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Nasdaq · USD

STRO

SUTRO BIOPHARMA, INC.

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5797
SEC CIK
0001382101
Parsed reports
335

Last 12 months

Inside the activity.

0 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202600
Jul 202600
Aug 202600
Sep 202600
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Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 01, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 1,931 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 9

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P.

Disclosed balance after: 8,817

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.

F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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October 01, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 6,128 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 8

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P.

Disclosed balance after: 6,886

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

F3 · price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 758 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 7

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Strategic Partners, L.P.

Disclosed balance after: 758

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 · price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 202,115 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 6

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P.

Disclosed balance after: 923,022

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.

F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 641,440 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 5

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P.

Disclosed balance after: 720,907

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

F3 · price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 79,467 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 4

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III (LP1), L.P.

Disclosed balance after: 79,467

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 · price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 2,399 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 3

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P.

Disclosed balance after: 10,952

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.

F4 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 7,610 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 2

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P.

Disclosed balance after: 8,553

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

F3 · price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 943 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · nonDerivative · entry 1

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P.

Disclosed balance after: 943

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 · price: Each share of the issuer's Series A Preferred Stock automatically converted into 0.0433 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its initial public offering ("IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:20 UTC
NEWELL WILLIAM JDirector · CEO & President
ConversionSeries B Preferred Stock · Derivative 50,000 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-052841 · doc4.xml · derivative · entry 7

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Newell Family Revocable Trust DTD 08/14/2008

Disclosed balance after: 0

Underlying: Common Stock · 2,890 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F3 · derivative.exercise_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F3 · derivative.expiration_date: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F4 · ownership.nature: These securities are held of record by the reporting person as trustee of the Newell Family Revocable Trust DTD 08/14/2008.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:20 UTC
NEWELL WILLIAM JDirector · CEO & President
ConversionSeries D Preferred Stock · Derivative 192,267 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-052841 · doc4.xml · derivative · entry 6

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,787 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:20 UTC
NEWELL WILLIAM JDirector · CEO & President
ConversionSeries C Preferred Stock · Derivative 55,657 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-052841 · doc4.xml · derivative · entry 5

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,059 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F1 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F1 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:20 UTC
NEWELL WILLIAM JDirector · CEO & President
ConversionCommon Stock 2,890 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052841 · doc4.xml · nonDerivative · entry 3

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Newell Family Revocable Trust DTD 08/14/2008

Disclosed balance after: 21,154

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

F3 · price: Each share of the issuer's Series B Preferred Stock automatically converted into 0.0578 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F4 · ownership.nature: These securities are held of record by the reporting person as trustee of the Newell Family Revocable Trust DTD 08/14/2008.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:20 UTC
NEWELL WILLIAM JDirector · CEO & President
ConversionCommon Stock 7,787 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052841 · doc4.xml · nonDerivative · entry 2

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,170

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 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:20 UTC
NEWELL WILLIAM JDirector · CEO & President
ConversionCommon Stock 2,059 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052841 · doc4.xml · nonDerivative · entry 1

NEWELL WILLIAM J · CIK 0001309660 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,383

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

F1 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:16 UTC
Hallam TrevorChief Science Officer
ConversionSeries D Preferred Stock · Derivative 50,033 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-052837 · doc4.xml · derivative · entry 2

Hallam Trevor · CIK 0001326592 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,026 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended, and had no expiration date.

F1 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended, and had no expiration date.

F1 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended, and had no expiration date.

Read SEC document
October 01, 2018 Filed Oct 1, 2018 17:16 UTC
Hallam TrevorChief Science Officer
ConversionCommon Stock 2,026 Not disclosed Not disclosed
Disclosure

SEC source: 0001209191-18-052837 · doc4.xml · nonDerivative · entry 1

Hallam Trevor · CIK 0001326592 · Chief Science Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,800

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 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended, and had no expiration date.

Read SEC document
October 01, 2018 Filed Oct 2, 2018 16:10 UTC ConversionSeries E Redeemable Convertible Preferred Stock · Derivative 18,726,075 $0.00 $0.00
Disclosure

SEC source: 0001415889-18-001458 · form4-10022018_011020.xml · derivative · entry 5

CELGENE CORP /DE/ · CIK 0000816284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 514,967 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Upon closing of the Issuer's initial public offering, each share of Series E redeemable convertible preferred stock automatically converted into 0.0275 share of Common Stock without payment of further consideration. The shares had no expiration date.

F4 · derivative.exercise_date: Upon closing of the Issuer's initial public offering, each share of Series E redeemable convertible preferred stock automatically converted into 0.0275 share of Common Stock without payment of further consideration. The shares had no expiration date.

F4 · derivative.expiration_date: Upon closing of the Issuer's initial public offering, each share of Series E redeemable convertible preferred stock automatically converted into 0.0275 share of Common Stock without payment of further consideration. The shares had no expiration date.

Read SEC document
October 01, 2018 Filed Oct 2, 2018 16:10 UTC ConversionSeries D-2 Redeemable Convertible Preferred Stock · Derivative 18,097,331 $0.00 $0.00
Disclosure

SEC source: 0001415889-18-001458 · form4-10022018_011020.xml · derivative · entry 4

CELGENE CORP /DE/ · CIK 0000816284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 758,278 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Upon closing of the Issuer's initial public offering, each share of Series D-2 redeemable convertible preferred stock automatically converted into 0.0419 share of Common Stock without payment of further consideration. The shares had no expiration date.

F3 · derivative.exercise_date: Upon closing of the Issuer's initial public offering, each share of Series D-2 redeemable convertible preferred stock automatically converted into 0.0419 share of Common Stock without payment of further consideration. The shares had no expiration date.

F3 · derivative.expiration_date: Upon closing of the Issuer's initial public offering, each share of Series D-2 redeemable convertible preferred stock automatically converted into 0.0419 share of Common Stock without payment of further consideration. The shares had no expiration date.

Read SEC document
October 01, 2018 Filed Oct 2, 2018 16:10 UTC ConversionSeries D Redeemable Convertible Preferred Stock · Derivative 2,845,114 $0.00 $0.00
Disclosure

SEC source: 0001415889-18-001458 · form4-10022018_011020.xml · derivative · entry 3

CELGENE CORP /DE/ · CIK 0000816284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 115,227 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Upon closing of the Issuer's initial public offering, each share of Series D redeemable convertible preferred stock automatically converted into 0.0405 share of Common Stock without payment of further consideration. The shares had no expiration date.

F2 · derivative.exercise_date: Upon closing of the Issuer's initial public offering, each share of Series D redeemable convertible preferred stock automatically converted into 0.0405 share of Common Stock without payment of further consideration. The shares had no expiration date.

F2 · derivative.expiration_date: Upon closing of the Issuer's initial public offering, each share of Series D redeemable convertible preferred stock automatically converted into 0.0405 share of Common Stock without payment of further consideration. The shares had no expiration date.

Read SEC document
October 01, 2018 Filed Oct 2, 2018 16:10 UTC ConversionSeries C-2 Redeemable Convertible Preferred Stock · Derivative 8,338,892 $0.00 $0.00
Disclosure

SEC source: 0001415889-18-001458 · form4-10022018_011020.xml · derivative · entry 2

CELGENE CORP /DE/ · CIK 0000816284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 337,725 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Upon closing of the Issuer's initial public offering, each share of Series C-2 redeemable convertible preferred stock automatically converted into 0.0405 share of Common Stock without payment of further consideration. The shares had no expiration date.

F1 · derivative.exercise_date: Upon closing of the Issuer's initial public offering, each share of Series C-2 redeemable convertible preferred stock automatically converted into 0.0405 share of Common Stock without payment of further consideration. The shares had no expiration date.

F1 · derivative.expiration_date: Upon closing of the Issuer's initial public offering, each share of Series C-2 redeemable convertible preferred stock automatically converted into 0.0405 share of Common Stock without payment of further consideration. The shares had no expiration date.

Read SEC document
October 01, 2018 Filed Oct 2, 2018 16:10 UTC ConversionCommon Stock 1,726,197 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-18-001458 · form4-10022018_011020.xml · nonDerivative · entry 1

CELGENE CORP /DE/ · CIK 0000816284 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,726,197

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 · price: Upon closing of the Issuer's initial public offering, each share of Series C-2 redeemable convertible preferred stock automatically converted into 0.0405 share of Common Stock without payment of further consideration. The shares had no expiration date.

F2 · price: Upon closing of the Issuer's initial public offering, each share of Series D redeemable convertible preferred stock automatically converted into 0.0405 share of Common Stock without payment of further consideration. The shares had no expiration date.

F3 · price: Upon closing of the Issuer's initial public offering, each share of Series D-2 redeemable convertible preferred stock automatically converted into 0.0419 share of Common Stock without payment of further consideration. The shares had no expiration date.

F4 · price: Upon closing of the Issuer's initial public offering, each share of Series E redeemable convertible preferred stock automatically converted into 0.0275 share of Common Stock without payment of further consideration. The shares had no expiration date.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 12:36 UTC ConversionSeries E Preferred Stock · Derivative 18,698,578 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-060241 · a4.xml · derivative · entry 6

Skyline Venture Partners V LP · CIK 0001419187 · 10% owner

Skyline Venture Management V, LLC · CIK 0001434887 · 10% owner

KANEKO YASUNORI · CIK 0001277503 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 514,211 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F4 · derivative.exercise_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F4 · derivative.expiration_date: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. John G. Freund and Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. and disclaims beneficial ownership over such securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Mr. Freund is a director of the Issuer and, accordingly, files separate Section 16 reports.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 12:36 UTC ConversionSeries D Preferred Stock · Derivative 12,846,023 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-060241 · a4.xml · derivative · entry 5

Skyline Venture Partners V LP · CIK 0001419187 · 10% owner

Skyline Venture Management V, LLC · CIK 0001434887 · 10% owner

KANEKO YASUNORI · CIK 0001277503 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 520,264 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F3 · derivative.exercise_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F3 · derivative.expiration_date: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. John G. Freund and Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. and disclaims beneficial ownership over such securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Mr. Freund is a director of the Issuer and, accordingly, files separate Section 16 reports.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 12:36 UTC ConversionSeries C Preferred Stock · Derivative 25,015,635 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-060241 · a4.xml · derivative · entry 4

Skyline Venture Partners V LP · CIK 0001419187 · 10% owner

Skyline Venture Management V, LLC · CIK 0001434887 · 10% owner

KANEKO YASUNORI · CIK 0001277503 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 925,578 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F1 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F1 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. John G. Freund and Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. and disclaims beneficial ownership over such securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Mr. Freund is a director of the Issuer and, accordingly, files separate Section 16 reports.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 12:36 UTC ConversionCommon Stock 514,211 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-060241 · a4.xml · nonDerivative · entry 3

Skyline Venture Partners V LP · CIK 0001419187 · 10% owner

Skyline Venture Management V, LLC · CIK 0001434887 · 10% owner

KANEKO YASUNORI · CIK 0001277503 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 1,960,053

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.

F4 · price: Each share of the issuer's Series E Preferred Stock automatically converted into 0.0275 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. John G. Freund and Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. and disclaims beneficial ownership over such securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Mr. Freund is a director of the Issuer and, accordingly, files separate Section 16 reports.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 12:36 UTC ConversionCommon Stock 520,264 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-060241 · a4.xml · nonDerivative · entry 2

Skyline Venture Partners V LP · CIK 0001419187 · 10% owner

Skyline Venture Management V, LLC · CIK 0001434887 · 10% owner

KANEKO YASUNORI · CIK 0001277503 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 1,445,842

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

F3 · price: Each share of the issuer's Series D Preferred Stock automatically converted into 0.0405 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its IPO pursuant to the Registration Statement, and had no expiration date.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. John G. Freund and Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. and disclaims beneficial ownership over such securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Mr. Freund is a director of the Issuer and, accordingly, files separate Section 16 reports.

Read SEC document
October 01, 2018 Filed Oct 3, 2018 12:36 UTC ConversionCommon Stock 925,578 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-060241 · a4.xml · nonDerivative · entry 1

Skyline Venture Partners V LP · CIK 0001419187 · 10% owner

Skyline Venture Management V, LLC · CIK 0001434887 · 10% owner

KANEKO YASUNORI · CIK 0001277503 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 925,578

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 · price: Each share of the issuer's Series C Preferred Stock automatically converted into 0.0370 share of the issuer's Common Stock on October 1, 2018 in connection with the closing of the issuer's sale of its Common Stock in its firm commitment initial public offering (the "IPO") pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.

F2 · ownership.nature: These securities are held of record by Skyline Venture Partners V, L.P. ("Skyline L.P."). Skyline Venture Management V, LLC ("Skyline Management") is the general partner of Skyline L.P. John G. Freund and Yasunori Kaneko, are the managing directors of Skyline Management, and each may be deemed to share voting and investment power over the securities held by Skyline L.P. and disclaims beneficial ownership over such securities except to the extent of their pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Mr. Freund is a director of the Issuer and, accordingly, files separate Section 16 reports.

Read SEC document
October 01, 2018 Filed Oct 2, 2018 18:31 UTC ConversionSeries E Redeemable Convertible Preferred Stock · Derivative 74,794,315 $0.00 $0.00
Disclosure

SEC source: 0001104659-18-059933 · a4.xml · derivative · entry 3

Merck & Co., Inc. · CIK 0000310158 · 10% owner

Merck Sharp & Dohme Corp. · CIK 0000942443 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,056,843 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series E redeemable convertible preferred stock (the "Series E Preferred") automatically converted into 0.0275 shares of the Issuer's common stock upon the closing of the Issuer's sale of its common stock in its firm commitment underwritten initial public offering pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended. The Series E Preferred had no expiration date.

F1 · derivative.exercise_date: Each share of Series E redeemable convertible preferred stock (the "Series E Preferred") automatically converted into 0.0275 shares of the Issuer's common stock upon the closing of the Issuer's sale of its common stock in its firm commitment underwritten initial public offering pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended. The Series E Preferred had no expiration date.

F1 · derivative.expiration_date: Each share of Series E redeemable convertible preferred stock (the "Series E Preferred") automatically converted into 0.0275 shares of the Issuer's common stock upon the closing of the Issuer's sale of its common stock in its firm commitment underwritten initial public offering pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended. The Series E Preferred had no expiration date.

F2 · ownership.nature: These securities are owned directly by Merck Sharp & Dohme Corp., which is a direct, wholly owned subsidiary of Merck & Co., Inc. ("Merck"). Merck is an indirect beneficial owner of the reported securities.

Read SEC document
October 01, 2018 Filed Oct 2, 2018 18:31 UTC PurchaseCommon Stock 666,666 $15.00 $9,999,990.00
Disclosure

SEC source: 0001104659-18-059933 · a4.xml · nonDerivative · entry 2

Merck & Co., Inc. · CIK 0000310158 · 10% owner

Merck Sharp & Dohme Corp. · CIK 0000942443 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,723,509

F2 · ownership.nature: These securities are owned directly by Merck Sharp & Dohme Corp., which is a direct, wholly owned subsidiary of Merck & Co., Inc. ("Merck"). Merck is an indirect beneficial owner of the reported securities.

Read SEC document
October 01, 2018 Filed Oct 2, 2018 18:31 UTC ConversionCommon Stock 2,056,843 Not disclosed Not disclosed
Disclosure

SEC source: 0001104659-18-059933 · a4.xml · nonDerivative · entry 1

Merck & Co., Inc. · CIK 0000310158 · 10% owner

Merck Sharp & Dohme Corp. · CIK 0000942443 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,056,843

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 · price: Each share of Series E redeemable convertible preferred stock (the "Series E Preferred") automatically converted into 0.0275 shares of the Issuer's common stock upon the closing of the Issuer's sale of its common stock in its firm commitment underwritten initial public offering pursuant to a registration statement on Form S-1 (File No. 333-227103) under the Securities Act of 1933, as amended. The Series E Preferred had no expiration date.

F2 · ownership.nature: These securities are owned directly by Merck Sharp & Dohme Corp., which is a direct, wholly owned subsidiary of Merck & Co., Inc. ("Merck"). Merck is an indirect beneficial owner of the reported securities.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:28 UTC
SVLSF V, LLC10% owner
ILSF III, LLC10% owner
Exercise / conversionSeries C Preferred Stock · Derivative 4,978 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 21

SVLSF V, LLC · CIK 0001644160 · 10% owner

ILSF III, LLC · CIK 0001630791 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner

SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner

SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner

SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Strategic Partners L.P.

Disclosed balance after: 52,183

Underlying: Common Stock · 184 shares

Expires not disclosed

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

F10 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F10 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F10 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:28 UTC
SVLSF V, LLC10% owner
ILSF III, LLC10% owner
Exercise / conversionSeries C Preferred Stock Warrant (right to buy) · Derivative 4,978 $0.00 Strike: $0.48 $0.00
Disclosure

SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 20

SVLSF V, LLC · CIK 0001644160 · 10% owner

ILSF III, LLC · CIK 0001630791 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner

SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner

SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner

SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Strategic Partners L.P.

Disclosed balance after: 4,315

Underlying: Series C Preferred Stock · 4,978 shares

Expires not disclosed

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

F9 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F9 · derivative.expiration_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:28 UTC
SVLSF V, LLC10% owner
ILSF III, LLC10% owner
Exercise / conversionSeries C Preferred Stock · Derivative 521,159 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 19

SVLSF V, LLC · CIK 0001644160 · 10% owner

ILSF III, LLC · CIK 0001630791 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner

SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner

SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner

SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III (LPI) L.P.

Disclosed balance after: 5,462,550

Underlying: Common Stock · 19,282 shares

Expires not disclosed

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

F10 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F10 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F10 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:28 UTC
SVLSF V, LLC10% owner
ILSF III, LLC10% owner
Exercise / conversionSeries C Preferred Stock Warrant (right to buy) · Derivative 521,159 $0.00 Strike: $0.48 $0.00
Disclosure

SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 18

SVLSF V, LLC · CIK 0001644160 · 10% owner

ILSF III, LLC · CIK 0001630791 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner

SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner

SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner

SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III (LPI) L.P.

Disclosed balance after: 451,869

Underlying: Series C Preferred Stock · 521,159 shares

Expires not disclosed

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

F9 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F9 · derivative.expiration_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:28 UTC
SVLSF V, LLC10% owner
ILSF III, LLC10% owner
Exercise / conversionSeries C Preferred Stock · Derivative 6,183 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 17

SVLSF V, LLC · CIK 0001644160 · 10% owner

ILSF III, LLC · CIK 0001630791 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner

SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner

SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner

SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P.

Disclosed balance after: 64,815

Underlying: Common Stock · 228 shares

Expires not disclosed

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

F10 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F10 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F10 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:28 UTC
SVLSF V, LLC10% owner
ILSF III, LLC10% owner
Exercise / conversionSeries C Preferred Stock Warrant (right to buy) · Derivative 6,183 $0.00 Strike: $0.48 $0.00
Disclosure

SEC source: 0001209191-18-052851 · doc4.xml · derivative · entry 16

SVLSF V, LLC · CIK 0001644160 · 10% owner

ILSF III, LLC · CIK 0001630791 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III (GP), L.P. · CIK 0001630790 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III STRATEGIC PARTNERS, L.P. · CIK 0001233226 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III CO-INVESTMENT, L.P. · CIK 0001233315 · 10% owner

INTERNATIONAL LIFE SCIENCES FUND III (LP1), L.P. · CIK 0001172861 · 10% owner

SV Life Sciences Fund V (GP), LP · CIK 0001644146 · 10% owner

SV LIFE SCIENCES FUND V LP · CIK 0001460732 · 10% owner

SV Life Sciences Fund V Strategic Partners, L.P. · CIK 0001482194 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P.

Disclosed balance after: 5,361

Underlying: Series C Preferred Stock · 6,183 shares

Expires not disclosed

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

F9 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F9 · derivative.expiration_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F2 · ownership.nature: International Life Sciences Fund III (GP), LP. ("Fund III GP") is the general partner of each of: (i) International Life Sciences Fund III (LP1), L.P. ("ILSF LP1"), (ii) International Life Sciences Fund III Co-Investment, L.P. ("ILSF Co-Invest") and (iii) International Life Sciences Fund III Strategic Partners, L.P. ("ILSF Strategic" and collectively, the "Fund III Entities"). ILSF III, LLC (the "ILSF General Partner") is the general partner of Fund III GP and, through an investment committee comprised of James Garvey, Kate Bingham, Eugene D. Hill, III and Michael J. Ross controls voting and investment decisions over the Issuer's shares held by the Fund III Entities by majority vote. Each of Fund III GP, ILSF General Partner, and each member of the investment committee of ILSF General Partner disclaims beneficial ownership over the Shares held by the Fund III Entities except to the extent of any pecuniary interest therein.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
Exercise / conversionSeries C Preferred Stock · Derivative 4,978 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 21

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Strategic Partners L.P.

Disclosed balance after: 52,183

Underlying: Common Stock · 184 shares

Expires not disclosed

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

F9 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F9 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F9 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
Exercise / conversionSeries C Preferred Stock Warrant (right to buy) · Derivative 4,978 $0.00 Strike: $0.48 $0.00
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 20

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Strategic Partners L.P.

Disclosed balance after: 4,315

Underlying: Series C Preferred Stock · 4,978 shares

Expires not disclosed

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

F8 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F8 · derivative.expiration_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
Exercise / conversionSeries C Preferred Stock · Derivative 521,159 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 19

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III (LPI) L.P.

Disclosed balance after: 5,462,550

Underlying: Common Stock · 19,282 shares

Expires not disclosed

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

F9 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F9 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F9 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
Exercise / conversionSeries C Preferred Stock Warrant (right to buy) · Derivative 521,159 $0.00 Strike: $0.48 $0.00
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 18

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III (LPI) L.P.

Disclosed balance after: 451,869

Underlying: Series C Preferred Stock · 521,159 shares

Expires not disclosed

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

F8 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F8 · derivative.expiration_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
Exercise / conversionSeries C Preferred Stock · Derivative 6,183 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 17

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P.

Disclosed balance after: 64,815

Underlying: Common Stock · 228 shares

Expires not disclosed

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

F9 · derivative.exercise_price: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F9 · derivative.exercise_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F9 · derivative.expiration_date: Each share of the issuer's Series C Preferred Stock will automatically convert into 0.0370 share of the issuer's Common Stock immediately upon the closing of the issuer's IPO and has no expiration date.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
September 27, 2018 Filed Oct 1, 2018 17:26 UTC
Ross Michael JayDirector · 10% owner
Exercise / conversionSeries C Preferred Stock Warrant (right to buy) · Derivative 6,183 $0.00 Strike: $0.48 $0.00
Disclosure

SEC source: 0001209191-18-052848 · doc4.xml · derivative · entry 16

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By International Life Sciences Fund III Co-Investment, L.P.

Disclosed balance after: 5,361

Underlying: Series C Preferred Stock · 6,183 shares

Expires not disclosed

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

F8 · derivative.exercise_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F8 · derivative.expiration_date: The warrant is exercisable at any time at the holder's election on a one-for one basis and automatically terminates on the completion of the issuer's initial public offering if not earlier exercised.

F2 · ownership.nature: These securities are held of record by each of International Life Sciences Fund III Co-Investment, L.P., International Life Sciences Fund III (LP1) L.P. and International Life Sciences Fund III Strategic Partners L.P., as applicable (together, the "ILSF Funds"). ILSF III, LLC ("ILSF LLC") is the general partner of International Life Sciences Fund III (GP), L.P., which is the general partner of each of the ILSF Funds. The reporting person, a member of the issuer's board of directors, is a member of ILSF LLC's investment committee, and may be deemed to share voting and investment power over the securities held by the ILSF Funds. The reporting person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
September 26, 2018 Filed Sep 27, 2018 18:07 UTC
Worsley StephenChief Business Officer
GrantStock Option (right to buy Common Stock) · Derivative 203,056 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001209191-18-052496 · doc4.xml · derivative · entry 1

Worsley Stephen · CIK 0001753062 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,056

Underlying: Common Stock · 203,056 shares

Expires 2028-09-25

F1 · derivative.exercise_date: The option vests as to 25% of the total shares on the one year anniversary of September 10, 2018 and then 2.0833% of the total shares vest monthly thereafter, with 100% of the total shares vested and exercisable on September 10, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
September 26, 2018 Filed Sep 27, 2018 17:49 UTC
Shabbir AnikChief Technical Ops. Officer
GrantRestricted Stock Unit (RSU) · Derivative 25,826 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-052477 · doc4.xml · derivative · entry 2

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,826

Underlying: Common Stock · 25,826 shares

Expires 2021-09-25

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: The RSUs vest as to 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.

Read SEC document
September 26, 2018 Filed Sep 27, 2018 17:49 UTC
Shabbir AnikChief Technical Ops. Officer
GrantStock Option (right to buy Common Stock) · Derivative 154,958 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001209191-18-052477 · doc4.xml · derivative · entry 1

Shabbir Anik · CIK 0001751728 · Chief Technical Ops. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,958

Underlying: Common Stock · 154,958 shares

Expires 2028-09-25

F1 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning on October 26, 2018, with 100% of the total shares vested and exercisable on September 26, 2022, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
September 26, 2018 Filed Sep 27, 2018 21:52 UTC
Freund John GordonDirector · 10% owner
GrantStock Option (right to buy Common Stock) · Derivative 26,033 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001209191-18-052481 · doc4.xml · derivative · entry 1

Freund John Gordon · CIK 0001296771 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,033

Underlying: Common Stock · 26,033 shares

Expires 2028-09-25

F1 · derivative.exercise_date: The option vests as to 2.778% of the total shares monthly, beginning on October 26, 2018, with 100% of the total shares vested and exercisable on September 26, 2021, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
September 26, 2018 Filed Sep 27, 2018 18:04 UTC GrantStock Option (right to buy Common Stock) · Derivative 26,033 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001209191-18-052493 · doc4.xml · derivative · entry 1

Petree Daniel H · CIK 0001294939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,033

Underlying: Common Stock · 26,033 shares

Expires 2028-09-25

F1 · derivative.exercise_date: The option vests as to 2.778% of the total shares monthly, beginning on October 26, 2018, with 100% of the total shares vested and exercisable on September 26, 2021, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
September 26, 2018 Filed Sep 27, 2018 18:00 UTC GrantStock Option (right to buy Common Stock) · Derivative 26,033 $0.00 Strike: $15.00 $0.00
Disclosure

SEC source: 0001209191-18-052487 · doc4.xml · derivative · entry 1

LAWLIS V BRYAN · CIK 0001247681 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,033

Underlying: Common Stock · 26,033 shares

Expires 2028-09-25

F1 · derivative.exercise_date: The option vests as to 2.778% of the total shares monthly, beginning on October 26, 2018, with 100% of the total shares vested and exercisable on September 26, 2021, subject to the reporting person's provision of service to the issuer on each vesting date.

Read SEC document
September 26, 2018 Filed Sep 27, 2018 17:48 UTC
ALBINI EDWARD CCFO and Secretary
GrantRestricted Stock Unit (RSU) · Derivative 21,522 $0.00 $0.00
Disclosure

SEC source: 0001209191-18-052476 · doc4.xml · derivative · entry 2

ALBINI EDWARD C · CIK 0001240014 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,522

Underlying: Common Stock · 21,522 shares

Expires 2021-09-25

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive 1 share of the issuer's Common Stock upon settlement.

F3 · derivative.exercise_date: The RSUs vest as to 1/3rd of the total shares annually beginning on September 26, 2019, subject to continued service through each vesting date.

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.