SVRA

SEC source: 0000899243-18-016286 · doc4.xml · nonDerivative · entry 1

Neville Robert N · CIK 0001703487 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 402,648

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 29, 2017.

F2 · price: The price is a weighted average sale price. The sale prices ranged from $12.00 to $12.57. The reporting person undertakes to provide Savara Inc., any security holder of Savara Inc., or the staff of the Securities and Exchange Commission, upon receipt of a request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

SEC source: 0000899243-18-016285 · doc4.xml · nonDerivative · entry 1

Lowrance David L · CIK 0001408498 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,080

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 29, 2017.

F2 · price: The price is a weighted average sale price. The sale prices ranged from $12.00 to $12.40. The reporting person undertakes to provide Savara Inc., any security holder of Savara Inc., or the staff of the Securities and Exchange Commission, upon receipt of a request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

SEC source: 0000899243-18-016282 · doc4.xml · nonDerivative · entry 1

Jouhikainen Jaakko Taneli · CIK 0001703641 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,688

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 29, 2017.

F2 · price: The price is a weighted average sale price. The sale prices ranged from $12.00 to $12.55. The reporting person undertakes to provide Savara Inc., any security holder of Savara Inc., or the staff of the Securities and Exchange Commission, upon receipt of a request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

SEC source: 0000899243-18-009018 · doc4.xml · nonDerivative · entry 1

PIKOVER YURI · CIK 0001032389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,734

F1 · price: The price is a weighted average purchase price. The purchase prices ranged from $8.98 to $9.00. The purchase prices ranged from $8.98 to $9.00. The reporting person undertakes to provide Savara Inc., any security holder of Savara Inc., or the staff of the Securities and Exchange Commission, upon receipt of a request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

SEC source: 0000899243-18-004482 · doc4.xml · nonDerivative · entry 2

Neville Robert N · CIK 0001703487 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 405,385

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 29, 2017.

F3 · price: The price reported is a weighted average sale price. The sale prices ranged from $13.00 to $13.71 per share.

SEC source: 0000899243-18-004482 · doc4.xml · nonDerivative · entry 1

Neville Robert N · CIK 0001703487 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 414,861

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 29, 2017.

F2 · price: The price reported is a weighted average sale price. The sale prices ranged from $12.21 to $12.99 per share.

SEC source: 0000899243-18-004481 · doc4.xml · nonDerivative · entry 2

Jouhikainen Jaakko Taneli · CIK 0001703641 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,326

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 29, 2017.

F3 · price: The price reported is a weighted average sale price. The sale prices ranged from $13.00 to $13.71 per share.

SEC source: 0000899243-18-004481 · doc4.xml · nonDerivative · entry 1

Jouhikainen Jaakko Taneli · CIK 0001703641 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,216

F1 · shares: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 29, 2017.

F2 · price: The price reported is a weighted average sale price. The sale prices ranged from $12.21 to $12.99 per share.

SEC source: 0000899243-18-004480 · doc4.xml · nonDerivative · entry 4

Lowrance David L · CIK 0001408498 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,755

F1 · shares: The sales reported on this Form 4 for February 15, 2018 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 29, 2017.

F3 · price: The price reported is a weighted average sale price. The sale prices ranged from $13.00 to $13.71. The reporting person undertakes to provide Savara Inc., any security holder of Savara Inc., or the staff of the Securities and Exchange Commission, upon receipt of a request, full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

SEC source: 0000899243-18-004480 · doc4.xml · nonDerivative · entry 3

Lowrance David L · CIK 0001408498 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,819

F1 · shares: The sales reported on this Form 4 for February 15, 2018 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 29, 2017.

F2 · price: The price reported is a weighted average sale price. The sale prices ranged from $12.31 to $12.96.

SEC source: 0000899243-18-004480 · doc4.xml · derivative · entry 5

Lowrance David L · CIK 0001408498 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,684

Underlying: Common Stock · 31,894 shares

Expires 2026-10-25

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_date: The shares subject to the option vest and become exercisable in sixteen equal quarterly installments beginning on February 1, 2017.

SEC source: 0000899243-18-004480 · doc4.xml · nonDerivative · entry 2

Lowrance David L · CIK 0001408498 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,755

SEC source: 0000899243-18-004480 · doc4.xml · nonDerivative · entry 1

Lowrance David L · CIK 0001408498 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,994

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

SEC source: 0000899243-17-029234 · doc4.xml · derivative · entry 1

PIKOVER YURI · CIK 0001032389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 shares

Expires 2027-12-17

F1 · derivative.exercise_date: The option vests and becomes exercisable in six equal monthly installments on each monthly anniversary of December 17, 2017, subject to the reporting person's continued service with the Issuer.

SEC source: 0000899243-17-029246 · doc4.xml · derivative · entry 1

Elam Nevan C · CIK 0001314773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 shares

Expires 2027-12-17

F1 · derivative.exercise_date: The option vests and becomes exercisable in six equal monthly installments on each monthly anniversary of December 17, 2017, subject to the reporting person's continued service with the Issuer.

SEC source: 0000899243-17-029244 · doc4.xml · derivative · entry 1

McCracken Joseph S · CIK 0001632454 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 shares

Expires 2027-12-17

F1 · derivative.exercise_date: The option vests and becomes exercisable in six equal monthly installments on each monthly anniversary of December 17, 2017, subject to the reporting person's continued service with the Issuer.

SEC source: 0000899243-17-029233 · doc4.xml · derivative · entry 1

Hawkins Richard J · CIK 0001307632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 shares

Expires 2027-12-17

F1 · derivative.exercise_date: The option vests and becomes exercisable in six equal monthly installments on each monthly anniversary of December 17, 2017, subject to the reporting person's continued service with the Issuer.

SEC source: 0000899243-17-024810 · doc4.xml · nonDerivative · entry 1

PIKOVER YURI · CIK 0001032389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

SEC source: 0000899243-17-015872 · doc4.xml · nonDerivative · entry 1

PIKOVER YURI · CIK 0001032389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

SEC source: 0000899243-17-015876 · doc4.xml · nonDerivative · entry 1

Neville Robert N · CIK 0001703487 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 430,385

SEC source: 0000899243-17-015874 · doc4.xml · nonDerivative · entry 1

RAMSAY DAVID A · CIK 0001283292 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,428

SEC source: 0000899243-17-015871 · doc4.xml · nonDerivative · entry 1

Jouhikainen Jaakko Taneli · CIK 0001703641 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,326

SEC source: 0000899243-17-015869 · doc4.xml · nonDerivative · entry 1

Lowrance David L · CIK 0001408498 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,100

SEC source: 0000899243-17-015868 · doc4.xml · nonDerivative · entry 1

McCracken Joseph S · CIK 0001632454 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,866

SEC source: 0000899243-17-014622 · doc4.xml · derivative · entry 1

RAMSAY DAVID A · CIK 0001283292 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 shares

Expires 2027-05-25

F1 · derivative.exercise_date: The option vests and becomes exercisable in six equal monthly installments on each monthly anniversary of May 25, 2017, subject to the reporting person's continued service with the Issuer.

SEC source: 0000899243-17-014620 · doc4.xml · derivative · entry 1

Pauls Matthew · CIK 0001573429 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,750

Underlying: Common Stock · 3,750 shares

Expires 2027-05-25

F1 · derivative.exercise_date: The option vests and becomes exercisable in six equal monthly installments on each monthly anniversary of May 25, 2017, subject to the reporting person's continued service with the Issuer.

SEC source: 0000899243-19-017457 · doc4.xml · derivative · entry 7

RAMSAY DAVID A · CIK 0001283292 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,142 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 · date: The vesting of the restricted stock units occurred upon April 27, 2017 upon the consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among Mast Therapeutics, Inc., Savara Inc., and Victoria Merger Corp. (the "Merger Agreement") but due to an administrative error was not reported at that time, and the shares were omitted from subsequent Form 4 filings.

F2 · shares: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The amount reported reflects the 70-for-one reverse stock split implemented by the issuer on April 27, 2017.

F3 · derivative.exercise_date: The restricted stock units vested in full on April 27, 2017, upon consummation of the merger transaction contemplated by the Merger Agreement.

F3 · derivative.expiration_date: The restricted stock units vested in full on April 27, 2017, upon consummation of the merger transaction contemplated by the Merger Agreement.

SEC source: 0000899243-19-017457 · doc4.xml · nonDerivative · entry 1

RAMSAY DAVID A · CIK 0001283292 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,570

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 · date: The vesting of the restricted stock units occurred upon April 27, 2017 upon the consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among Mast Therapeutics, Inc., Savara Inc., and Victoria Merger Corp. (the "Merger Agreement") but due to an administrative error was not reported at that time, and the shares were omitted from subsequent Form 4 filings.

SEC source: 0000899243-20-025225 · doc4.xml · derivative · entry 3

Pauls Matthew · CIK 0001573429 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 650 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 · date: The vesting of the restricted stock units ("RSUs") occurred upon April 27, 2017 upon the consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among Mast Therapeutics, Inc., Savara Inc., and Victoria Merger Corp. (the "Merger Agreement") but due to an administrative error was not reported at that time, and the shares were omitted from subsequent Form 4 filings.

F3 · shares: Each RSU represents a contingent right to receive one share of the issuer's common stock. The amount reported reflects the 70-for-one reverse stock split implemented by the issuer on April 27, 2017.

F4 · derivative.exercise_date: The restricted stock units vested in full on April 27, 2017, upon consummation of the merger transaction contemplated by the Merger Agreement.

F4 · derivative.expiration_date: The restricted stock units vested in full on April 27, 2017, upon consummation of the merger transaction contemplated by the Merger Agreement.

SEC source: 0000899243-20-025225 · doc4.xml · nonDerivative · entry 1

Pauls Matthew · CIK 0001573429 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 650

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 · date: The vesting of the restricted stock units ("RSUs") occurred upon April 27, 2017 upon the consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among Mast Therapeutics, Inc., Savara Inc., and Victoria Merger Corp. (the "Merger Agreement") but due to an administrative error was not reported at that time, and the shares were omitted from subsequent Form 4 filings.

SEC source: 0001209191-17-005127 · doc4.xml · derivative · entry 1

Pauls Matthew · CIK 0001573429 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,535

Underlying: Common Stock · 45,535 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

F2 · derivative.expiration_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

SEC source: 0001209191-17-005121 · doc4.xml · derivative · entry 1

DITTRICH HOWARD · CIK 0001065156 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,933

Underlying: Common Stock · 63,933 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

F2 · derivative.expiration_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

SEC source: 0001209191-17-005113 · doc4.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · Chief Financial Officer & SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 889,926

Underlying: Common Stock · 889,926 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

F2 · derivative.expiration_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

SEC source: 0001209191-17-005145 · doc4.xml · derivative · entry 1

Greenleaf Peter · CIK 0001363683 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,535

Underlying: Common Stock · 45,535 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

F2 · derivative.expiration_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

SEC source: 0001209191-17-005139 · doc4.xml · derivative · entry 1

RAMSAY DAVID A · CIK 0001283292 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,962

Underlying: Common Stock · 79,962 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

F2 · derivative.expiration_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

SEC source: 0001209191-17-005134 · doc4.xml · derivative · entry 1

Hood Shana · CIK 0001663796 · General Counsel & VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 453,556

Underlying: Common Stock · 453,556 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

F2 · derivative.expiration_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

SEC source: 0001209191-17-005130 · doc4.xml · derivative · entry 1

Culley Brian M · CIK 0001310683 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,368,194

Underlying: Common Stock · 2,368,194 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

F2 · derivative.expiration_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

SEC source: 0001209191-17-005125 · doc4.xml · derivative · entry 1

Parsley Edwin L. · CIK 0001600117 · Chief Medical Officer & SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 894,572

Underlying: Common Stock · 894,572 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

F2 · derivative.expiration_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).