VSTM

SEC source: 0001104659-21-151111 · tm2135712-1_4seq1.xml · derivative · entry 3

Stuglik Brian M · CIK 0001716328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 737,000

Underlying: Common Stock · 737,000 shares

Expires 2031-12-15

F3 · derivative.exercise_date: The option vests as to 25% of the shares on the first anniversary of December 15, 2021 (the "Option Grant Date") and as to an additional 6.25% of the shares at the end of each successive three-month period following the first anniversary of the Option Grant Date until the fourth anniversary of the Option Grant Date (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which all remaining unvested shares shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0001104659-21-151111 · tm2135712-1_4seq1.xml · nonDerivative · entry 2

Stuglik Brian M · CIK 0001716328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,182,381

F2 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of Common Stock. The RSUs vest as to 25% of the RSUs on the first anniversary of December 15, 2021 (the "RSU Grant Date") and as to an additional 6.25% of the RSUs at the end of each successive three-month period following the first anniversary of the RSU Grant Date until the fourth anniversary of the RSU Grant Date (with the number of RSUs vesting on each vesting date rounded down to the nearest whole RSU, except with respect to the final vesting date on which all remaining unvested RSUs shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0001104659-21-151112 · tm2135712-2_4seq1.xml · derivative · entry 3

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,500

Underlying: Common Stock · 301,500 shares

Expires 2031-12-15

F3 · derivative.exercise_date: The option vests as to 25% of the shares on the first anniversary of December 15, 2021 (the "Option Grant Date") and as to an additional 6.25% of the shares at the end of each successive three-month period following the first anniversary of the Option Grant Date until the fourth anniversary of the Option Grant Date (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which all remaining unvested shares shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0001104659-21-151112 · tm2135712-2_4seq1.xml · nonDerivative · entry 2

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 584,398

F2 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of Common Stock. The RSUs vest as to 25% of the RSUs on the first anniversary of December 15, 2021 (the "RSU Grant Date") and as to an additional 6.25% of the RSUs at the end of each successive three-month period following the first anniversary of the RSU Grant Date until the fourth anniversary of the RSU Grant Date (with the number of RSUs vesting on each vesting date rounded down to the nearest whole RSU, except with respect to the final vesting date on which all remaining unvested RSUs shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0001104659-21-151116 · tm2135712-3_4seq1.xml · derivative · entry 4

Paterson Dan · CIK 0001563202 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,500

Underlying: Common Stock · 368,500 shares

Expires 2031-12-15

F5 · derivative.exercise_date: The option vests as to 25% of the shares on the first anniversary of December 15, 2021 (the "Option Grant Date") and as to an additional 6.25% of the shares at the end of each successive three-month period following the first anniversary of the Option Grant Date until the fourth anniversary of the Option Grant Date (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which all remaining unvested shares shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0001104659-21-151116 · tm2135712-3_4seq1.xml · nonDerivative · entry 3

Paterson Dan · CIK 0001563202 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 515,279

F4 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's 2021 Equity Incentive Plan. Each RSU represents the contingent right to receive one share of Common Stock. The RSUs vest as to 25% of the RSUs on the first anniversary of December 15, 2021 (the "RSU Grant Date") and as to an additional 6.25% of the RSUs at the end of each successive three-month period following the first anniversary of the RSU Grant Date until the fourth anniversary of the RSU Grant Date (with the number of RSUs vesting on each vesting date rounded down to the nearest whole RSU, except with respect to the final vesting date on which all remaining unvested RSUs shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0001104659-21-140263 · tm2133168-2_4seq1.xml · derivative · entry 1

ROBERTSON MICHELLE · CIK 0001755098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,493

Underlying: Common Stock · 63,493 shares

Expires 2031-11-15

F1 · derivative.exercise_date: The stock option vests in twelve equal month installments (rounded down to the nearest whole share on each vesting date except with respect to the final vesting date on which the remaining unvested portion shall vest) beginning on the on the last day of each month over a period from November, 2021 to October, 2022, provided that the Reporting Person continues to serve as a director of the Company on each such vesting date.

SEC source: 0001104659-21-151111 · tm2135712-1_4seq1.xml · nonDerivative · entry 1

Stuglik Brian M · CIK 0001716328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 819,381

F1 · balance_after: The total reflects the disposition of 5,839 shares sold by the Issuer to satisfy statutory withholding requirements upon vesting of restricted stock units, the cancellation of 191,828 restricted stock units granted to the Reporting Person in December 2020 and additional reductions of 95,665 shares previously retired and 73,472 shares previously sold, in each case by the Issuer, to satisfy statutory withholding requirements upon vesting of restricted stock units.

SEC source: 0001104659-21-151112 · tm2135712-2_4seq1.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 435,898

F1 · balance_after: The total reflects the disposition of 45,329 shares sold by the Issuer to satisfy statutory withholding requirements upon vesting of restricted stock units and additional reductions of 74,981 shares previously retired and 18,760 shares previously sold, in each case by the Issuer, to satisfy statutory withholding requirements upon vesting of restricted stock units. The total also reflects 3,333 shares purchased under the Issuer's Employee Stock Purchase Plan.

SEC source: 0001104659-21-151116 · tm2135712-3_4seq1.xml · nonDerivative · entry 1

Paterson Dan · CIK 0001563202 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,779

F1 · balance_after: The total reflects the disposition of 50,244 shares sold by the Issuer to satisfy statutory withholding requirements and an additional reduction of 46,442 shares previously withheld by the Issuer to satisfy statutory withholding requirements, in each case upon vesting of restricted stock units and a reduction of 128,684 shares transferred to the Paterson 1996 Living Trust. The total also reflects 3,333 shares purchased under the Issuer's Employee Stock Purchase Plan.

SEC source: 0001104659-21-087400 · tm2121071-2_4seq1.xml · derivative · entry 1

BARBERICH TIMOTHY J · CIK 0001120355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-06-28

F1 · derivative.exercise_date: The stock option vests in twelve equal month installments (rounded down to the nearest whole share on each vesting date except with respect to the final vesting date on which the remaining unvested portion shall vest) beginning on the on the last day of each month over a period from June, 2021 to May, 2022, provided that the Reporting Person continues to serve as a director of the Company on each such vesting date.

SEC source: 0001104659-21-087403 · tm2121071-5_4seq1.xml · derivative · entry 1

JOHNSON JOHN · CIK 0001410781 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-06-28

F1 · derivative.exercise_date: The stock option vests in twelve equal month installments (rounded down to the nearest whole share on each vesting date except with respect to the final vesting date on which the remaining unvested portion shall vest) beginning on the on the last day of each month over a period from June, 2021 to May, 2022, provided that the Reporting Person continues to serve as a director of the Company on each such vesting date.

SEC source: 0001104659-21-087401 · tm2121071-3_4seq1.xml · derivative · entry 1

Rowinsky Eric K · CIK 0001318886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-06-28

F1 · derivative.exercise_date: The stock option vests in twelve equal month installments (rounded down to the nearest whole share on each vesting date except with respect to the final vesting date on which the remaining unvested portion shall vest) beginning on the on the last day of each month over a period from June, 2021 to May, 2022, provided that the Reporting Person continues to serve as a director of the Company on each such vesting date.

SEC source: 0001104659-21-087398 · tm2121071-1_4seq1.xml · derivative · entry 1

Kauffman Michael · CIK 0001364719 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-06-28

F1 · derivative.exercise_date: The stock option vests in twelve equal month installments (rounded down to the nearest whole share on each vesting date except with respect to the final vesting date on which the remaining unvested portion shall vest) beginning on the on the last day of each month over a period from June, 2021 to May, 2022, provided that the Reporting Person continues to serve as a director of the Company on each such vesting date.

SEC source: 0001104659-21-087402 · tm2121071-4_4seq1.xml · derivative · entry 1

Consylman Gina · CIK 0001546358 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2031-06-28

F1 · derivative.exercise_date: The stock option vests in twelve equal month installments (rounded down to the nearest whole share on each vesting date except with respect to the final vesting date on which the remaining unvested portion shall vest) beginning on the on the last day of each month over a period from June, 2021 to May, 2022, provided that the Reporting Person continues to serve as a director of the Company on each such vesting date.

SEC source: 0001104659-21-086230 · tm2120828d3_4seq1.xml · derivative · entry 1

Solomon Lesley Kim · CIK 0001867746 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,356

Underlying: Common Stock · 73,356 shares

Expires 2031-06-24

F1 · derivative.exercise_date: The stock option vests in twelve equal month installments (rounded down to the nearest whole share on each vesting date except with respect to the final vesting date on which the remaining unvested portion shall vest) beginning on the on the last day of each month over a period from June, 2021 to May, 2022, provided that the Reporting Person continues to serve as a director of the Company on each such vesting date.

SEC source: 0001104659-21-086229 · tm2120828-4_4seq1.xml · derivative · entry 1

Bunn Paul A. · CIK 0001868760 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,356

Underlying: Common Stock · 73,356 shares

Expires 2031-06-24

F1 · derivative.exercise_date: The stock option vests in twelve equal month installments (rounded down to the nearest whole share on each vesting date except with respect to the final vesting date on which the remaining unvested portion shall vest) beginning on the on the last day of each month over a period from June, 2021 to May, 2022, provided that the Reporting Person continues to serve as a director of the Company on each such vesting date.

SEC source: 0000904454-21-000377 · edgar.xml · nonDerivative · entry 1

Stuglik Brian M · CIK 0001716328 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,186,185

F1 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's Amended and Restated 2012 Incentive Plan. Each RSU represents the contingent right to receive one share of Common Stock. The RSUs vest as to 25% of the RSUs on December 18, 2021 and as to an additional 6.25% of the RSUs at the end of each successive three month period following December 18, 2021 until December 18, 2024 (with the number of RSUs vesting on each vesting date rounded down to the nearest whole RSU, except with respect to the final vesting date on which all remaining unvested RSUs shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0000904454-21-000020 · edgar.xml · derivative · entry 2

Neumann Frank · CIK 0001837786 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2031-01-06

F2 · derivative.exercise_date: The stock option vests as to 25% of the shares subject to the option on the first anniversary of the date of grant and as to an additional 6.25% of the shares at the end of each successive three month period following the first anniversary of the date of grant until the 4th anniversary of the date of grant (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which all remaining unvested shares shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0000904454-21-000020 · edgar.xml · nonDerivative · entry 1

Neumann Frank · CIK 0001837786 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

F1 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person pursuant to the Issuer's inducement award program. Each RSU represents the contingent right to receive one share of Common Stock. The RSUs vest as to 25% of the shares subject to the award on the first anniversary of the date of grant and as to an additional 6.25% of the shares at the end of each successive three month period following the first anniversary of the date of grant until the 4th anniversary of the date of grant (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which all remaining unvested shares shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0000904454-20-000830 · edgar.xml · derivative · entry 2

Stuglik Brian M · CIK 0001716328 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 611,328

Underlying: Common Stock · 611,328 shares

Expires 2030-12-18

F2 · derivative.exercise_date: The option vests as to 25% of the shares on the first anniversary of December 18, 2020 (the "Grant Date") and as to an additional 6.25% of the shares at the end of each successive three-month period following the first anniversary of the Grant Date until the fourth anniversary of the Grant Date (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which all remaining unvested shares shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0000904454-20-000830 · edgar.xml · nonDerivative · entry 1

Stuglik Brian M · CIK 0001716328 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 994,357

F1 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's Amended and Restated 2012 Incentive Plan. Each RSU represents the contingent right to receive one share of Common Stock. The RSUs vest as to 25% of the RSUs on the first anniversary of December 18, 2020 (the "Grant Date") and as to an additional 6.25% of the RSUs at the end of each successive three-month period following the first anniversary of the Grant Date until the fourth anniversary of the Grant Date (with the number of RSUs vesting on each vesting date rounded down to the nearest whole RSU, except with respect to the final vesting date on which all remaining unvested RSUs shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0000904454-20-000832 · edgar.xml · derivative · entry 2

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,776

Underlying: Common Stock · 203,776 shares

Expires 2030-12-18

F2 · derivative.exercise_date: The option vests as to 25% of the shares on the first anniversary of December 18, 2020 (the "Grant Date") and as to an additional 6.25% of the shares at the end of each successive three-month period following the first anniversary of the Grant Date until the fourth anniversary of the Grant Date (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which all remaining unvested shares shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0000904454-20-000832 · edgar.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 571,635

F1 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's Amended and Restated 2012 Incentive Plan. Each RSU represents the contingent right to receive one share of Common Stock. The RSUs vest as to 25% of the RSUs on the first anniversary of December 18, 2020 (the "Grant Date") and as to an additional 6.25% of the RSUs at the end of each successive three-month period following the first anniversary of the Grant Date until the fourth anniversary of the Grant Date (with the number of RSUs vesting on each vesting date rounded down to the nearest whole RSU, except with respect to the final vesting date on which all remaining unvested RSUs shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0000904454-20-000828 · edgar.xml · derivative · entry 2

Paterson Dan · CIK 0001563202 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 407,552

Underlying: Common Stock · 407,552 shares

Expires 2030-12-18

F2 · derivative.exercise_date: The option vests as to 25% of the shares on the first anniversary of December 18, 2020 (the "Grant Date") and as to an additional 6.25% of the shares at the end of each successive three-month period following the first anniversary of the Grant Date until the fourth anniversary of the Grant Date (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which all remaining unvested shares shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0000904454-20-000828 · edgar.xml · nonDerivative · entry 1

Paterson Dan · CIK 0001563202 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 555,816

F1 · shares: Represents restricted stock units ("RSUs") granted to the Reporting Person under the Issuer's Amended and Restated 2012 Incentive Plan. Each RSU represents the contingent right to receive one share of Common Stock. The RSUs vest as to 25% of the RSUs on the first anniversary of December 18, 2020 (the "Grant Date") and as to an additional 6.25% of the RSUs at the end of each successive three-month period following the first anniversary of the Grant Date until the fourth anniversary of the Grant Date (with the number of RSUs vesting on each vesting date rounded down to the nearest whole RSU, except with respect to the final vesting date on which all remaining unvested RSUs shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0000904454-20-000803 · edgar.xml · nonDerivative · entry 1

BARBERICH TIMOTHY J · CIK 0001120355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,000

SEC source: 0000904454-20-000564 · edgar.xml · nonDerivative · entry 1

Stuglik Brian M · CIK 0001716328 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 790,581

F1 · shares: Represents restricted stock units granted to the Reporting Person under the Issuer's Amended and Restated 2012 Incentive Plan. Each restricted stock unit represents the contingent right to receive one share of Common Stock. The restricted stock units vest 50% on December 31, 2020 and 50% on August 11, 2021, provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0000904454-20-000568 · edgar.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 503,710

F1 · shares: Represents restricted stock units granted to the Reporting Person under the Issuer's Amended and Restated 2012 Incentive Plan. Each restricted stock unit represents the contingent right to receive one share of Common Stock. The restricted stock units vest 50% on December 31, 2020 and 50% on August 11, 2021, provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0000904454-20-000566 · edgar.xml · nonDerivative · entry 1

Paterson Dan · CIK 0001563202 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 419,965

F1 · shares: Represents restricted stock units granted to the Reporting Person under the Issuer's Amended and Restated 2012 Incentive Plan. Each restricted stock unit represents the contingent right to receive one share of Common Stock. The restricted stock units vest 50% on December 31, 2020 and 50% on August 11, 2021, provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0001104659-20-078076 · tm2023698-1_4.xml · nonDerivative · entry 1

RA CAPITAL MANAGEMENT, L.P. · CIK 0001346824 · 10% owner

RA Capital Healthcare Fund LP · CIK 0001315082 · 10% owner

Kolchinsky Peter · CIK 0001384859 · 10% owner

Shah Rajeev M. · CIK 0001619841 · 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: 16,142,051

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.86 to $1.97; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F2 · balance_after: Following the reported transaction, the RA Capital Healthcare Fund, L.P. (the "Fund") held 13,810,611 shares and a separately managed account (the "Account") held 2,331,440 shares.

F3 · ownership.nature: RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund and the Account. The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. The Adviser, the Adviser GP, Dr. Kolchinsky, and Mr. Shah may be deemed indirect beneficial owners of the reported securities for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Act").

F4 · ownership.nature: They disclaim beneficial ownership of any of the reported securities for the purpose of determining whether they are subject to Section 16 of the Act, however, in reliance on Rule 16a-1(a)(1)(v) and (vii). To the extent that they might be deemed subject to Section 16, they disclaim beneficial ownership of securities held by the Fund for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein, and disclaim any pecuniary interest in securities held in the Account for purposes of Rule 16a-1(a)(2).

F5 · ownership.nature: The filing of this Form 4 shall not be construed as an admission that either the Adviser, the Adviser GP, Dr. Kolchinsky, or Mr. Shah is or was for the purposes of Section 16(a), or otherwise, the beneficial owner of any of the securities held in the Account.

SEC source: 0000904454-20-000400 · edgar.xml · derivative · entry 1

BARBERICH TIMOTHY J · CIK 0001120355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which the remaining unvested portion shall vest), beginning on June 30, 2020 and ending on May 31, 2021, provided that the Reporting Person continues to serve as a director of the Issuer on each such vesting date.

SEC source: 0000904454-20-000404 · edgar.xml · derivative · entry 1

JOHNSON JOHN · CIK 0001410781 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,602

Underlying: Common Stock · 27,602 shares

Expires 2030-06-16

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which the remaining unvested portion shall vest), beginning on June 30, 2020 and ending on May 31, 2021, provided that the Reporting Person continues to serve as a director of the Issuer on each such vesting date.

SEC source: 0000904454-20-000409 · edgar.xml · derivative · entry 1

Rowinsky Eric K · CIK 0001318886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which the remaining unvested portion shall vest), beginning on June 30, 2020 and ending on May 31, 2021, provided that the Reporting Person continues to serve as a director of the Issuer on each such vesting date.

SEC source: 0000904454-20-000411 · edgar.xml · derivative · entry 1

Wendel Bruce · CIK 0001364846 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which the remaining unvested portion shall vest), beginning on June 30, 2020 and ending on May 31, 2021, provided that the Reporting Person continues to serve as a director of the Issuer on each such vesting date.

SEC source: 0000904454-20-000407 · edgar.xml · derivative · entry 1

Kauffman Michael · CIK 0001364719 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which the remaining unvested portion shall vest), beginning on June 30, 2020 and ending on May 31, 2021, provided that the Reporting Person continues to serve as a director of the Issuer on each such vesting date.

SEC source: 0000904454-20-000402 · edgar.xml · derivative · entry 1

Consylman Gina · CIK 0001546358 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,342

Underlying: Common Stock · 35,342 shares

Expires 2030-06-16

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which the remaining unvested portion shall vest), beginning on June 30, 2020 and ending on May 31, 2021, provided that the Reporting Person continues to serve as a director of the Issuer on each such vesting date.

SEC source: 0001104659-20-053602 · a4.xml · derivative · entry 1

JOHNSON JOHN · CIK 0001410781 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-04-29

F1 · derivative.exercise_date: The option vests in twelve equal monthly installments (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which the remaining unvested portion shall vest), beginning on May 29, 2020 and ending on April 29, 2021, provided that the Reporting Person continues to serve as a director of the Issuer on each such vesting date.

SEC source: 0001104659-20-053412 · tm2012989-2_4.xml · nonDerivative · entry 1

RA CAPITAL MANAGEMENT, L.P. · CIK 0001346824 · 10% owner

RA Capital Healthcare Fund LP · CIK 0001315082 · 10% owner

Kolchinsky Peter · CIK 0001384859 · 10% owner

Shah Rajeev M. · CIK 0001619841 · 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: 17,303,351

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.15 to $3.31; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which these transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F2 · balance_after: Following the reported transaction, the RA Capital Healthcare Fund, L.P. (the "Fund") held 14,804,182 shares and a separately managed account (the "Account") held 2,499,169 shares.

F3 · ownership.nature: RA Capital Management, L.P. (the "Adviser") is the investment manager for the Fund and the Account. The general partner of the Adviser is RA Capital Management GP, LLC (the "Adviser GP"), of which Dr. Peter Kolchinsky and Mr. Rajeev Shah are the managing members. The Adviser, the Adviser GP, Dr. Kolchinsky, and Mr. Shah may be deemed indirect beneficial owners of the reported securities for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the "Act").

F4 · ownership.nature: They disclaim beneficial ownership of any of the reported securities for the purpose of determining whether they are subject to Section 16 of the Act, however, in reliance on Rule 16a-1(a)(1)(v) and (vii). To the extent that they might be deemed subject to Section 16, they disclaim beneficial ownership of securities held by the Fund for purposes of Rule 16a-1(a)(2), except to the extent of their pecuniary interest therein, and disclaim any pecuniary interest in securities held in the Account for purposes of Rule 16a-1(a)(2).

F5 · ownership.nature: The filing of this Form 4 shall not be construed as an admission that either the Adviser, the Adviser GP, Dr. Kolchinsky, or Mr. Shah is or was for the purposes of Section 16(a), or otherwise, the beneficial owner of any of the securities held in the Account

SEC source: 0001104659-20-040696 · a4.xml · nonDerivative · entry 1

Stuglik Brian M · CIK 0001716328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,000

F1 · shares: Represents restricted stock units granted to the Reporting Person under the Issuer's Amended and Restated 2012 Incentive Plan on March 27, 2020. Each restricted stock unit represents the contingent right to receive one share of Common Stock. The restricted stock units vest as to 100% of the shares on December 31, 2021, provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on such vesting date.

SEC source: 0001104659-20-040697 · a4.xml · nonDerivative · entry 1

Paterson Dan · CIK 0001563202 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,286

F1 · shares: Represents restricted stock units granted to the Reporting Person under the Issuer's Amended and Restated 2012 Incentive Plan on March 27, 2020. Each restricted stock unit represents the contingent right to receive one share of Common Stock. The restricted stock units vest as to 100% of the shares on December 31, 2021, provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on such vesting date.

SEC source: 0001104659-20-040698 · a4.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,500

F1 · shares: Represents restricted stock units granted to the Reporting Person under the Issuer's Amended and Restated 2012 Incentive Plan on March 27, 2020. Each restricted stock unit represents the contingent right to receive one share of Common Stock. The restricted stock units vest as to 100% of the shares on December 31, 2021, provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on such vesting date.

SEC source: 0000932440-20-000016 · edgar.xml · derivative · entry 2

Ridgeback Capital Investments L.P. · CIK 0001423994 · 10% owner

Ridgeback Capital Investments Ltd. · CIK 0001358916 · 10% owner

Ridgeback Capital Management LP · CIK 0001357610 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 5,515,151 shares

Expires 2048-11-01

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 · ownership.direct: Ridgeback Capital Investments L.P. owns all of the securities reported herein directly. Ridgeback Capital Investements Ltd. is the general partner of Ridgeback Capital Investments L.P. Pursuant to an investment management agreement, Ridgeback Capital Management LLC maintains investment and voting power with respect to the securities held or controlled by Ridgeback Capital Invesetments Ltd. Wayne Holman, an individual, controls Ridgeback Capital Management LLC. Ridgeback Capital Management LLC, Ridgeback Capital Investments Ltd. and Wayne Holman do not own any securities reported herein directly and disclaim beneficial ownership of any of the securities covered by this statement, except to the extent of any pecuniary interest therein.

SEC source: 0000932440-20-000016 · edgar.xml · nonDerivative · entry 1

Ridgeback Capital Investments L.P. · CIK 0001423994 · 10% owner

Ridgeback Capital Investments Ltd. · CIK 0001358916 · 10% owner

Ridgeback Capital Management LP · CIK 0001357610 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,068,243

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: The Reporting Person converted $9,100,000 principal amount of 5% Convertible Senior Second Lien Notes due 2048 on March 6, 2020 into 5,515,151 shares of common stock at a conversion price of $1.65 per share.

F1 · ownership.direct: Ridgeback Capital Investments L.P. owns all of the securities reported herein directly. Ridgeback Capital Investements Ltd. is the general partner of Ridgeback Capital Investments L.P. Pursuant to an investment management agreement, Ridgeback Capital Management LLC maintains investment and voting power with respect to the securities held or controlled by Ridgeback Capital Invesetments Ltd. Wayne Holman, an individual, controls Ridgeback Capital Management LLC. Ridgeback Capital Management LLC, Ridgeback Capital Investments Ltd. and Wayne Holman do not own any securities reported herein directly and disclaim beneficial ownership of any of the securities covered by this statement, except to the extent of any pecuniary interest therein.

SEC source: 0001104659-19-073505 · a4.xml · derivative · entry 1

Stuglik Brian M · CIK 0001716328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-12-13

F1 · derivative.exercise_date: The option vests as to 50% of the shares on the first anniversary of December 13, 2019 (the "Grant Date") and as to an additional 12.5% of the shares at the end of each successive three-month period following the first anniversary of the Grant Date, provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0001104659-19-073507 · a4.xml · derivative · entry 2

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2029-12-13

F2 · derivative.exercise_date: The option vests as to 50% of the shares on the first anniversary of Grant Date and as to an additional 12.5% of the shares at the end of each successive three-month period following the first anniversary of the Grant Date, provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0001104659-19-073507 · a4.xml · derivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2029-12-13

F1 · derivative.exercise_date: The option vests as to 25% of the shares on the first anniversary of December 13, 2019 (the "Grant Date") and as to an additional 6.25% of the shares at the end of each successive three-month period following the first anniversary of the Grant Date until the fourth anniversary of the Grant Date (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which all remaining unvested shares shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0001104659-19-073506 · a4.xml · derivative · entry 2

Paterson Dan · CIK 0001563202 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2029-12-13

F2 · derivative.exercise_date: The option vests as to 50% of the shares on the first anniversary of Grant Date and as to an additional 12.5% of the shares at the end of each successive three-month period following the first anniversary of the Grant Date, provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0001104659-19-073506 · a4.xml · derivative · entry 1

Paterson Dan · CIK 0001563202 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-12-13

F1 · derivative.exercise_date: The option vests as to 25% of the shares on the first anniversary of December 13, 2019 (the "Grant Date") and as to an additional 6.25% of the shares at the end of each successive three-month period following the first anniversary of the Grant Date until the fourth anniversary of the Grant Date (with the number of shares vesting on each vesting date rounded down to the nearest whole share, except with respect to the final vesting date on which all remaining unvested shares shall vest), provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on each such vesting date.

SEC source: 0001104659-19-043091 · a4.xml · derivative · entry 2

Stuglik Brian M · CIK 0001716328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2029-07-29

F2 · derivative.exercise_date: The option vests as to (a) 33 1/3% of the shares on the first anniversary of the Grant Date and (b) as to an additional 8.33% of the shares at the end of each successive three-month period following the first anniversary of the Grant Date until the third anniversary of the Grant Date, provided that the Reporting Person continues to serve as an employee of or other service provider to the Issuer on such vesting date.