WHWK

SEC source: 0000899243-21-034657 · doc4.xml · derivative · entry 1

Hehenberger Karin M. · CIK 0001548029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,549

Underlying: Common Stock · 17,549 shares

Expires 2031-08-27

F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable date, the Initial Award is scheduled to vest as to one thirty-sixth (1/36th) of the shares of common stock subject to the Initial Award on a monthly basis following the grant date on the same day of the month as the grant date (and if there is no corresponding day, on the last day of the month). The grant date is August 27, 2021.

SEC source: 0000899243-21-034655 · doc4.xml · derivative · entry 1

Maroun Richard E · CIK 0001364590 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,549

Underlying: Common Stock · 17,549 shares

Expires 2031-08-27

F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through each applicable date, the Initial Award is scheduled to vest as to one thirty-sixth (1/36th) of the shares of common stock subject to the Initial Award on a monthly basis following the grant date on the same day of the month as the grant date (and if there is no corresponding day, on the last day of the month). The grant date is August 27, 2021.

SEC source: 0000902664-21-004071 · ownership.xml · nonDerivative · entry 1

Aghazadeh Behzad · CIK 0001701815 · Director · 10% owner · See Remarks

Avoro Capital Advisors LLC · CIK 0001633313 · Director · See Remarks

Avoro Ventures LLC · CIK 0001879253 · See Remarks

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 2,211,752

F1 · ownership.nature: This Form 4 is filed by Avoro Capital Advisors LLC, a Delaware limited liability company ("Avoro Capital Advisors"), Avoro Ventures LLC, a Delaware limited liability company ("Avoro Ventures") and Behzad Aghazadeh ("Dr. Aghazadeh", and together with Avoro Capital Advisors and Avoro Ventures, the "Reporting Persons"). Dr. Aghazadeh serves as the portfolio manager and controlling person of Avoro Capital Advisors and Avoro Ventures LLC.

F2 · ownership.nature: The filing of this statement shall not be deemed an admission that any Reporting Person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each of the Reporting Persons expressly disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein.

F3 · ownership.nature: The securities reported herein were acquired on behalf of accounts managed by Avoro Capital Advisors and Avoro Ventures directly from the Issuer in a PIPE financing completed in connection with the closing of the Agreement and Plan of Merger between the Issuer and Aadi Bioscience, Inc., dated as of May 16, 2021, following which the Issuer changed its name to Aadi Bioscience, Inc.

SEC source: 0000899243-21-034553 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 259,998

F1 · ownership.nature: Represents the purchase of 259,998 shares of Common Stock from Aadi Bioscience, Inc. (formerly Aerpio Pharmaceuticals, Inc.) pursuant to a subscription agreement dated May 16, 2021. The closing under the subscription agreement was conditioned upon the closing under that certain Agreement and Plan of Merger, dated May 16, 2021, by and between Aerpio Pharmaceuticals, Aadi Bioscience, Inc. and Aspen Merger Subsidiary, Inc.

F2 · ownership.nature: Securities beneficially owned indirectly by KVP Capital, LP. Dr. Castelein is the Managing Director of KVP Capital. Dr. Castelein disclaims beneficial ownership of shares held by KVP Capital, except to the extent of his pecuniary interest therein. Share and per-share information herein reflects a 1-for-15 reverse split of the Issuer's common stock that was effected on August 26, 2021.

SEC source: 0000899243-21-034546 · doc4.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,529,402

F1 · ownership.nature: Consists of (i) 1,284,698 shares held by Acuta Capital Fund, LP ("Acuta Capital") and (ii) 244,704 shares held by Acuta Opportunity Fund, LP. ("Acuta Opportunity Fund"). Acuta Capital Partners, LLC ("Acuta Partners") is the general partner of each of Acuta Capital and Acuta Opportunity Fund. The Reporting Person is the Chief Investment Officer and Manfred Yu is the Manager of Acuta Partners. Both the Reporting Person and Mr. Yu have voting and investment authority over all of the shares held by each of Actua Capital and Acuta Opportunity Fund. Each of Acuta Partners, The Reporting Person and Mr. Yu disclaims beneficial ownership of the shares of common stock held by each of Acuta Capital and Acuta Opportunity Fund except to the extent of their pecuniary interest therein.

SEC source: 0000899243-21-034635 · doc4a.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,529,402

F1 · ownership.nature: Consists of (i) 1,284,698 shares held by Acuta Capital Fund, LP ("Acuta Capital") and (ii) 244,704 shares held by Acuta Opportunity Fund, LP. ("Acuta Opportunity Fund"). Acuta Capital Partners, LLC ("Acuta Partners") is the general partner of each of Acuta Capital and Acuta Opportunity Fund. The Reporting Person is the Chief Investment Officer and Managing Member of Acuta Partners. The Reporting Person has voting and investment authority over all of the shares held by each of Acuta Capital and Acuta Opportunity Fund. Each of Acuta Partners and the Reporting Person disclaim beneficial ownership of the shares of common stock held by each of Acuta Capital and Acuta Opportunity Fund except to the extent of their pecuniary interest therein.

F2 · ownership.nature: This amendment is filed to correct footnote (1) included in the Form 4 filed August 30, 2021.

SEC source: 0000899243-21-027291 · doc4.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,959

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

SEC source: 0000899243-21-027289 · doc4.xml · nonDerivative · entry 1

Dugel Pravin · CIK 0001700917 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,568

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

SEC source: 0000899243-21-027290 · doc4.xml · nonDerivative · entry 1

Prelack Steven · CIK 0001302315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,485

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

SEC source: 0000899243-21-027286 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,414

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

SEC source: 0000899243-21-027281 · doc4.xml · nonDerivative · entry 1

Cohen Cheryl · CIK 0001529371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,160

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

SEC source: 0000899243-21-025336 · doc4.xml · derivative · entry 1

Cohen Cheryl · CIK 0001529371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2031-06-17

F1 · derivative.exercise_date: This option is fully vested.

SEC source: 0000899243-21-014676 · doc4.xml · nonDerivative · entry 1

Cohen Cheryl · CIK 0001529371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,020

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

SEC source: 0000899243-21-014675 · doc4.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,559

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

SEC source: 0000899243-21-014674 · doc4.xml · nonDerivative · entry 1

Dugel Pravin · CIK 0001700917 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,237

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

SEC source: 0000899243-21-014672 · doc4.xml · nonDerivative · entry 1

Prelack Steven · CIK 0001302315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,151

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

SEC source: 0000899243-21-014673 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,603

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

SEC source: 0000899243-21-004896 · doc4.xml · derivative · entry 1

Dugel Pravin · CIK 0001700917 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,857

Underlying: Common Stock · 17,857 shares

Expires 2031-02-01

F1 · derivative.exercise_date: Options shall vest in four equal quarterly installments beginning on February 1, 2021.

SEC source: 0000899243-21-004891 · doc4.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,857

Underlying: Common Stock · 17,857 shares

Expires 2031-02-01

F1 · derivative.exercise_date: Options shall vest in four equal quarterly installments beginning on February 1, 2021.

SEC source: 0000899243-21-004893 · doc4.xml · derivative · entry 1

Cohen Cheryl · CIK 0001529371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,857

Underlying: Common Stock · 17,857 shares

Expires 2031-02-01

F1 · derivative.exercise_date: Options shall vest in four equal quarterly installments beginning on February 1, 2021.

SEC source: 0000899243-21-004890 · doc4.xml · derivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,857

Underlying: Common Stock · 17,857 shares

Expires 2031-02-01

F1 · derivative.exercise_date: Options shall vest in four equal quarterly installments beginning on February 1, 2021.

SEC source: 0000947871-20-000944 · ownership.xml · derivative · entry 4

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP V LLC · CIK 0001615374 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 21,400 shares

Expires 2029-06-28

F5 · derivative.exercise_date: This option was granted to Khuong on June 18, 2019 and vested on the first anniversary of the grant date. Pursuant to an agreement with OrbiMed Advisors and GP V, Khuong is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors and GP V, which will in turn ensure that such securities or economic benefits are provided to OPI V.

F2 · ownership.nature: Each of the GP V, OrbiMed Advisors, and Khuong disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) of the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

F5 · ownership.nature: This option was granted to Khuong on June 18, 2019 and vested on the first anniversary of the grant date. Pursuant to an agreement with OrbiMed Advisors and GP V, Khuong is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors and GP V, which will in turn ensure that such securities or economic benefits are provided to OPI V.

SEC source: 0000947871-20-000944 · ownership.xml · nonDerivative · entry 2

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP V LLC · CIK 0001615374 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

F3 · price: The price in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.94 to $2.00. The Reporting Persons

F1 · ownership.nature: This shares are held by Chau Khuong ("Khuong"). OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of OrbiMed Capital GP V LLC ("GP V"), which is the general partner of OrbiMed Private Investments V, LP ("OPI V"). Pursuant to an agreement with OrbiMed Advisors and GP V, Khuong is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors and GP V, which will in turn ensure that such securities or economic benefits are provided to OPI V.

F2 · ownership.nature: Each of the GP V, OrbiMed Advisors, and Khuong disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) of the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000947871-20-000944 · ownership.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · 10% owner

OrbiMed Capital GP V LLC · CIK 0001615374 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 21,400

F1 · ownership.nature: This shares are held by Chau Khuong ("Khuong"). OrbiMed Advisors LLC ("OrbiMed Advisors"), a registered investment adviser under the Investment Advisors Act of 1940, as amended, is the managing member of OrbiMed Capital GP V LLC ("GP V"), which is the general partner of OrbiMed Private Investments V, LP ("OPI V"). Pursuant to an agreement with OrbiMed Advisors and GP V, Khuong is obligated to transfer these securities, or the economic benefit thereof, to OrbiMed Advisors and GP V, which will in turn ensure that such securities or economic benefits are provided to OPI V.

F2 · ownership.nature: Each of the GP V, OrbiMed Advisors, and Khuong disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) of the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any such entity or person, including the Reporting Persons, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000899243-20-017777 · doc4.xml · derivative · entry 1

Dugel Pravin · CIK 0001700917 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,144

Underlying: Common Stock · 52,144 shares

Expires 2030-06-24

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-20-017776 · doc4.xml · derivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,144

Underlying: Common Stock · 52,144 shares

Expires 2030-06-24

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-20-017775 · doc4.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,144

Underlying: Common Stock · 52,144 shares

Expires 2030-06-24

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-20-017769 · doc4.xml · derivative · entry 1

Cohen Cheryl · CIK 0001529371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,144

Underlying: Common Stock · 52,144 shares

Expires 2030-06-24

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-20-017774 · doc4.xml · derivative · entry 1

Prelack Steven · CIK 0001302315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,144

Underlying: Common Stock · 52,144 shares

Expires 2030-06-24

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-20-008925 · doc4.xml · derivative · entry 1

Gardner Joseph H. · CIK 0001700816 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,000

Underlying: Common Stock · 155,000 shares

Expires 2030-03-16

F1 · derivative.exercise_date: Options exercisable as to 1/4th on March 16, 2021 and an additional 1/48th monthly thereafter until March 16, 2024.

SEC source: 0000899243-20-008922 · doc4.xml · derivative · entry 1

PETERS KEVIN G. · CIK 0001700663 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,000

Underlying: Common Stock · 129,000 shares

Expires 2030-03-16

F1 · derivative.exercise_date: Options exercisable as to 1/4th on March 16, 2021 and an additional 1/48th monthly thereafter until March 16, 2024.

SEC source: 0000899243-20-008921 · doc4.xml · derivative · entry 1

Marek Regina · CIK 0001792048 · Vice President of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,000

Underlying: Common Stock · 93,000 shares

Expires 2030-03-16

F1 · derivative.exercise_date: Options exercisable as to 1/4th on March 16, 2021 and an additional 1/48th monthly thereafter until March 16, 2024.

SEC source: 0000899243-19-026769 · doc4.xml · derivative · entry 1

Marek Regina · CIK 0001792048 · Vice President of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,300

Underlying: Common Stock · 44,300 shares

Expires 2029-11-04

F1 · derivative.exercise_date: Options exercisable as to 1/4th on February 15, 2020 and an additional 1/48th monthly thereafter until February 15, 2023.

SEC source: 0000899243-19-019449 · doc4.xml · nonDerivative · entry 1

Gardner Joseph H. · CIK 0001700816 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 453,019

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.80 to $0.8217, inclusive. The reporting person undertakes to provide to Aerpio Pharmaceuticals, Inc., any security holder of Aerpio Pharmaceuticals, Inc., or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares bought at each separate price within the range set forth in this footnote.

SEC source: 0000899243-19-019320 · doc4.xml · nonDerivative · entry 1

Gardner Joseph H. · CIK 0001700816 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 448,019

SEC source: 0000899243-19-017445 · doc4.xml · derivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,400

Underlying: Common Stock · 21,400 shares

Expires 2029-06-18

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-19-017439 · doc4.xml · derivative · entry 1

Dugel Pravin · CIK 0001700917 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,400

Underlying: Common Stock · 21,400 shares

Expires 2029-06-18

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-19-017443 · doc4.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,400

Underlying: Common Stock · 21,400 shares

Expires 2029-06-18

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-19-017441 · doc4.xml · derivative · entry 1

Khuong Chau Quang · CIK 0001609405 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,400

Underlying: Common Stock · 21,400 shares

Expires 2029-06-18

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-19-017440 · doc4.xml · derivative · entry 1

Satter Muneer A · CIK 0001315797 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,400

Underlying: Common Stock · 21,400 shares

Expires 2029-06-18

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-19-017438 · doc4.xml · derivative · entry 1

Cohen Cheryl · CIK 0001529371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,400

Underlying: Common Stock · 21,400 shares

Expires 2029-06-18

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-19-017437 · doc4.xml · derivative · entry 1

Prelack Steven · CIK 0001302315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,400

Underlying: Common Stock · 21,400 shares

Expires 2029-06-18

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-19-013769 · doc4.xml · derivative · entry 1

HOFFMAN STEPHEN J · CIK 0001190418 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 709,050

Underlying: Common Stock · 709,050 shares

Expires 2029-05-14

F1 · derivative.exercise_date: 50% of the shares shall vest on June 30, 2020 and the remaining 50% shall vest on June 30, 2021.

SEC source: 0000899243-19-013768 · doc4.xml · derivative · entry 1

Gardner Joseph H. · CIK 0001700816 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 349,350

Underlying: Common Stock · 349,350 shares

Expires 2029-05-14

F1 · derivative.exercise_date: 50% of the shares shall vest on June 30, 2020 and the remaining 50% shall vest on June 30, 2021.

SEC source: 0000899243-19-013767 · doc4.xml · derivative · entry 2

ROGERS MICHAEL W · CIK 0001244159 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 430,500

Underlying: Common Stock · 430,500 shares

Expires 2029-05-14

F2 · derivative.exercise_date: 50% of the shares shall vest on June 30, 2020 and the remaining 50% shall vest on June 30, 2021.

SEC source: 0000899243-19-013767 · doc4.xml · derivative · entry 1

ROGERS MICHAEL W · CIK 0001244159 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,500

Underlying: Common Stock · 169,500 shares

Expires 2029-05-14

F1 · derivative.exercise_date: Options exercisable as to 1/4th on the first anniversary of the grant date and an additional 1/48th monthly thereafter until the fourth anniversary of the grant date.

SEC source: 0000899243-19-013764 · doc4.xml · derivative · entry 2

PETERS KEVIN G. · CIK 0001700663 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 266,550

Underlying: Common Stock · 266,550 shares

Expires 2029-05-14

F2 · derivative.exercise_date: 50% of the shares shall vest on June 30, 2020 and the remaining 50% shall vest on June 30, 2021.

SEC source: 0000899243-19-013764 · doc4.xml · derivative · entry 1

PETERS KEVIN G. · CIK 0001700663 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,250

Underlying: Common Stock · 63,250 shares

Expires 2029-05-14

F1 · derivative.exercise_date: Options exercisable as to 1/4th on the first anniversary of the grant date and an additional 1/48th monthly thereafter until the fourth anniversary of the grant date.

SEC source: 0000925421-19-000179 · edgar.xml · nonDerivative · entry 2

Novartis Bioventures Ltd · CIK 0001297709 · 10% owner

NOVARTIS AG · CIK 0001114448 · 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: 4,049,804

F2 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.02 to $1.05. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.

F3 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities.

SEC source: 0000925421-19-000179 · edgar.xml · nonDerivative · entry 1

Novartis Bioventures Ltd · CIK 0001297709 · 10% owner

NOVARTIS AG · CIK 0001114448 · 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: 4,188,508

F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $1.00 to $1.04. The price reported reflects the weighted average sale price. The Reporting Persons hereby undertake to provide upon request to the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the sales were effected.

F3 · ownership.nature: The shares are directly owned by Novartis Bioventures Ltd. Novartis Bioventures Ltd is a wholly-owned indirect subsidiary of Novartis AG, which is an indirect beneficial owner of the reported securities.