WHWK

SEC source: 0000899243-18-029916 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,118,017

F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.89 to $2.10. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest.

SEC source: 0000899243-18-029916 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,098,017

F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.78 to $2.13. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest.

SEC source: 0000899243-18-028925 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,967

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.95 to $2.05, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff at the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

SEC source: 0000899243-18-028925 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,967

SEC source: 0000899243-18-029130 · doc4.xml · derivative · entry 1

Dugel Pravin · CIK 0001700917 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2028-10-26

F1 · derivative.exercise_date: Options fully vest on the date of grant, subject to the director's service on the Board at such time.

SEC source: 0000899243-18-025393 · doc4.xml · nonDerivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · price: These shares were received pursuant to a distribution made by Kearny Venture Associates III, LLC in connection with the entity's liquidation.

F2 · ownership.nature: Consists of (i) 1,571,475 shares of Common Stock owned directly by Kearny Venture Partners, L.P., or KVP, and (ii) 32,051 shares of Common Stock owned directly by Kearny Venture Partners Entrepreneurs Fund, L.P., or KVPE. The general partner of both KVP and KVPE is Kearny Venture Associates, L.L.C., or KVA. KVA has the sole voting and investment control over the shares owned by KVP and KVPE, and the Managing Members of KVA share in the voting and investment control over such shares controlled by KVA. The Managing Members of KVA are Caley Castelein, Richard Spalding and James Shapiro. None of the Managing Members of KVA has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. These shares were distributed to third parties pursuant to a distribution made by the entities in connection with their liquidation.

SEC source: 0000899243-18-025393 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,907

F1 · kind: These shares were received pursuant to a distribution made by Kearny Venture Associates III, LLC in connection with the entity's liquidation.

F1 · price: These shares were received pursuant to a distribution made by Kearny Venture Associates III, LLC in connection with the entity's liquidation.

SEC source: 0000925421-18-000298 · 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: 5,800,250

F1 · price: Reflects sales of common stock executed in multiple transactions at prices ranging from $3.90 to $3.91. 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.

F2 · ownership.nature: The board of directors of Novartis Bioventures Ltd has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd is an indirectly owned subsidiary of Novartis AG.

SEC source: 0000899243-18-018724 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 5,078,017

F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P.

F2 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (2), except to the extent of his pecuniary interest.

SEC source: 0000947871-18-000542 · ss98060_4.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner

OrbiMed Capital GP V LLC · CIK 0001615374 · Director · 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: 5,193,946

F1 · price: These shares of the Issuer's common stock ("Shares") were purchased in a block order at a price of $3.85.

F2 · ownership.nature: These Shares are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. By virtue of such relationships, GP V and Advisors may be deemed to have voting and investment power over the securities held by OPI V and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI V.

F3 · ownership.nature: Samuel D. Isaly, who was included as a Reporting Person on previous reports under Section 16 of the Exchange Act filed by GP V and Advisors, is no longer subject to Section 16 with respect to securities of the Issuer.

F4 · ownership.nature: This report on Form 4 is jointly filed by GP V and Advisors. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its pecuniary interest therein, if any. The Reporting Persons have designated a representative, currently Chau Khuong, an employee of Advisors, to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000947871-18-000541 · ss98059_4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 5,193,946

F1 · price: These shares of the Issuer's common stock ("Shares") were purchased in a block order at a price of $3.85.

F2 · ownership.nature: These Shares are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the general partner of OPI V, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the managing member of GP V. By virtue of such relationships, GP V and Advisors may be deemed to have voting and investment power over the securities held by OPI V and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). Advisors exercised this investment and voting power through a management committee comprised of Carl L. Gordon, Sven H. Borho and Jonathan T. Silverstein, each of whom disclaims beneficial ownership of the Shares held by OPI V.

F3 · ownership.nature: Each of the Reporting Person, GP V and Advisors 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 Person, is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000899243-18-017757 · 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 2028-06-20

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: 0000899243-18-017756 · 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 2028-06-20

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: 0000899243-18-017752 · doc4.xml · derivative · entry 1

Khuong Chau Quang · CIK 0001609405 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,400

Underlying: Common Stock · 21,400 shares

Expires 2028-06-20

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: 0000899243-18-017751 · 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 2028-06-20

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: 0000899243-18-017749 · 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 2028-06-20

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: 0000899243-18-017747 · 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 2028-06-20

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: 0000899243-18-017743 · doc4.xml · derivative · entry 1

Cohen Cheryl · CIK 0001529371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,800

Underlying: Common Stock · 42,800 shares

Expires 2028-06-20

F1 · derivative.exercise_date: Options shall vest annually over three years from the Grant Date, subject to director's continued service on the Board at such time.

SEC source: 0000899243-18-010746 · doc4.xml · derivative · entry 1

PAKOLA STEVE · CIK 0001700659 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-04-23

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

SEC source: 0000899243-18-010751 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2028-04-23

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: 0000899243-18-010750 · doc4.xml · derivative · entry 1

PETERS KEVIN G. · CIK 0001700663 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-04-23

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: 0000899243-18-010747 · doc4.xml · derivative · entry 1

ROGERS MICHAEL W · CIK 0001244159 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,000

Underlying: Common Stock · 144,000 shares

Expires 2028-04-23

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

SEC source: 0000899243-18-010744 · doc4.xml · derivative · entry 1

Gardner Joseph H. · CIK 0001700816 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2028-04-23

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: 0000899243-18-008446 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,259,835

F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P.

F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest.

SEC source: 0000899243-18-008446 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,258,835

F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.70 to 5.00. The reporting person undertakes to provide Aerpio Pharmaceuticals, Inc., any security holder of Aerpio Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price range set forth in this footnote (2) to this Form 4.

F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest.

SEC source: 0000899243-18-008259 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,254,835

F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.90 to $5.00. The reporting person undertakes to provide Aerpio Pharmaceuticals, Inc., any security holder of Aerpio Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price range set forth in this footnote (4) to this Form 4.

F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest.

SEC source: 0000899243-18-008259 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,249,435

F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.95 to $5.00. The reporting person undertakes to provide Aerpio Pharmaceuticals, Inc., any security holder of Aerpio Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price range set forth in this footnote (2) to this Form 4.

F3 · ownership.nature: The amount in Column 5 includes (a) 976,568 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,145,267 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (3), except to the extent of his pecuniary interest.

SEC source: 0000899243-18-003902 · doc5.xml · nonDerivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,920

F3 · ownership.nature: Consists of 10,920 shares of Common Stock distributed to Caley Castelein pursuant to the liquidation of the TWHVP entities.

SEC source: 0000899243-18-003902 · doc5.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,603,526

F1 · ownership.nature: Consists of (i) 1,571,475 shares of Common Stock owned directly by Kearny Venture Partners, L.P., or KVP, and (ii) 32,051 shares of Common Stock owned directly by Kearny Venture Partners Entrepreneurs Fund, L.P., or KVPE. The general partner of both KVP and KVPE is Kearny Venture Associates, L.L.C., or KVA. KVA has the sole voting and investment control over the shares owned by KVP and KVPE. The Managing Members of KVA share in the voting and investment control over such shares controlled by KVA. The Managing Members of KVA are Caley Castelein, Richard Spalding and James Shapiro. None of the Managing Members of KVA has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. On December 22, 2017, Revelation TWHVP, LLC and TWHPV SPV, LLC, or the TWHVP entities,

F2 · ownership.nature: (Continued from footnote 1) were liquidated and their shares distributed on a pro rata basis to their members. Prior to this liquidation, Kearny Venture Associates II, LLC, or KVA II, was the Managing Member of the TWHVP entities. The Managing Members of KVA II were Caley Castelein, Andrew Jensen and Anupam Dalal. None of the Managing Members of KVA II had individual voting or investment power with respect to such shares and each disclaims past beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0000899243-18-003896 · doc5.xml · nonDerivative · entry 2

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,269

F2 · kind: Pro rata distribution from Kearny Venture Associates II, LLC., of which the reporting person is a managing member.

SEC source: 0000899243-18-003896 · doc5.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · ownership.nature: The 7,882 shares of Common Stock are owned by directly by TWHVP SPV, LLC ("TWHVP"). The general partner of TWHVP is Kearny Venture Associates II, LLC ("KVA II"). KVA II has the sole voting and investment control over the shares owned by TWHVP and the Managing Members of KVA II have sole voting and investment control over the shares controlled by KVA II. The Managing Members of KVA II are Caley Castelein, Anupam Dalal and Andrew Jensen. None of the Managing Members of KVA II have individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. Pursuant to the Limited Liability Company Agreement KVA II made an in-kind distribution to the members on December 22, 2017. KVA II currently owns 0 shares of the Issuer.

SEC source: 0000899243-17-029053 · doc4.xml · derivative · entry 1

Gardner Joseph H. · CIK 0001700816 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 135,000 shares

Expires 2027-12-14

F1 · derivative.exercise_date: Option grant fully exercisable on July 1, 2018

SEC source: 0000899243-17-029055 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 586,012 shares

Expires 2027-12-01

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: 0000899243-17-029052 · doc4.xml · derivative · entry 1

ROGERS MICHAEL W · CIK 0001244159 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 293,006 shares

Expires 2027-11-15

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

SEC source: 0000899243-17-008159 · doc4.xml · nonDerivative · entry 1

ORBIMED ADVISORS LLC · CIK 0001055951 · Director · 10% owner

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

ISALY SAMUEL D · CIK 0001055949 · Director · 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: 4,416,446

F1 · ownership.nature: These securities are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the sole general partner of OPI V, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisors Act of 1940, as amended, is the sole managing member of GP V. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and holder of a controlling interest in, Advisors. By virtue of such relationships, GP V, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI V noted above and as a result may be deemed to have beneficial ownership over such securities.

F2 · ownership.nature: This report on Form 4 is jointly filed by GP V, Advisors, and Isaly. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. The Reporting Persons have designated a representative, currently Chau Khuong, an employee of Advisors, to serve on the Company's board of directors. This report shall not be deemed an admission that any of 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: 0000899243-17-008150 · doc4.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: 5,805,550

F1 · ownership.nature: The board of directors of Novartis Bioventures Ltd. has sole voting and investment control and power over such securities. None of the members of its board of directors has individual voting or investment power with respect to such securities and each disclaims beneficial ownership of such securities. Novartis Bioventures Ltd. is an indirectly owned subsidiary of Novartis AG.

SEC source: 0000899243-17-008161 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 4,416,446

F1 · ownership.nature: These shares are held of record by OrbiMed Private Investments V, LP ("OPI V"). OrbiMed Capital GP V LLC ("GP V") is the sole general partner of OPI V, and OrbiMed Advisors LLC ("Advisors"), a registered adviser under the Investment Advisers Act of 1940, as amended, is the sole managing member of GP V. Samuel D. Isaly ("Isaly"), a natural person, is the managing member of, and holder of a controlling interest in, Advisors. By virtue of such relationships, GP V, Advisors and Isaly may be deemed to have voting and investment power with respect to the securities held by OPI V noted above and as a result may be deemed to have beneficial ownership over such securities. The Reporting Person is an employee of Advisors.

F2 · ownership.nature: Each of GP V, Advisors, Isaly and the Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (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 is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0000899243-17-008099 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,241,835

F1 · kind: Represents shares acquired by Satter Medical Technology Partners, L.P. in a private placement offering by the Company that occurred immediately following the merger of a wholly-owned subsidiary of the Company with and into Aerpio Therapeutics, Inc.

F1 · shares: Represents shares acquired by Satter Medical Technology Partners, L.P. in a private placement offering by the Company that occurred immediately following the merger of a wholly-owned subsidiary of the Company with and into Aerpio Therapeutics, Inc.

F2 · balance_after: The amount in Column 5 includes (a) 980,124 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,141,711 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) 1,120,000 shares that are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (2), except to the extent of his pecuniary interest.

F2 · ownership.nature: The amount in Column 5 includes (a) 980,124 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,141,711 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) 1,120,000 shares that are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (2), except to the extent of his pecuniary interest.

SEC source: 0000899243-17-008162 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,611,408

F1 · ownership.nature: Consists of (i) 392,005 shares of Common Stock owned directly by Kearny Venture Partners, L.P., or KVP, and (ii) 7,995 shares of Common Stock owned directly by Kearny Venture Partners Entrepreneurs Fund, L.P., or KVPE. The general partner of both KVP and KVPE is Kearny Venture Associates, L.L.C., or KVA. KVA has the sole voting and investment control over the shares owned by KVP and KVPE, and the Managing Members of KVA share in the voting and investment control over such shares controlled by KVA. The Managing Members of KVA are Caley Castelein, Richard Spalding and James Shapiro. None of the Managing Members of KVA has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0000899243-17-008160 · doc4.xml · nonDerivative · entry 1

PETERS KEVIN G. · CIK 0001700663 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,536

SEC source: 0000899243-17-008156 · doc4.xml · nonDerivative · entry 1

Gardner Joseph H. · CIK 0001700816 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 593,019

SEC source: 0000899243-17-008151 · doc4.xml · nonDerivative · entry 1

WEISS PAUL M · CIK 0001217588 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,576,167

F1 · ownership.nature: The shares are held by Venture Investors Early Stage Fund IV Limited Partnership, a Delaware limited partnership. Its general partner, VIESF IV GP LLC, has sole voting and investment control over the shares owned by Venture Investors Early State Fund IV Limited Partnership. The members of VIESF IV GP LLC, John Neis, Paul M. Weiss, Scott Button, George Arida, James R. Adox, Loren G. Peterson and Venture Investors Southwest LLC (of which Roger H. Ganser is the sole member), have sole voting and investment power for VIESF IV GP LLC with respect to its voting power in its capacity as General Partner for the shares held by Venture Investors Early Stage Fund IV Limited Partnership.

F2 · ownership.nature: (Continued from footnote 1) None of the members of VIESF IV GP LLC has individual voting or investment power with respect to the shares and each disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein Venture Investors LLC is the fund manager for Venture Investors Early Stage Fund IV Limited Partnership.