XENE

SEC source: 0001209191-21-034400 · doc4.xml · nonDerivative · entry 2

TARNOW MICHAEL M · CIK 0001263647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,798

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 · shares: No shares were sold by the Reporting Person in connection with the exercise and the common shares issued as a result of the exercise are subject to the terms of a lock-up agreement executed by the Reporting Person in favor of the underwriters of the Company's public offering in March 2021.

F2 · price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

SEC source: 0001209191-21-034400 · doc4.xml · nonDerivative · entry 1

TARNOW MICHAEL M · CIK 0001263647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,770

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 · shares: No shares were sold by the Reporting Person in connection with the exercise and the common shares issued as a result of the exercise are subject to the terms of a lock-up agreement executed by the Reporting Person in favor of the underwriters of the Company's public offering in March 2021.

F2 · price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

SEC source: 0001209191-21-038431 · doc4.xml · nonDerivative · entry 1

PATOU GARY · CIK 0001283535 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note

Disclosed balance after: 100

F1 · ownership.nature: Shares acquired by the reporting person's son sharing the reporting person's household on the date of acquisition. Subsequent to the acquisition of the reported shares, the reporting person's son no longer shares a household with the reporting person and the reporting person no longer has a reportable beneficial interest in such shares. Subsequent ownership reports filed by the reporting person will not report these shares.

SEC source: 0001209191-21-020478 · doc4.xml · derivative · entry 1

PIMSTONE SIMON N. · CIK 0001620084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,000

Underlying: Common Shares · 225,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: Vesting 25% on January 1, 2022 and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month.

SEC source: 0001209191-21-020484 · doc4.xml · derivative · entry 1

Von Seggern Christopher · CIK 0001821192 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Shares · 60,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: Vesting 25% on January 1, 2022 and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month.

SEC source: 0001209191-21-020481 · doc4.xml · derivative · entry 1

ROBIN SHERRINGTON · CIK 0001619962 · EVP, Strategy & Innovation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Shares · 65,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: Vesting 25% on January 1, 2022 and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month.

SEC source: 0001209191-21-020476 · doc4.xml · derivative · entry 1

MORTIMER IAN · CIK 0001619961 · PRESIDENT & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Shares · 100,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: Vesting 25% on January 1, 2022 and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month.

SEC source: 0001209191-21-020473 · doc4.xml · derivative · entry 1

EMPFIELD JAMES R. · CIK 0001665430 · EVP, Drug Discovery

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Shares · 65,000 shares

Expires 2031-03-11

F1 · derivative.exercise_date: Vesting 25% on January 1, 2022 and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month.

SEC source: 0001209191-21-012039 · doc4.xml · derivative · entry 7

Hayden Michael R · CIK 0001352908 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Genworks Inc.

Disclosed balance after: 0

Underlying: Common Shares · 30,864 shares

Expires 2022-12-31

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

F1 · derivative.exercise_price: The exercise price was converted from $2.67 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

F6 · derivative.exercise_date: 25% of the shares subject to the Option vested on the one year anniversary of January 1, 2013 (the "First 2013 Vesting Commencement Date") and thereafter 1/48th of the shares subject to the Option vest on each monthly anniversary of the First 2013 Vesting Commencement Date.

F3 · ownership.nature: Michael Hayden is the president and principal beneficial shareholder of Genworks Inc.

SEC source: 0001209191-21-012039 · doc4.xml · derivative · entry 6

Hayden Michael R · CIK 0001352908 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Genworks Inc.

Disclosed balance after: 0

Underlying: Common Shares · 10,288 shares

Expires 2021-12-31

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

F2 · derivative.exercise_price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

F5 · derivative.exercise_date: 25% of the shares subject to the Option vested on the one year anniversary of January 1, 2012 (the "2012 Vesting Commencement Date") and thereafter 1/48th of the shares subject to the Option vest on each monthly anniversary of the 2012 Vesting Commencement Date.

F3 · ownership.nature: Michael Hayden is the president and principal beneficial shareholder of Genworks Inc.

SEC source: 0001209191-21-012039 · doc4.xml · nonDerivative · entry 3

Hayden Michael R · CIK 0001352908 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Genworks Inc.

Disclosed balance after: 92,076

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

F1 · price: The exercise price was converted from $2.67 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

F3 · ownership.nature: Michael Hayden is the president and principal beneficial shareholder of Genworks Inc.

SEC source: 0001209191-21-012039 · doc4.xml · nonDerivative · entry 2

Hayden Michael R · CIK 0001352908 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Genworks Inc.

Disclosed balance after: 61,212

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 exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

F3 · ownership.nature: Michael Hayden is the president and principal beneficial shareholder of Genworks Inc.

SEC source: 0001209191-21-012039 · doc4.xml · derivative · entry 5

Hayden Michael R · CIK 0001352908 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 5,144 shares

Expires 2022-12-31

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

F1 · derivative.exercise_price: The exercise price was converted from $2.67 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

F4 · derivative.exercise_date: 1/3 of the shares subject to the Option vested on January 1, 2014 (the "Second 2013 Vesting Commencement Date") and thereafter the remaining 2/3 of the shares subject to the Option vest each monthly anniversary of the Second 2013 Vesting Commencement Date over the following 2 years.

SEC source: 0001209191-21-012039 · doc4.xml · nonDerivative · entry 1

Hayden Michael R · CIK 0001352908 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,706

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

F1 · price: The exercise price was converted from $2.67 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

SEC source: 0001209191-20-063494 · doc4.xml · derivative · entry 2

AZAB MOHAMMAD · CIK 0001309653 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 3,086 shares

Expires 2020-12-31

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

F1 · derivative.exercise_price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

F2 · derivative.exercise_date: The shares subject to the option fully vested on December 31, 2013. The date the options became fully vested was incorrectly reflected on the Reporting Person's Form 3.

SEC source: 0001209191-20-063494 · doc4.xml · nonDerivative · entry 1

AZAB MOHAMMAD · CIK 0001309653 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,733

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

F1 · price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

SEC source: 0001209191-20-057208 · doc4.xml · derivative · entry 1

Machado Patrick · CIK 0001311210 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Shares · 20,000 shares

Expires 2030-11-04

F1 · derivative.exercise_date: One-third of the total shares subject to the Option shall vest on the one year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the two year anniversary of the grant date, and one-third of the total shares subject to the Option shall vest on the three year anniversary of the grant date.

SEC source: 0001209191-20-056222 · doc4.xml · derivative · entry 3

PATOU GARY · CIK 0001283535 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 2,057 shares

Expires 2020-12-31

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

F1 · derivative.exercise_price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

F3 · derivative.exercise_date: The shares subject to the option fully vested on December 31, 2013. The date the options became fully vested was incorrectly reflected on the Reporting Person's Form 3.

SEC source: 0001209191-20-056222 · doc4.xml · nonDerivative · entry 1

PATOU GARY · CIK 0001283535 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,573

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

F1 · price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

SEC source: 0001209191-20-056229 · doc4.xml · derivative · entry 5

TARNOW MICHAEL M · CIK 0001263647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 5,144 shares

Expires 2020-12-31

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

F1 · derivative.exercise_price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

F3 · derivative.exercise_date: The shares subject to the option fully vested on December 31, 2013. The date the options became fully vested was incorrectly reflected on the Reporting Person's Form 3.

SEC source: 0001209191-20-056229 · doc4.xml · derivative · entry 4

TARNOW MICHAEL M · CIK 0001263647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 5,144 shares

Expires 2020-12-31

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

F1 · derivative.exercise_price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

F3 · derivative.exercise_date: The shares subject to the option fully vested on December 31, 2013. The date the options became fully vested was incorrectly reflected on the Reporting Person's Form 3.

SEC source: 0001209191-20-056229 · doc4.xml · nonDerivative · entry 3

TARNOW MICHAEL M · CIK 0001263647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,713

F2 · kind: The shares were gifted to family members that do not share the reporting person's household.

SEC source: 0001209191-20-056229 · doc4.xml · nonDerivative · entry 2

TARNOW MICHAEL M · CIK 0001263647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,001

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

F1 · price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

SEC source: 0001209191-20-056229 · doc4.xml · nonDerivative · entry 1

TARNOW MICHAEL M · CIK 0001263647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,857

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

F1 · price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

SEC source: 0001209191-20-048095 · doc4.xml · nonDerivative · entry 1

PIMSTONE SIMON N. · CIK 0001620084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,186

F1 · balance_after: Since the date of the reporting person's last ownership report, he transferred 45,000 common shares to his spouse pursuant to the terms of a settlement agreement dated August 20, 2020 and filed with the Supreme Court of British Columbia in Vancouver, British Columbia on August 21, 2020. The settlement agreement was entered into in connection with the anticipated dissolution of the reporting person's marriage. The reporting person no longer reports as beneficially owned any securities owned by his spouse.

SEC source: 0001209191-20-046974 · doc4.xml · derivative · entry 1

Von Seggern Christopher · CIK 0001821192 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Shares · 100,000 shares

Expires 2030-08-16

F1 · derivative.exercise_date: Vesting 25% on the one year anniversary of the grant date, and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month.

SEC source: 0001209191-20-035608 · doc4.xml · derivative · entry 2

TARNOW MICHAEL M · CIK 0001263647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 5,144 shares

Expires 2020-07-01

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 · derivative.exercise_price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

F2 · derivative.exercise_date: The shares subject to the option fully vested on June 30, 2013. The date the options became fully vested was incorrectly reflected on the Reporting Person's Form 3.

SEC source: 0001209191-20-035608 · doc4.xml · nonDerivative · entry 1

TARNOW MICHAEL M · CIK 0001263647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,713

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

F1 · price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

SEC source: 0001209191-20-033588 · doc4.xml · derivative · entry 4

HOLLER FRANK A · CIK 0000938801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Shares · 10,000 shares

Expires 2030-05-31

F5 · derivative.exercise_date: One-third of the total shares subject to the Option shall vest on the one year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the two year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the three year anniversary of the grant date.

SEC source: 0001209191-20-033605 · doc4.xml · derivative · entry 1

GANNON STEVEN · CIK 0001643085 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Shares · 10,000 shares

Expires 2030-05-31

F1 · derivative.exercise_date: One-third of the total shares subject to the Option shall vest on the one year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the two year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the three year anniversary of the grant date.

SEC source: 0001209191-20-033578 · doc4.xml · nonDerivative · entry 2

PIMSTONE SIMON N. · CIK 0001620084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,186

SEC source: 0001209191-20-033627 · doc4.xml · derivative · entry 1

Hayden Michael R · CIK 0001352908 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Shares · 10,000 shares

Expires 2030-05-31

F1 · derivative.exercise_date: One-third of the total shares subject to the Option shall vest on the one year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the two year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the three year anniversary of the grant date.

SEC source: 0001209191-20-033653 · doc4.xml · derivative · entry 1

PATOU GARY · CIK 0001283535 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Shares · 10,000 shares

Expires 2030-05-31

F1 · derivative.exercise_date: One-third of the total shares subject to the Option shall vest on the one year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the two year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the three year anniversary of the grant date.

SEC source: 0001209191-20-033643 · doc4.xml · derivative · entry 1

TARNOW MICHAEL M · CIK 0001263647 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Shares · 10,000 shares

Expires 2030-05-31

F1 · derivative.exercise_date: One-third of the total shares subject to the Option shall vest on the one year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the two year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the three year anniversary of the grant date.

SEC source: 0001209191-20-033593 · doc4.xml · derivative · entry 1

AZAB MOHAMMAD · CIK 0001309653 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Shares · 10,000 shares

Expires 2030-05-31

F1 · derivative.exercise_date: One-third of the total shares subject to the Option shall vest on the one year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the two year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the three year anniversary of the grant date.

SEC source: 0001209191-20-033639 · doc4.xml · derivative · entry 1

Svoronos Dawn · CIK 0001574579 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Shares · 10,000 shares

Expires 2030-05-31

F1 · derivative.exercise_date: One-third of the total shares subject to the Option shall vest on the one year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the two year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the three year anniversary of the grant date.

SEC source: 0001209191-20-033669 · doc4.xml · derivative · entry 3

ROBIN SHERRINGTON · CIK 0001619962 · EVP, Strategy & Innovation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 8,230 shares

Expires 2020-06-02

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

F1 · derivative.exercise_price: The exercise price was converted to U.S. dollars from $3.74 CAD using the closing rate of exchange on the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the day of exercise.

F3 · derivative.exercise_date: The shares subject to the option fully vested on December 31, 2013. The date the options became fully vested was incorrectly reflected on the Reporting Person's Form 3.

F4 · derivative.expiration_date: Expiration date differs from originally reported date due to an automatic extension provided by the option plan as a result of the original expiration date falling during a Company blackout period.

SEC source: 0001209191-20-033669 · doc4.xml · nonDerivative · entry 2

ROBIN SHERRINGTON · CIK 0001619962 · EVP, Strategy & Innovation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,796

F2 · price: Represents the closing price of the Company's common shares on May 29, 2020, which was converted to a Canadian dollar amount for purposes of net settlement calculations

SEC source: 0001209191-20-033669 · doc4.xml · nonDerivative · entry 1

ROBIN SHERRINGTON · CIK 0001619962 · EVP, Strategy & Innovation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,426

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

F1 · price: The exercise price was converted to U.S. dollars from $3.74 CAD using the closing rate of exchange on the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the day of exercise.

SEC source: 0001209191-20-033596 · doc4.xml · derivative · entry 1

Desjardins Clarissa · CIK 0001793390 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Shares · 10,000 shares

Expires 2030-05-31

F1 · derivative.exercise_date: One-third of the total shares subject to the Option shall vest on the one year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the two year anniversary of the grant date, one-third of the total shares subject to the Option shall vest on the three year anniversary of the grant date.

SEC source: 0001209191-20-033588 · doc4.xml · derivative · entry 3

HOLLER FRANK A · CIK 0000938801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 3,086 shares

Expires 2020-06-02

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

F1 · derivative.exercise_price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise

F3 · derivative.exercise_date: The shares subject to the option fully vested on December 31, 2012. The date the options became fully vested was incorrectly reflected on the Reporting Person's Form 3.

F4 · derivative.expiration_date: Expiration date differs from originally reported date due to an automatic extension provided by the option plan as a result of the original expiration date falling during a Company blackout period.

SEC source: 0001209191-20-033588 · doc4.xml · nonDerivative · entry 1

HOLLER FRANK A · CIK 0000938801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,041

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

F1 · price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise

SEC source: 0001209191-20-033578 · doc4.xml · nonDerivative · entry 1

PIMSTONE SIMON N. · CIK 0001620084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,186

F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $13.99 to $14.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein

SEC source: 0001209191-20-032628 · doc4.xml · derivative · entry 4

PIMSTONE SIMON N. · CIK 0001620084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 6,172 shares

Expires 2020-06-02

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

F1 · derivative.exercise_price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

F3 · derivative.exercise_date: The shares subject to the option fully vested on December 31, 2013. The date the options became fully vested was incorrectly reflected on the Reporting Person's Form 3.

SEC source: 0001209191-20-032628 · doc4.xml · nonDerivative · entry 2

PIMSTONE SIMON N. · CIK 0001620084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,186

F2 · price: Represents the closing price of the Company's common shares on May 22, 2020, which was converted to a Canadian dollar amount for purposes of net settlement calculations

SEC source: 0001209191-20-032628 · doc4.xml · nonDerivative · entry 1

PIMSTONE SIMON N. · CIK 0001620084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,294

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

F1 · price: The exercise price was converted from $3.74 CAD using the closing rate of exchange of the Bank of Canada on the date of grant. The actual exercise price is the Canadian dollar amount regardless of the exchange rate on the date of exercise.

SEC source: 0001209191-20-018958 · doc4.xml · derivative · entry 1

AYCARDI-FONSECA ERNESTO · CIK 0001734218 · CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Shares · 65,000 shares

Expires 2030-03-11

F1 · derivative.exercise_date: Vesting 25% on January 1, 2021 and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month.

SEC source: 0001209191-20-018941 · doc4.xml · derivative · entry 1

PIMSTONE SIMON N. · CIK 0001620084 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,000

Underlying: Common Shares · 280,000 shares

Expires 2030-03-11

F1 · derivative.exercise_date: Vesting 25% on January 1, 2021 and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month.

SEC source: 0001209191-20-018969 · doc4.xml · derivative · entry 1

EMPFIELD JAMES R. · CIK 0001665430 · SVP, Drug Discovery

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Shares · 65,000 shares

Expires 2030-03-11

F1 · derivative.exercise_date: Vesting 25% on January 1, 2021 and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month.

SEC source: 0001209191-20-018963 · doc4.xml · derivative · entry 1

ROBIN SHERRINGTON · CIK 0001619962 · EVP, Strategy & Innovation

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Shares · 65,000 shares

Expires 2030-03-11

F1 · derivative.exercise_date: Vesting 25% on January 1, 2021 and 75% vesting thereafter over the course of the next 3 years, in equal amounts, on the last day of each month.