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X4 Pharmaceuticals, Inc

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5638
SEC CIK
0001501697
Parsed reports
328

Last 12 months

Inside the activity.

0 purchase rows · 5 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202601
Jun 202601
Jul 202600
Aug 202602
Sep 202600
Oct 202601

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
November 20, 2017 Filed Nov 20, 2017 17:28 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 6,806 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-026997 · doc4.xml · nonDerivative · entry 6

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 600,669

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.

F3 · price: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F7 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. The reporting person, a member of the investment committee of SVLSF V, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 17:28 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 322,102 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-026997 · doc4.xml · nonDerivative · entry 5

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 593,863

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.

F3 · price: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F6 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. The reporting person, a member of the investment committee of SVLSF V, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 17:28 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 5,219 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-026997 · doc4.xml · nonDerivative · entry 4

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 271,761

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 Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F7 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. The reporting person, a member of the investment committee of SVLSF V, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 17:28 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 247,010 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-026997 · doc4.xml · nonDerivative · entry 3

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 266,542

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 Series A-2 Convertible Preferred Stock converted into Common Stock on a 0.35785-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-2 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F6 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. The reporting person, a member of the investment committee of SVLSF V, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 17:28 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 404 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-026997 · doc4.xml · nonDerivative · entry 2

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 19,532

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 Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F7 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V Strategic Partners, L.P. ("SVLS V SPP"). SVLS V GP is the general partner of SVLS V SPP. The general partner of SVLS V GP is SVLSF V, LLC. The reporting person, a member of the investment committee of SVLSF V, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 17:28 UTC
Ross Michael JayDirector · 10% owner
ConversionCommon Stock 19,128 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-026997 · doc4.xml · nonDerivative · entry 1

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 19,128

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 Series A-1 Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A-1 Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F6 · ownership.nature: These shares are owned directly by SV Life Sciences Fund V, L.P. ("SVLS V LP"). SV Life Sciences Fund V (GP), LP ("SVLS V GP") is the general partner of SVLS V LP. The general partner of SVLS V GP is SVLSF V, LLC. The reporting person, a member of the investment committee of SVLSF V, LLC, may be deemed to share voting, dispositive and investment power over the shares held of record by SVLS V LP. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
November 20, 2017 Filed Nov 21, 2017 00:09 UTC ConversionSeries D Convertible Preferred Stock · Derivative 2,464,799 $0.00 $0.00
Disclosure

SEC source: 0000898432-17-001103 · form4.xml · derivative · entry 2

Bill & Melinda Gates Foundation · CIK 0001663801 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 722,179 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Upon closing of the issuer's initial public offering, the Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.29300-for-1 basis without payment of further consideration. There was no expiration date for the Series D Convertible Preferred Stock.

F1 · derivative.exercise_date: Upon closing of the issuer's initial public offering, the Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.29300-for-1 basis without payment of further consideration. There was no expiration date for the Series D Convertible Preferred Stock.

F1 · derivative.expiration_date: Upon closing of the issuer's initial public offering, the Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.29300-for-1 basis without payment of further consideration. There was no expiration date for the Series D Convertible Preferred Stock.

Read SEC document
November 20, 2017 Filed Nov 21, 2017 00:09 UTC ConversionCommon Stock 722,179 Not disclosed Not disclosed
Disclosure

SEC source: 0000898432-17-001103 · form4.xml · nonDerivative · entry 1

Bill & Melinda Gates Foundation · CIK 0001663801 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 722,179

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: Upon closing of the issuer's initial public offering, the Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.29300-for-1 basis without payment of further consideration. There was no expiration date for the Series D Convertible Preferred Stock.

F1 · price: Upon closing of the issuer's initial public offering, the Series D Convertible Preferred Stock converted automatically into Common Stock on a 0.29300-for-1 basis without payment of further consideration. There was no expiration date for the Series D Convertible Preferred Stock.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 23:15 UTC ConversionSeries D Convertible Preferred Stock · Derivative 952,497 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-027028 · doc4.xml · derivative · entry 7

NeoMed Innovation V L.P. · CIK 0001721884 · 10% owner

NeoMed Management (Jersey) Ltd · CIK 0001722665 · 10% owner

NeoMed Innovation V Ltd · CIK 0001722666 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 279,079 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F3 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F3 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F4 · ownership.direct: The reported securities are held of record by NeoMed Innovation V L.P. NeoMed Management (Jersey) Limited is the Investment Manager to NeoMed Innovation V L.P. NeoMed Innovation V Limited is the general partner of Neomed Innovation V L.P. By virtue of such relationships, NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited may be deemed to have voting and investment power with respect to the shares held by NeoMed Innovation V L.P. Each of NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited disclaims beneficial ownership of the shares held by NeoMed Innovation V L.P., except to the extent of its or his pecuniary interest therein, if any.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 23:15 UTC ConversionSeries C Convertible Preferred Stock · Derivative 84,040 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-027028 · doc4.xml · derivative · entry 6

NeoMed Innovation V L.P. · CIK 0001721884 · 10% owner

NeoMed Management (Jersey) Ltd · CIK 0001722665 · 10% owner

NeoMed Innovation V Ltd · CIK 0001722666 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 41,878 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F2 · derivative.exercise_date: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F2 · derivative.expiration_date: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F4 · ownership.direct: The reported securities are held of record by NeoMed Innovation V L.P. NeoMed Management (Jersey) Limited is the Investment Manager to NeoMed Innovation V L.P. NeoMed Innovation V Limited is the general partner of Neomed Innovation V L.P. By virtue of such relationships, NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited may be deemed to have voting and investment power with respect to the shares held by NeoMed Innovation V L.P. Each of NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited disclaims beneficial ownership of the shares held by NeoMed Innovation V L.P., except to the extent of its or his pecuniary interest therein, if any.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 23:15 UTC ConversionSeries B Convertible Preferred Stock · Derivative 552,487 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-027028 · doc4.xml · derivative · entry 5

NeoMed Innovation V L.P. · CIK 0001721884 · 10% owner

NeoMed Management (Jersey) Ltd · CIK 0001722665 · 10% owner

NeoMed Innovation V Ltd · CIK 0001722666 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 246,682 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F4 · ownership.direct: The reported securities are held of record by NeoMed Innovation V L.P. NeoMed Management (Jersey) Limited is the Investment Manager to NeoMed Innovation V L.P. NeoMed Innovation V Limited is the general partner of Neomed Innovation V L.P. By virtue of such relationships, NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited may be deemed to have voting and investment power with respect to the shares held by NeoMed Innovation V L.P. Each of NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited disclaims beneficial ownership of the shares held by NeoMed Innovation V L.P., except to the extent of its or his pecuniary interest therein, if any.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 23:15 UTC PurchaseCommon Stock 300,000 $10.00 $3,000,000.00
Disclosure

SEC source: 0000899243-17-027028 · doc4.xml · nonDerivative · entry 4

NeoMed Innovation V L.P. · CIK 0001721884 · 10% owner

NeoMed Management (Jersey) Ltd · CIK 0001722665 · 10% owner

NeoMed Innovation V Ltd · CIK 0001722666 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 867,639

F4 · ownership.direct: The reported securities are held of record by NeoMed Innovation V L.P. NeoMed Management (Jersey) Limited is the Investment Manager to NeoMed Innovation V L.P. NeoMed Innovation V Limited is the general partner of Neomed Innovation V L.P. By virtue of such relationships, NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited may be deemed to have voting and investment power with respect to the shares held by NeoMed Innovation V L.P. Each of NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited disclaims beneficial ownership of the shares held by NeoMed Innovation V L.P., except to the extent of its or his pecuniary interest therein, if any.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 23:15 UTC ConversionCommon Stock 279,079 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-027028 · doc4.xml · nonDerivative · entry 3

NeoMed Innovation V L.P. · CIK 0001721884 · 10% owner

NeoMed Management (Jersey) Ltd · CIK 0001722665 · 10% owner

NeoMed Innovation V Ltd · CIK 0001722666 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567,639

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.

F3 · price: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F4 · ownership.direct: The reported securities are held of record by NeoMed Innovation V L.P. NeoMed Management (Jersey) Limited is the Investment Manager to NeoMed Innovation V L.P. NeoMed Innovation V Limited is the general partner of Neomed Innovation V L.P. By virtue of such relationships, NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited may be deemed to have voting and investment power with respect to the shares held by NeoMed Innovation V L.P. Each of NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited disclaims beneficial ownership of the shares held by NeoMed Innovation V L.P., except to the extent of its or his pecuniary interest therein, if any.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 23:15 UTC ConversionCommon Stock 41,878 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-027028 · doc4.xml · nonDerivative · entry 2

NeoMed Innovation V L.P. · CIK 0001721884 · 10% owner

NeoMed Management (Jersey) Ltd · CIK 0001722665 · 10% owner

NeoMed Innovation V Ltd · CIK 0001722666 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,560

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 Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F4 · ownership.direct: The reported securities are held of record by NeoMed Innovation V L.P. NeoMed Management (Jersey) Limited is the Investment Manager to NeoMed Innovation V L.P. NeoMed Innovation V Limited is the general partner of Neomed Innovation V L.P. By virtue of such relationships, NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited may be deemed to have voting and investment power with respect to the shares held by NeoMed Innovation V L.P. Each of NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited disclaims beneficial ownership of the shares held by NeoMed Innovation V L.P., except to the extent of its or his pecuniary interest therein, if any.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 23:15 UTC ConversionCommon Stock 246,682 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-027028 · doc4.xml · nonDerivative · entry 1

NeoMed Innovation V L.P. · CIK 0001721884 · 10% owner

NeoMed Management (Jersey) Ltd · CIK 0001722665 · 10% owner

NeoMed Innovation V Ltd · CIK 0001722666 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,682

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 Series B Convertible Preferred Stock converted into Common Stock on a 0.44650-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F4 · ownership.direct: The reported securities are held of record by NeoMed Innovation V L.P. NeoMed Management (Jersey) Limited is the Investment Manager to NeoMed Innovation V L.P. NeoMed Innovation V Limited is the general partner of Neomed Innovation V L.P. By virtue of such relationships, NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited may be deemed to have voting and investment power with respect to the shares held by NeoMed Innovation V L.P. Each of NeoMed Management (Jersey) Limited and NeoMed Innovation V Limited disclaims beneficial ownership of the shares held by NeoMed Innovation V L.P., except to the extent of its or his pecuniary interest therein, if any.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 22:42 UTC ConversionSeries D Convertible Preferred Stock · Derivative 336,393 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-027015 · doc4.xml · derivative · entry 4

Anna-Maria & Stephen Kellen Foundation, Inc. · CIK 0001722602 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 98,562 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F2 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F2 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 22:42 UTC ConversionSeries C Convertible Preferred Stock · Derivative 51,813 $0.00 $0.00
Disclosure

SEC source: 0000899243-17-027015 · doc4.xml · derivative · entry 3

Anna-Maria & Stephen Kellen Foundation, Inc. · CIK 0001722602 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,819 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 22:42 UTC ConversionCommon Stock 98,562 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-027015 · doc4.xml · nonDerivative · entry 2

Anna-Maria & Stephen Kellen Foundation, Inc. · CIK 0001722602 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,381

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 Series D Convertible Preferred Stock converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

Read SEC document
November 20, 2017 Filed Nov 20, 2017 22:42 UTC ConversionCommon Stock 25,819 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-027015 · doc4.xml · nonDerivative · entry 1

Anna-Maria & Stephen Kellen Foundation, Inc. · CIK 0001722602 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,819

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 Series C Convertible Preferred Stock converted into Common Stock on a 0.49832-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

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November 20, 2017 Filed Nov 20, 2017 17:43 UTC
GV 2016, L.P.10% owner
Alphabet Inc.10% owner
ConversionSeries D Convertible Preferred Stock · Derivative 1,540,499 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-027017 · doc4.xml · derivative · entry 2

GV 2016 GP, L.L.C. · CIK 0001722201 · 10% owner

GV 2016 GP, L.P. · CIK 0001722204 · 10% owner

GV 2016, L.P. · CIK 0001721789 · 10% owner

Alphabet Inc. · CIK 0001652044 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By GV 2016, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 451,362 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The shares of Series D Convertible Preferred Stock beneficially owned by the Reporting Persons converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F1 · price: The shares of Series D Convertible Preferred Stock beneficially owned by the Reporting Persons converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: The shares of Series D Convertible Preferred Stock beneficially owned by the Reporting Persons converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: The shares of Series D Convertible Preferred Stock beneficially owned by the Reporting Persons converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: The reported securities are directly held by GV 2016, L.P. GV 2016 GP, L.P., the general partner of GV 2016, L.P., GV 2016 GP, L.L.C., the general partner of GV 2016 GP, L.P., Alphabet Holdings LLC, the sole member of GV 2016 GP, L.L.C., XXVI Holdings Inc., the managing member of Alphabet Holdings LLC, and Alphabet Inc., the sole stockholder of XXVI Holdings Inc., may each be deemed to have sole power to vote or dispose of these shares. Each of GV 2016 GP, L.P., GV 2016 GP, L.L.C., Alphabet Holdings LLC, XXVI Holdings Inc. and Alphabet Inc. disclaim beneficial ownership of the shares except to the extent of any pecuniary interest therein.

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November 20, 2017 Filed Nov 20, 2017 17:43 UTC
GV 2016, L.P.10% owner
Alphabet Inc.10% owner
ConversionCommon Stock 451,362 Not disclosed Not disclosed
Disclosure

SEC source: 0000899243-17-027017 · doc4.xml · nonDerivative · entry 1

GV 2016 GP, L.L.C. · CIK 0001722201 · 10% owner

GV 2016 GP, L.P. · CIK 0001722204 · 10% owner

GV 2016, L.P. · CIK 0001721789 · 10% owner

Alphabet Inc. · CIK 0001652044 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By GV 2016, L.P.

Disclosed balance after: 451,362

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 shares of Series D Convertible Preferred Stock beneficially owned by the Reporting Persons converted into Common Stock on a 0.29300-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D Convertible Preferred Stock was convertible at any time at the holder's election and automatically upon the closing at the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: The reported securities are directly held by GV 2016, L.P. GV 2016 GP, L.P., the general partner of GV 2016, L.P., GV 2016 GP, L.L.C., the general partner of GV 2016 GP, L.P., Alphabet Holdings LLC, the sole member of GV 2016 GP, L.L.C., XXVI Holdings Inc., the managing member of Alphabet Holdings LLC, and Alphabet Inc., the sole stockholder of XXVI Holdings Inc., may each be deemed to have sole power to vote or dispose of these shares. Each of GV 2016 GP, L.P., GV 2016 GP, L.L.C., Alphabet Holdings LLC, XXVI Holdings Inc. and Alphabet Inc. disclaim beneficial ownership of the shares except to the extent of any pecuniary interest therein.

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November 15, 2017 Filed Nov 20, 2017 15:01 UTC ConversionSeries D convertible preferred stock · Derivative 770,249 Not disclosed Not disclosed
Disclosure

SEC source: 0001722024-17-000004 · wf-form4_151119004239433.xml · derivative · entry 2

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 225,680 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Preferred shares are convertible at a ratio of 3.413 shares of preferred stock to 1 share of common stock

F1 · price: Preferred shares are convertible at a ratio of 3.413 shares of preferred stock to 1 share of common stock

F2 · derivative.expiration_date: Not applicable

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November 15, 2017 Filed Nov 20, 2017 15:01 UTC ConversionCommon stock 225,680 Not disclosed Not disclosed
Disclosure

SEC source: 0001722024-17-000004 · wf-form4_151119004239433.xml · nonDerivative · entry 1

Alexandria Venture Investments, LLC · CIK 0001722024 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,680

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: Preferred shares are convertible at a ratio of 3.413 shares of preferred stock to 1 share of common stock

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November 15, 2017 Filed Dec 1, 2017 22:22 UTC
MCGUIRE TERRANCEDirector · 10% owner
GrantStock Option (right to buy) · Derivative 7,324 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000899243-17-027829 · doc4.xml · derivative · entry 1

MCGUIRE TERRANCE · CIK 0001117003 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,324

Underlying: Common Stock · 7,324 shares

Expires 2027-11-14

F1 · security: Consists of an automatic stock option grant that was made on November 15, 2017, the date of the effectiveness of the registration statement for the issuer's initial public offering, under the issuer's director compensation program.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Dec 1, 2017 17:19 UTC GrantStock Option (right to buy) · Derivative 7,324 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000899243-17-027823 · doc4.xml · derivative · entry 1

Nessi Claudio · CIK 0001722050 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,324

Underlying: Common Stock · 7,324 shares

Expires 2027-11-14

F1 · security: Consists of an automatic stock option grant that was made on November 15, 2017, the date of the effectiveness of the registration statement for the issuer's initial public offering, under the issuer's director compensation program.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Dec 1, 2017 17:24 UTC GrantStock Option (right to buy) · Derivative 7,324 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000899243-17-027831 · doc4.xml · derivative · entry 1

Gerngross Tillman U. · CIK 0001722061 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,324

Underlying: Common Stock · 7,324 shares

Expires 2027-11-14

F1 · security: Consists of an automatic stock option grant that was made on November 15, 2017, the date of the effectiveness of the registration statement for the issuer's initial public offering, under the issuer's director compensation program.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Dec 1, 2017 22:18 UTC GrantStock Option (right to buy) · Derivative 7,324 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000899243-17-027822 · doc4.xml · derivative · entry 1

SCHULMAN AMY W · CIK 0001438226 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,324

Underlying: Common Stock · 7,324 shares

Expires 2027-11-14

F1 · security: Consists of an automatic stock option grant that was made on November 15, 2017, the date of the effectiveness of the registration statement for the issuer's initial public offering, under the issuer's director compensation program.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Dec 1, 2017 22:22 UTC
GORDON CARL LDirector · 10% owner
GrantStock Option (right to buy) · Derivative 7,324 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000899243-17-027830 · doc4.xml · derivative · entry 1

GORDON CARL L · CIK 0001282930 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,324

Underlying: Common Stock · 7,324 shares

Expires 2027-11-14

F1 · security: Consists of an automatic stock option grant that was made on November 15, 2017, the date of the effectiveness of the registration statement for the issuer's initial public offering, under the issuer's director compensation program.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Dec 1, 2017 22:15 UTC GrantStock Option (right to buy) · Derivative 7,324 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000899243-17-027819 · doc4.xml · derivative · entry 1

MCGIRR DAVID W J · CIK 0001219023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,324

Underlying: Common Stock · 7,324 shares

Expires 2027-11-14

F1 · security: Consists of an automatic stock option grant that was made on November 15, 2017, the date of the effectiveness of the registration statement for the issuer's initial public offering, under the issuer's director compensation program.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Dec 1, 2017 17:19 UTC
Ross Michael JayDirector · 10% owner
GrantStock Option (right to buy) · Derivative 7,324 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000899243-17-027824 · doc4.xml · derivative · entry 1

Ross Michael Jay · CIK 0001254452 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,324

Underlying: Common Stock · 7,324 shares

Expires 2027-11-14

F1 · security: Consists of an automatic stock option grant that was made on November 15, 2017, the date of the effectiveness of the registration statement for the issuer's initial public offering, under the issuer's director compensation program.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Dec 1, 2017 22:26 UTC GrantStock Option (right to buy) · Derivative 7,324 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0000899243-17-027832 · doc4.xml · derivative · entry 1

Clark William D · CIK 0001355415 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,324

Underlying: Common Stock · 7,324 shares

Expires 2027-11-14

F1 · security: Consists of an automatic stock option grant that was made on November 15, 2017, the date of the effectiveness of the registration statement for the issuer's initial public offering, under the issuer's director compensation program.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Mar 5, 2018 17:01 UTC Amendment GrantCommon Stock (right to buy) · Derivative 25,000 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001209191-18-016583 · doc4a.xml · derivative · entry 1

Nessi Claudio · CIK 0001722050 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-11-14

F1 · shares: Consists of an automatic stock option grant that was made pursuant to the issuer's director compensation policy on November 15, 2017, the date of effectiveness of the registration statement for the issuer's initial public offering. Under the terms of the policy, the Reporting Person received an option to purchase 25,000 shares. Due to a clerical error, the original Form 4 filed on December 1, 2017 erroneously reported an option grant of 7,324 shares. This Amendment to Form 4 is filed solely to correct the share number.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Mar 5, 2018 16:59 UTC Amendment GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001209191-18-016569 · doc4a.xml · derivative · entry 1

Gerngross Tillman U. · CIK 0001722061 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-11-14

F1 · shares: Consists of an automatic stock option grant that was made pursuant to the issuer's director compensation policy on November 15, 2017, the date of effectiveness of the registration statement for the issuer's initial public offering. Under the terms of the policy, the Reporting Person received an option to purchase 25,000 shares. Due to a clerical error, the original Form 4 filed on December 1, 2017 erroneously reported an option grant of 7,324 shares. This Amendment to Form 4 is filed solely to correct the share number.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

Read SEC document
November 15, 2017 Filed Mar 5, 2018 22:03 UTC Amendment GrantCommon Stock (right to buy) · Derivative 25,000 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001209191-18-016591 · doc4a.xml · derivative · entry 1

SCHULMAN AMY W · CIK 0001438226 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-11-14

F1 · shares: Consists of an automatic stock option grant that was made pursuant to the issuer's director compensation policy on November 15, 2017, the date of effectiveness of the registration statement for the issuer's initial public offering. Under the terms of the policy, the Reporting Person received an option to purchase 25,000 shares. Due to a clerical error, the original Form 4 filed on December 1, 2017 erroneously reported an option grant of 7,324 shares. This Amendment to Form 4 is filed solely to correct the share number.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Mar 5, 2018 21:57 UTC Amendment GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001209191-18-016565 · doc4a.xml · derivative · entry 1

GORDON CARL L · CIK 0001282930 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-11-14

F1 · shares: Consists of an automatic stock option grant that was made pursuant to the issuer's director compensation policy on November 15, 2017, the date of effectiveness of the registration statement for the issuer's initial public offering. Under the terms of the policy, the Reporting Person received an option to purchase 25,000 shares. Due to a clerical error, the original Form 4 filed on December 1, 2017 erroneously reported an option grant of 7,324 shares. This Amendment to Form 4 is filed solely to correct the share number.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Mar 5, 2018 21:59 UTC Amendment GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001209191-18-016571 · doc4a.xml · derivative · entry 1

MCGIRR DAVID W J · CIK 0001219023 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-11-14

F1 · shares: Consists of an automatic stock option grant that was made pursuant to the issuer's director compensation policy on November 15, 2017, the date of effectiveness of the registration statement for the issuer's initial public offering. Under the terms of the policy, the Reporting Person received an option to purchase 25,000 shares. Due to a clerical error, the original Form 4 filed on December 1, 2017 erroneously reported an option grant of 7,324 shares. This Amendment to Form 4 is filed solely to correct the share number.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Mar 5, 2018 17:03 UTC Amendment GrantCommon Stock (right to buy) · Derivative 25,000 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001209191-18-016597 · doc4a.xml · derivative · entry 1

Ross Michael Jay · CIK 0001254452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-11-14

F1 · shares: Consists of an automatic stock option grant that was made pursuant to the issuer's director compensation policy on November 15, 2017, the date of effectiveness of the registration statement for the issuer's initial public offering. Under the terms of the policy, the Reporting Person received an option to purchase 25,000 shares. Due to a clerical error, the original Form 4 filed on December 1, 2017 erroneously reported an option grant of 7,324 shares. This Amendment to Form 4 is filed solely to correct the share number.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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November 15, 2017 Filed Mar 5, 2018 21:49 UTC Amendment GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001209191-18-016529 · doc4a.xml · derivative · entry 1

Clark William D · CIK 0001355415 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-11-14

F1 · shares: Consists of an automatic stock option grant that was made pursuant to the issuer's director compensation policy on November 15, 2017, the date of effectiveness of the registration statement for the issuer's initial public offering. Under the terms of the policy, the Reporting Person received an option to purchase 25,000 shares. Due to a clerical error, the original Form 4 filed on December 1, 2017 erroneously reported an option grant of 7,324 shares. This Amendment to Form 4 is filed solely to correct the share number.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

Read SEC document
November 15, 2017 Filed Mar 9, 2018 02:20 UTC Amendment GrantCommon Stock (right to buy) · Derivative 25,000 $0.00 Strike: $10.00 $0.00
Disclosure

SEC source: 0001209191-18-018379 · doc4a.xml · derivative · entry 1

MCGUIRE TERRANCE · CIK 0001117003 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-11-14

F1 · shares: Consists of an automatic stock option grant that was made pursuant to the issuer's director compensation policy on November 15, 2017, the date of effectiveness of the registration statement for the issuer's initial public offering. Under the terms of the policy, the Reporting Person received an option to purchase 25,000 shares. Due to a clerical error, the original Form 4 filed on December 1, 2017 erroneously reported an option grant of 7,324 shares. This Amendment to Form 4 is filed solely to correct the share number.

F2 · derivative.exercise_date: The option becomes exercisable as to 33.3333% of the shares underlying the award on the first anniversary of the date of grant, with the remainder vesting in equal monthly installments until the third anniversary of the date of grant, subject to the Reporting Person's continued service as a director through each applicable vesting date.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.