ALDRICH RICHARD

SEC source: 0001209191-23-016159 · doc4.xml · derivative · entry 12

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,410 shares

Expires 2032-06-08

F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016159 · doc4.xml · derivative · entry 11

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,432 shares

Expires 2031-06-09

F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016159 · doc4.xml · derivative · entry 10

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,260 shares

Expires 2030-06-10

F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016159 · doc4.xml · derivative · entry 9

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2029-06-12

F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016159 · doc4.xml · derivative · entry 8

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,940 shares

Expires 2028-06-13

F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016159 · doc4.xml · derivative · entry 7

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2027-06-14

F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016159 · doc4.xml · derivative · entry 6

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2026-06-08

F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016159 · doc4.xml · derivative · entry 5

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2025-06-10

F6 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 7)

F7 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016159 · doc4.xml · nonDerivative · entry 4

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Little Eagles, LLC

Disclosed balance after: 0

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 19, 2023, by and among Concert Pharmaceuticals, Inc. (the "Issuer"), Sun Pharmaceutical Industries Ltd. ("Parent") and Foliage Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of March 6, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $8.00 in cash (the "Cash Amount"), plus one non-tradeable contingent value right (a "CVR," and together with the Cash Amount, the "Per Share Consideration"), which represents the right to receive contingent payments of up to $3.50 per Share, in cash, (continued in Footnote 2)

F2 · price: in the aggregate, upon the achievement of certain milestones (such applicable payment, each, a "Milestone Payment") prior to December 31, 2029, subject to any applicable withholding of taxes and without interest.

F5 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are the Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of the Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of the Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001209191-23-016159 · doc4.xml · nonDerivative · entry 3

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Richard H. Aldrich 2018 Revocable Trust

Disclosed balance after: 0

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 19, 2023, by and among Concert Pharmaceuticals, Inc. (the "Issuer"), Sun Pharmaceutical Industries Ltd. ("Parent") and Foliage Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of March 6, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $8.00 in cash (the "Cash Amount"), plus one non-tradeable contingent value right (a "CVR," and together with the Cash Amount, the "Per Share Consideration"), which represents the right to receive contingent payments of up to $3.50 per Share, in cash, (continued in Footnote 2)

F2 · price: in the aggregate, upon the achievement of certain milestones (such applicable payment, each, a "Milestone Payment") prior to December 31, 2029, subject to any applicable withholding of taxes and without interest.

F4 · ownership.nature: Shares held by the Richard H. Aldrich 2018 Revocable Trust. Mr. Aldrich is the sole trustee of the Richard H. Aldrich 2018 Revocable Trust. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001209191-23-016159 · doc4.xml · nonDerivative · entry 2

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · shares: This line item represents unvested time-based restricted stock units with respect to the Issuer's common stock ("RSUs") held by the Reporting Person. Pursuant to the terms of the Merger Agreement, at the Effective Time, each unvested RSU that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive, for each Share underlying such RSU, the Per Share Consideration, subject to withholding of applicable taxes and without interest.

F3 · price: This line item represents unvested time-based restricted stock units with respect to the Issuer's common stock ("RSUs") held by the Reporting Person. Pursuant to the terms of the Merger Agreement, at the Effective Time, each unvested RSU that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive, for each Share underlying such RSU, the Per Share Consideration, subject to withholding of applicable taxes and without interest.

SEC source: 0001209191-23-016159 · doc4.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 19, 2023, by and among Concert Pharmaceuticals, Inc. (the "Issuer"), Sun Pharmaceutical Industries Ltd. ("Parent") and Foliage Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of March 6, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $8.00 in cash (the "Cash Amount"), plus one non-tradeable contingent value right (a "CVR," and together with the Cash Amount, the "Per Share Consideration"), which represents the right to receive contingent payments of up to $3.50 per Share, in cash, (continued in Footnote 2)

F2 · price: in the aggregate, upon the achievement of certain milestones (such applicable payment, each, a "Milestone Payment") prior to December 31, 2029, subject to any applicable withholding of taxes and without interest.

SEC source: 0001209191-22-036282 · doc4.xml · derivative · entry 4

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,410

Underlying: Common Stock · 22,410 shares

Expires 2032-06-08

F5 · security: This option was granted based on Mr. Aldrich's election to receive his annual cash compensation in the form of a stock option.

F6 · derivative.exercise_date: The shares underlying this option vest in equal quarterly installments over a one-year period through June 9, 2023, provided that such option shall vest in full on the date that is one business day prior to the date of the Issuer's next annual meeting of stockholders (if earlier than June 9, 2023).

SEC source: 0001209191-22-036282 · doc4.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 358,500

F1 · shares: Represents a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. These RSUs vest in full on the earlier of (i) June 9, 2023 and (ii) the date that is one business day prior to the date of the Issuer's next annual meeting of stockholders. The amount listed represents the maximum number of shares of Common Stock of the Issuer that may be delivered pursuant to the grant.

F2 · price: Not applicable.

SEC source: 0001209191-22-034578 · doc4.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Richard H. Aldrich 2018 Revocable Trust

Disclosed balance after: 210,526

F1 · kind: These shares were purchased as part of an underwritten public offering of common stock by the Issuer.

F2 · ownership.nature: Shares held by the Richard H. Aldrich 2018 Revocable Trust. Mr. Aldrich is the sole trustee of the Richard H. Aldrich 2018 Revocable Trust. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001209191-21-039739 · doc4.xml · derivative · entry 4

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,182

Underlying: Common Stock · 30,182 shares

Expires 2031-06-09

F5 · security: This option was granted based on Mr. Aldrich's election to receive his annual cash compensation in the form of a stock option.

F4 · derivative.exercise_date: The shares underlying this option vest in equal quarterly installments over a one-year period through June 10, 2022, provided that such option shall vest in full on the date that is one business day prior to the date of the Issuer's next annual meeting of stockholders (if earlier than June 10, 2022).

SEC source: 0001209191-21-039739 · doc4.xml · derivative · entry 3

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,250

Underlying: Common Stock · 10,250 shares

Expires 2031-06-09

F4 · derivative.exercise_date: The shares underlying this option vest in equal quarterly installments over a one-year period through June 10, 2022, provided that such option shall vest in full on the date that is one business day prior to the date of the Issuer's next annual meeting of stockholders (if earlier than June 10, 2022).

SEC source: 0001209191-21-039739 · doc4.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342,100

F1 · shares: Represents a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. These RSUs vest in full on the earlier of (i) June 10, 2022 and (ii) the date that is one business day prior to the date of the Issuer's next annual meeting of stockholders. The amount listed represents the maximum number of shares of Common Stock of the Issuer that may be delivered pursuant to the grant.

F2 · price: Not applicable.

SEC source: 0001209191-20-036333 · doc4.xml · derivative · entry 2

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,260

Underlying: Common Stock · 13,260 shares

Expires 2030-06-10

F1 · derivative.exercise_date: The shares underlying this option vest in equal quarterly installments over a one-year period through June 11, 2021, provided that such option shall vest in full on the date that is one business day prior to the date of the Issuer's next annual meeting of stockholders (if earlier than June 11, 2021).

F2 · derivative.exercise_date: This option was granted to the director based on such director's election to receive annual cash compensation in the form of a stock option.

SEC source: 0001209191-20-036333 · doc4.xml · derivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-06-10

F1 · derivative.exercise_date: The shares underlying this option vest in equal quarterly installments over a one-year period through June 11, 2021, provided that such option shall vest in full on the date that is one business day prior to the date of the Issuer's next annual meeting of stockholders (if earlier than June 11, 2021).

SEC source: 0001209191-19-037570 · doc4.xml · derivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-06-12

F1 · derivative.exercise_date: The shares underlying this option vest in equal quarterly installments over a one-year period, through and including June 13, 2020.

SEC source: 0001209191-18-062104 · doc4.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,169

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of $10,625 of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

F2 · shares: Reflects the reverse stock split of Millendo common stock, effective as of December 7, 2018.

F1 · price: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of $10,625 of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

F2 · balance_after: Reflects the reverse stock split of Millendo common stock, effective as of December 7, 2018.

SEC source: 0001209191-18-058781 · doc4.xml · nonDerivative · entry 2

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 336,975

F2 · price: The range of prices for the transaction reported on this line was $11.625 to $12.00. The average price was $11.7817. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-058781 · doc4.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,975

F1 · price: The range of prices for the transaction reported on this line was $11.97 to $12.00. The average price was $11.9994. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001567619-18-003781 · doc1.xml · derivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 7,000 shares

Expires 2028-10-02

F1 · derivative.exercise_date: The option vests over a 12 month period: 1/12th on November 3, 2018, after which 1/12th of the total shares vest monthly, subject to continued service through each vesting date.

SEC source: 0001179110-18-011954 · edgar.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,220

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of $10,625 of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

F1 · price: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of $10,625 of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

SEC source: 0001179110-18-009532 · edgar.xml · derivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2028-07-04

F1 · derivative.exercise_date: The stock option will vest in twelve equal monthly installments at the end of each successive month following July 4, 2018.

SEC source: 0001179110-18-009346 · edgar.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,662

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of $10,625 of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

F1 · price: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of $10,625 of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

SEC source: 0000899243-18-017069 · doc4.xml · derivative · entry 2

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,940

Underlying: Common Stock · 5,940 shares

Expires 2028-06-13

F1 · derivative.exercise_date: The shares underlying this option vest in equal quarterly installments over a one-year period, through and including June 14, 2019.

F2 · derivative.exercise_date: These options were awarded to the director per such director's election to receive annual cash compensation in the form of stock options.

SEC source: 0000899243-18-017069 · doc4.xml · derivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-06-13

F1 · derivative.exercise_date: The shares underlying this option vest in equal quarterly installments over a one-year period, through and including June 14, 2019.

SEC source: 0001179110-18-005301 · edgar.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,953

F1 · kind: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of $10,625 of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

F1 · price: The shares reported on this Form 4 were issued to the Reporting Person, who elected to take shares in lieu of $10,625 of cash compensation for services as a director and committee member, pursuant to the Issuer's non-employee director compensation plan.

SEC source: 0001209191-18-006478 · doc4.xml · nonDerivative · entry 4

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.

SEC source: 0001209191-18-006478 · doc4.xml · nonDerivative · entry 3

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,946

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F5 · price: The range of prices for the transaction reported on this line was $21.25 to $21.33. The average weighted price was $21.29. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.

SEC source: 0001209191-18-006478 · doc4.xml · nonDerivative · entry 2

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,246

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F4 · price: The range of prices for the transaction reported on this line was $20.23 to $21.23. The average weighted price was $20.78. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.

SEC source: 0001209191-18-006478 · doc4.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,946

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F2 · price: The range of prices for the transaction reported on this line was $20.80 to $21.65. The average weighted price was $21.33. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.

SEC source: 0001209191-18-005919 · doc4.xml · nonDerivative · entry 4

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 11,946

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F7 · price: The range of prices for the transaction reported on this line was $20.75 to $21.68. The average weighted price was $21.36. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.

SEC source: 0001209191-18-005919 · doc4.xml · nonDerivative · entry 3

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 16,946

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F6 · price: The range of prices for the transaction reported on this line was $20.34 to $20.67. The average weighted price was $20.46. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.

SEC source: 0001209191-18-005919 · doc4.xml · nonDerivative · entry 2

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 44,351

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F4 · price: The range of prices for the transaction reported on this line was $20.03 to $20.40. The average weighted price was $20.22. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001209191-18-005919 · doc4.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 21,946

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F2 · price: The range of prices for the transaction reported on this line was $20.01 to $20.74. The average weighted price was $20.31. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.

SEC source: 0001209191-18-005145 · doc4.xml · nonDerivative · entry 6

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 47,405

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F8 · price: The range of prices for the transaction reported on this line was $19.61 to $20.00. The average weighted price was $19.83. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001209191-18-005145 · doc4.xml · nonDerivative · entry 5

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 26,946

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F8 · price: The range of prices for the transaction reported on this line was $19.61 to $20.00. The average weighted price was $19.83. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.

SEC source: 0001209191-18-005145 · doc4.xml · nonDerivative · entry 4

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 52,405

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F7 · price: The range of prices for the transaction reported on this line was $19.47 to $19.85. The average weighted price was $19.68. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001209191-18-005145 · doc4.xml · nonDerivative · entry 3

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 31,946

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F6 · price: The range of prices for the transaction reported on this line was $19.47 to $19.85. The average weighted price was $19.67. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.

SEC source: 0001209191-18-005145 · doc4.xml · nonDerivative · entry 2

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 57,405

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F4 · price: The range of prices for the transaction reported on this line was $19.37 to $19.84. The average weighted price was $19.54. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001209191-18-005145 · doc4.xml · nonDerivative · entry 1

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 36,946

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F2 · price: The range of prices for the transaction reported on this line was $19.41 to $19.82. The average weighted price was $19.55. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.

SEC source: 0001209191-18-004565 · doc4.xml · nonDerivative · entry 6

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 62,405

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F9 · price: The range of prices for the transaction reported on this line was $19.39 to $19.82. The average weighted price was $19.65. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001209191-18-004565 · doc4.xml · nonDerivative · entry 5

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 41,946

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F8 · price: The range of prices for the transaction reported on this line was $19.49 to $19.82. The average weighted price was $19.66. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.

SEC source: 0001209191-18-004565 · doc4.xml · nonDerivative · entry 4

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 67,405

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F7 · price: The range of prices for the transaction reported on this line was $19.16 to $19.76. The average weighted price was $19.43. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.

SEC source: 0001209191-18-004565 · doc4.xml · nonDerivative · entry 3

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 46,946

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F6 · price: The range of prices for the transaction reported on this line was $19.14 to $19.77. The average weighted price was $19.36. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Shares held by Little Bear Associates, Inc., formerly known as RA Capital Associates, Inc. Mr. Aldrich is the sole stockholder of Little Bear Associates, Inc.

SEC source: 0001209191-18-004565 · doc4.xml · nonDerivative · entry 2

ALDRICH RICHARD · CIK 0001185039 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 72,405

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the holder on December 13, 2017.

F4 · price: The range of prices for the transaction reported on this line was $19.00 to $19.14. The average weighted price was $19.03. The reporting person will provide, upon request by the SEC, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

F5 · ownership.nature: Shares held by Little Eagles, LLC. The owners of Little Eagles, LLC are Richard H. Aldrich Irrevocable Trust of 2011 and trusts established for the benefit of Mr. Aldrich's minor children. The trustees of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's spouse, Nichole A. Aldrich, and Mr. Aldrich's brother, Caleb F. Aldrich. The beneficiaries of Richard H. Aldrich Irrevocable Trust of 2011 are Mr. Aldrich's minor children. Mr. Aldrich disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein.