MITCHELL DEAN J

SEC source: 0001199297-26-000006 · form4-09252026_120934.xml · derivative · entry 11

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 13,398 shares

Expires 2036-06-11

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

SEC source: 0001199297-26-000006 · form4-09252026_120934.xml · derivative · entry 10

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 24,258 shares

Expires 2035-05-18

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

SEC source: 0001199297-26-000006 · form4-09252026_120934.xml · derivative · entry 9

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 23,576 shares

Expires 2034-05-07

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

SEC source: 0001199297-26-000006 · form4-09252026_120934.xml · derivative · entry 8

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 22,044 shares

Expires 2033-05-01

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

SEC source: 0001199297-26-000006 · form4-09252026_120934.xml · derivative · entry 7

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 28,000 shares

Expires 2032-04-25

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

SEC source: 0001199297-26-000006 · form4-09252026_120934.xml · derivative · entry 6

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 6,000 shares

Expires 2031-04-26

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

SEC source: 0001199297-26-000006 · form4-09252026_120934.xml · derivative · entry 5

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 6,000 shares

Expires 2030-04-27

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

SEC source: 0001199297-26-000006 · form4-09252026_120934.xml · derivative · entry 4

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 6,000 shares

Expires 2029-04-29

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

SEC source: 0001199297-26-000006 · form4-09252026_120934.xml · derivative · entry 3

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 6,000 shares

Expires 2028-04-30

F3 · price: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

F3 · derivative.exercise_date: At the Effective Time, each option to purchase Ordinary Shares outstanding and unexercised as of immediately prior to the Effective Time, whether vested or unvested (a "Company Option"), was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess, if any, of the Per Share Cash Consideration over the exercise price of such Company Option, multiplied by (ii) the number of Ordinary Shares underlying such Company Option plus (iii) one CVR for each Ordinary Share underlying such Company Option. However, any Company Option that has an exercise price per Ordinary Share that is greater than or equal to the Per Share Cash Consideration was cancelled and ceased to exist and the holder of any such Company Option was not entitled to payment of any consideration therefor.

SEC source: 0001199297-26-000006 · form4-09252026_120934.xml · nonDerivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · price: At the Effective Time, pursuant to the Merger Agreement, each award of restricted stock units of the Issuer (a "Company RSU Award") that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the Per Share Cash Consideration multiplied by (ii) the number of Ordinary Shares underlying such Company RSU Award (subject to any required tax withholdings as provided in the Merger Agreement) plus (iii) one CVR for each Ordinary Share underlying such Company RSU Award.

SEC source: 0001199297-26-000006 · form4-09252026_120934.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,009

F1 · price: On September 23, 2026, pursuant to that certain Agreement and Plan of Merger (the "Merger Agreement"), dated June 28, 2026, by and among the Issuer, Zymeworks Inc. ("Parent"), and Zymeworks Merger Sub 1, a wholly owned subsidiary of Parent, the Issuer became a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger (the "Effective Time"), pursuant to the Merger Agreement, each ordinary share, par value $0.00001 per share, of the Issuer ("Ordinary Share") held by the reporting person as of immediately prior to the Effective Time was cancelled and converted into the right to receive (i) $17.00 in cash, without interest (the "Per Share Cash Consideration") and (ii) one contingent value right (a "CVR"). Each CVR represents a non-tradeable contractual contingent right to receive cash payments based on the achievement of certain commercial milestones following the Effective Time.

SEC source: 0001199297-26-000003 · form4-06172026_010636.xml · derivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,398

Underlying: Ordinary Shares · 13,398 shares

Expires 2036-06-11

F1 · derivative.exercise_date: This option may be exercised and shall be vested as to 1/12th of the shares subject to this option when optionee completes each continuous month of service following the grant date and any then remaining unvested shares shall vest on the date of the next annual meeting of the company's shareholders provided the optionee remains in continuous service on such date.

SEC source: 0001199297-26-000003 · form4-06172026_010636.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,213

SEC source: 0001689548-26-000059 · wk-form4_1781299435.xml · derivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 648

Underlying: Common Stock · 648 shares

Expires 2036-06-10

F2 · derivative.exercise_date: The shares subject to this option shall vest in twelve (12) equal monthly installments occurring on the 10th day of each month, with the first such installment occurring on July 10, 2026 and the final such installment occurring on the earlier of (i) June 10, 2027 or (ii) the date of the Issuer's 2027 annual meeting of stockholders.

SEC source: 0001689548-26-000059 · wk-form4_1781299435.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,622

F1 · kind: Mr. Mitchell was awarded 1,371 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The restricted stock units vest in a single annual installment on the earlier of (i) June 10, 2027 or (ii) the date of the Issuer's 2027 annual meeting of stockholders. The restricted stock units may be settled only by delivering shares of the Issuer's common stock, and thus, the grant is being reported in Table 1 as allowed per SEC guidance.

SEC source: 0001689548-25-000096 · wk-form4_1758832845.xml · derivative · entry 6

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,767

Underlying: Common Stock · 1,753 shares

Expires 2035-06-26

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_date: The shares subject to this option vest in twelve (12) equal monthly installments over one (1) year commencing on June 26, 2025.

SEC source: 0001689548-25-000096 · wk-form4_1758832845.xml · derivative · entry 5

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,566 shares

Expires 2034-06-05

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_date: This option was fully vested as of June 5, 2025.

SEC source: 0001689548-25-000096 · wk-form4_1758832845.xml · derivative · entry 4

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,932 shares

Expires 2033-06-12

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_date: This option was fully vested as of June 12, 2024.

SEC source: 0001689548-25-000096 · wk-form4_1758832845.xml · nonDerivative · entry 3

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,251

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.

SEC source: 0001689548-25-000096 · wk-form4_1758832845.xml · nonDerivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,498

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.

SEC source: 0001689548-25-000096 · wk-form4_1758832845.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,932

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.

SEC source: 0001689548-25-000081 · wk-form4_1751057725.xml · derivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,520

Underlying: Common Stock · 10,520 shares

Expires 2035-06-26

F1 · derivative.exercise_date: The shares subject to this option shall vest in twelve (12) equal monthly installments over one (1) year commencing on June 26, 2025.

SEC source: 0001415889-25-014015 · form4-05212025_110547.xml · derivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,258

Underlying: Ordinary Shares · 24,258 shares

Expires 2035-05-18

F1 · derivative.exercise_date: This option may be exercised and shall be vested as to 1/12th of the shares subject to this option when optionee completes each continuous month of service following the grant date and any then remaining unvested shares shall vest on the date of the next annual meeting of the company's shareholders provided the optionee remains in continuous service on such date.

SEC source: 0001415889-25-014015 · form4-05212025_110547.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,204

SEC source: 0001689548-24-000078 · wk-form4_1717714567.xml · derivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,566

Underlying: Common Stock · 8,566 shares

Expires 2034-06-05

F1 · derivative.exercise_date: The shares subject to this option shall vest in twelve (12) equal monthly installments over one (1) year commencing on June 5, 2024.

SEC source: 0001415889-24-012915 · form4-05102024_100546.xml · derivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,576

Underlying: Ordinary Shares · 23,576 shares

Expires 2034-05-07

F1 · derivative.exercise_date: This option may be exercised and shall be vested as to 1/12th of the shares subject to this option when optionee completes each continuous month of service following the grant date and any then remaining unvested shares shall vest on the date of the next annual meeting of the company's shareholders provided the optionee remains in continuous service on such date.

SEC source: 0001415889-24-012915 · form4-05102024_100546.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,555

SEC source: 0001415889-24-010432 · form4-04052024_040425.xml · derivative · entry 4

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2033-06-12

F1 · price: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

F1 · derivative.exercise_date: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

SEC source: 0001415889-24-010432 · form4-04052024_040425.xml · derivative · entry 3

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,250 shares

Expires 2032-06-13

F1 · price: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

F1 · derivative.exercise_date: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

SEC source: 0001415889-24-010432 · form4-04052024_040425.xml · derivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,250 shares

Expires 2031-06-11

F1 · price: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

F1 · derivative.exercise_date: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

SEC source: 0001415889-24-010432 · form4-04052024_040425.xml · derivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 121,503 shares

Expires 2030-08-18

F1 · price: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

F1 · derivative.exercise_date: This option was cancelled pursuant to that certain Agreement and Plan of Merger, dated February 16, 2024, by and between the Issuer, XOMA Corporation and XRA 1 Corp. (the "Merger Agreement") in exchange for one non-transferable contingent value right ("CVR") for each share underlying such out-of-the-money option. However, please note that such CVRs will provide payment only after the amounts payable under such CVRs exceed a threshold equal to the excess of the per share exercise price of such out-of-the-money option over the Cash Amount.

SEC source: 0000950103-24-003951 · dp208510_4-mitchell.xml · derivative · entry 3

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,626

Underlying: Common Stock · 101,626 shares

Expires 2034-03-14

SEC source: 0000950103-24-003951 · dp208510_4-mitchell.xml · derivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,412

Underlying: Common Stock · 87,412 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

F3 · derivative.exercise_date: The RSUs vest in full on March 14, 2025.

F3 · derivative.expiration_date: The RSUs vest in full on March 14, 2025.

SEC source: 0000950103-24-003951 · dp208510_4-mitchell.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 503,183

F1 · price: The shares were issued to the reporting person in lieu of an annual retainer of $56,499.

SEC source: 0000950103-24-003747 · dp208301_4-mitchell.xml · derivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 106,837 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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

F2 · derivative.exercise_date: The RSUs vested in full on March 9, 2024.

F2 · derivative.expiration_date: The RSUs vested in full on March 9, 2024.

SEC source: 0000950103-24-003747 · dp208301_4-mitchell.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 463,673

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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Precigen common stock.

SEC source: 0001104659-24-014721 · tm245865-16_4seq1.xml · derivative · entry 9

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,597 shares

Expires 2033-06-14

F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

SEC source: 0001104659-24-014721 · tm245865-16_4seq1.xml · derivative · entry 8

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 44,000 shares

Expires 2032-06-15

F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

SEC source: 0001104659-24-014721 · tm245865-16_4seq1.xml · derivative · entry 7

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 44,000 shares

Expires 2031-06-16

F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

SEC source: 0001104659-24-014721 · tm245865-16_4seq1.xml · derivative · entry 6

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,000 shares

Expires 2028-06-20

F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

SEC source: 0001104659-24-014721 · tm245865-16_4seq1.xml · derivative · entry 5

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2025-11-10

F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

SEC source: 0001104659-24-014721 · tm245865-16_4seq1.xml · derivative · entry 4

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2024-11-11

F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase shares of Common Stock ("Stock Option") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such Stock Option, an amount in cash (less any applicable withholding taxes) equal to (i) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of the Merger Consideration over the applicable exercise price per share of Common Stock under such Stock Option.

SEC source: 0001104659-24-014721 · tm245865-16_4seq1.xml · derivative · entry 3

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 142,667 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each deferred share unit ("DSU") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such DSU, an amount in cash (less any applicable withholding taxes) equal to (i) the number of shares of Common Stock subject to such DSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration.

F3 · kind: Pursuant to the Merger Agreement, at the Effective Time, each deferred share unit ("DSU") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such DSU, an amount in cash (less any applicable withholding taxes) equal to (i) the number of shares of Common Stock subject to such DSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration.

F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each deferred share unit ("DSU") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such DSU, an amount in cash (less any applicable withholding taxes) equal to (i) the number of shares of Common Stock subject to such DSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each deferred share unit ("DSU") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such DSU, an amount in cash (less any applicable withholding taxes) equal to (i) the number of shares of Common Stock subject to such DSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each deferred share unit ("DSU") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such DSU, an amount in cash (less any applicable withholding taxes) equal to (i) the number of shares of Common Stock subject to such DSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration.

SEC source: 0001104659-24-014721 · tm245865-16_4seq1.xml · derivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,090 shares

Expires not disclosed

F2 · derivative.exercise_price: Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit ("RSU") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such RSU, an amount in cash (less any applicable withholding taxes) equal to (i) the number of shares of Common Stock subject to such RSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration.

F2 · kind: Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit ("RSU") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such RSU, an amount in cash (less any applicable withholding taxes) equal to (i) the number of shares of Common Stock subject to such RSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration.

F2 · price: Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit ("RSU") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such RSU, an amount in cash (less any applicable withholding taxes) equal to (i) the number of shares of Common Stock subject to such RSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit ("RSU") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such RSU, an amount in cash (less any applicable withholding taxes) equal to (i) the number of shares of Common Stock subject to such RSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration.

F2 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit ("RSU") granted prior to the date of the Merger Agreement that was outstanding immediately prior to the Effective Time was canceled, and the Reporting Person was entitled to receive (without interest), in consideration of the cancellation of such RSU, an amount in cash (less any applicable withholding taxes) equal to (i) the number of shares of Common Stock subject to such RSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration.

SEC source: 0001104659-24-014721 · tm245865-16_4seq1.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated November 30, 2023, by and among the Issuer, AbbVie Inc., a Delaware corporation ("AbbVie"), Athene Subsidiary LLC, a Delaware limited liability company and wholly owned subsidiary of AbbVie ("Intermediate Sub"), and Athene Merger Sub Inc., a Massachusetts corporation and wholly owned subsidiary of Intermediate Sub ("Purchaser"), pursuant to which Purchaser merged with and into the Issuer with the Issuer continuing as the surviving corporation (the "Merger"). At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $.01 per share, of the Issuer (the "Common Stock"), that was issued and outstanding immediately prior to the Effective Time was converted into the right to receive an amount in cash equal to $31.26, without interest (the "Merger Consideration").

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated November 30, 2023, by and among the Issuer, AbbVie Inc., a Delaware corporation ("AbbVie"), Athene Subsidiary LLC, a Delaware limited liability company and wholly owned subsidiary of AbbVie ("Intermediate Sub"), and Athene Merger Sub Inc., a Massachusetts corporation and wholly owned subsidiary of Intermediate Sub ("Purchaser"), pursuant to which Purchaser merged with and into the Issuer with the Issuer continuing as the surviving corporation (the "Merger"). At the effective time of the Merger (the "Effective Time"), each share of common stock, par value $.01 per share, of the Issuer (the "Common Stock"), that was issued and outstanding immediately prior to the Effective Time was converted into the right to receive an amount in cash equal to $31.26, without interest (the "Merger Consideration").

SEC source: 0000950103-23-013963 · dp200416_4-mitchell.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 356,836

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.39 to $1.44, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnote (1) this Form 4.

SEC source: 0001415889-23-013580 · form4-09262023_080933.xml · derivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2023-11-12

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_date: This option was granted on 11/12/2013 and was exercisable as to 2,500 shares commencing on February 1, 2014, 2,500 shares commencing on May 1, 2014, 2,500 shares commencing on August 1, 2014, and 2,500 shares commencing on November 1, 2014.

SEC source: 0001415889-23-013580 · form4-09262023_080933.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 152,667

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.

SEC source: 0001415889-23-016755 · form4a-12202023_121207.xml · nonDerivative · entry 1

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,000

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 · balance_after: Due to clerical error, this amendment to Form 4 is being filed to correct the number of shares beneficially owned following the reported transaction.

SEC source: 0001415889-23-009949 · form4-06162023_080641.xml · derivative · entry 2

MITCHELL DEAN J · CIK 0001199297 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,597

Underlying: Common Stock · 19,597 shares

Expires 2033-06-14

F3 · derivative.exercise_price: The stock options were issued pursuant to the Issuer's Compensation Policy for Non-Employee Directors, as amended, and the 2018 Employee, Director and Consultant Equity Incentive Plan, as amended.

F4 · derivative.exercise_date: The stock options vest ratably on each of 9/1/23, 12/1/23, 3/1/24, and 6/1/24, contingent upon the individual remaining a director as of each vesting date.