Stewart Richard Alistair

SEC source: 0001193125-26-361182 · ownership.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 208,249

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.4536 to $8.52 per share, inclusive. The reporting person hereby 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 sold at each separate price within the range set forth in this footnote.

SEC source: 0001193125-26-324245 · ownership.xml · derivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,700

Underlying: Common Stock · 16,700 shares

Expires 2036-07-27

F2 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock at settlement.

F3 · derivative.exercise_date: Pursuant to the terms of the RSU, the shares underlying the RSU vest 100% on the earlier of July 27, 2027 or the date immediately prior to the Issuer's 2027 annual meeting of stockholders, subject to the Reporting Person's provision of service to the Issuer on the vesting date.

SEC source: 0001193125-26-324245 · ownership.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2036-07-27

F1 · derivative.exercise_date: The options vest 100% on the earlier of July 27, 2027 or the date immediately prior to the Issuer's 2027 annual meeting of stockholders, subject to the Reporting Person's provision of service to the Issuer on the vesting date.

SEC source: 0001193125-26-031782 · ownership.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 645,000

Underlying: Common Stock · 645,000 shares

Expires 2036-01-28

F1 · derivative.exercise_date: The option will vest as to 1/4 of the total award on the first anniversary of January 28, 2026, and thereafter in substantially equal monthly installments over 36 months, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001193125-25-211392 · ownership.xml · derivative · entry 6

Stewart Richard Alistair · CIK 0001713369 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 157,500 shares

Expires 2029-01-13

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.

F5 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F6 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones.

SEC source: 0001193125-25-211392 · ownership.xml · derivative · entry 5

Stewart Richard Alistair · CIK 0001713369 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 140,000 shares

Expires 2028-01-22

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.

F5 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F6 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones.

SEC source: 0001193125-25-211392 · ownership.xml · nonDerivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 228,875

F2 · shares: Represents shares of common stock that have been sold by the Reporting Person to satisfy income tax withholding and remittance obligations in connection with the net settlement of the PRSUs.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.83 to $3.02 per share, inclusive. The reporting person hereby 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 sold at each separate price within the range set forth in this footnote.

SEC source: 0001193125-25-211392 · ownership.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 358,376

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

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

SEC source: 0000950170-25-113598 · ownership.xml · derivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Chieve Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 157,500 shares

Expires 2029-01-13

F4 · security: Represent PRSUs previously reported on January 14, 2025 that were earned by the Reporting Person upon the achievement of certain performance criteria as certified by the Compensation Commmittee of the Issuer's Board of Directors.

F2 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F3 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones.

SEC source: 0000950170-25-113598 · ownership.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Chieve Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 140,000 shares

Expires 2028-01-22

F1 · security: Represent PRSUs previously reported on January 24, 2024 that were earned by the Reporting Person upon the achievement of certain performance criteria as certified by the Compensation Commmittee of the Issuer's Board of Directors.

F2 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F3 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones.

SEC source: 0000950170-25-042060 · ownership.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Chieve Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,876

F1 · balance_after: In January 2025, pursuant to an agreement between the Reporting Person and the Issuer, the Reporting Person relinquished the stock option to purchase 67,500 shares of the Issuer's common stock granted on January 13, 2025.

SEC source: 0000950170-25-005398 · ownership.xml · derivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Chieve Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,500

Underlying: Common Stock · 67,500 shares

Expires 2035-01-13

F3 · derivative.exercise_date: The option will vest as to 1/3 of the total award on the first anniversary of August 26, 2024, and thereafter in substantially equal monthly installments over 24 months, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0000950170-25-005398 · ownership.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Chieve Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 157,500

Underlying: Common Stock · 157,500 shares

Expires 2029-01-13

F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F2 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones being met. The PRSUs will lapse in full if achievement of at least one of the milestones is not met.

SEC source: 0000950170-24-046962 · ownership.xml · derivative · entry 3

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,500 shares

Expires 2026-01-03

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

F3 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F4 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.

SEC source: 0000950170-24-046962 · ownership.xml · nonDerivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,876

F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.

SEC source: 0000950170-24-046962 · ownership.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,001

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

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

SEC source: 0000950170-24-027261 · ownership.xml · derivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · derivative.expiration_date: The common shares reported on this Form 4 were purchased in a registered direct offering (the "RDO") at a price of $4.585, for an aggregate purchase price of $45,850 pursuant to a Securities Purchase Agreement (the "SPA") dated February 28, 2024. The SPA also provides for a concurrent private placement of warrants to purchase common shares (the "Private Placement Warrants") . The Private Placement Warrants are exercisable immediately upon issuance until the earlier of (x) three and one-half years after the date of issuance, and (y) 30 days following the Issuer's public disclosure of the acceptance of an NDA for cytisinicline by the FDA in a Day 74 Letter or equivalent correspondence.

SEC source: 0000950170-24-027261 · ownership.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,501

F1 · shares: The common shares reported on this Form 4 were purchased in a registered direct offering (the "RDO") at a price of $4.585, for an aggregate purchase price of $45,850 pursuant to a Securities Purchase Agreement (the "SPA") dated February 28, 2024. The SPA also provides for a concurrent private placement of warrants to purchase common shares (the "Private Placement Warrants") . The Private Placement Warrants are exercisable immediately upon issuance until the earlier of (x) three and one-half years after the date of issuance, and (y) 30 days following the Issuer's public disclosure of the acceptance of an NDA for cytisinicline by the FDA in a Day 74 Letter or equivalent correspondence.

SEC source: 0001209191-24-002196 · doc4.xml · derivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2034-01-22

F3 · derivative.exercise_date: The options vest one-third on the first anniversary of January 22, 2024 and thereafter in monthly installments over 24 months.

SEC source: 0001209191-24-002196 · doc4.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 140,000 shares

Expires 2028-01-22

F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F2 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the total number of shares underlying the PRSU vest on the achievement of one of certain milestones being met. The PRSUs will lapse in full if achievement of at least one of the milestones is not met.

SEC source: 0001209191-23-026318 · doc4.xml · derivative · entry 5

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2025-01-26

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.

F4 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F5 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.

SEC source: 0001209191-23-026318 · doc4.xml · nonDerivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,501

F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.

SEC source: 0001209191-23-026318 · doc4.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,751

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

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

SEC source: 0001209191-23-025383 · doc4.xml · derivative · entry 5

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2026-01-03

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.

F4 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F5 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.

SEC source: 0001209191-23-025383 · doc4.xml · nonDerivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,751

F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.

SEC source: 0001209191-23-025383 · doc4.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,876

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

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

SEC source: 0001209191-23-005288 · doc4.xml · derivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2033-01-25

F3 · derivative.exercise_date: The options vest one-third on the first anniversary of January 25, 2023 and thereafter in monthly installments over 24 months.

SEC source: 0001209191-23-005288 · doc4.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2025-12-31

F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F2 · derivative.exercise_date: Pursuant to the terms of the award agreement governing the PRSU, the number of underlying shares of the Issuers common stock that may ultimately vest range from 0% to 100% of the number of PRSUs initially granted, subject to certain milestones being met during the measurement period that begins on January 3, 2023 and ends on December 31, 2025.

SEC source: 0001209191-22-026287 · doc4.xml · derivative · entry 5

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2025-01-26

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.

F4 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F5 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone.

SEC source: 0001209191-22-026287 · doc4.xml · nonDerivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,376

F2 · shares: Represents shares of common stock that have been withheld by the issuer to satisfy the tax liability in connection with the settlement of PRSUs.

SEC source: 0001209191-22-026287 · doc4.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,626

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

F1 · shares: Represents shares of common stock acquired upon settlement of the performance restricted stock units ("PRSUs") listed in Table II.

SEC source: 0001209191-22-001695 · doc4.xml · derivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2032-01-03

F3 · derivative.exercise_date: The options vest one-third on the first anniversary of January 3, 2022 and thereafter in monthly installments over 24 months.

SEC source: 0001209191-22-001695 · doc4.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2026-01-03

F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F2 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone. The PRSUs will lapse in full if achievement of such milestone is not met.

SEC source: 0001209191-21-005887 · doc4.xml · derivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2031-01-26

F3 · derivative.exercise_date: The options vest 25% on the first anniversary of January 26, 2021 and thereafter in monthly installments over 36 months.

SEC source: 0001209191-21-005887 · doc4.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2025-01-26

F1 · derivative.exercise_price: Each PRSU represents a contingent right to receive one share of the issuer's common stock at settlement.

F2 · derivative.exercise_date: Pursuant to the terms of the PRSU 50% of the total shares underlying the PRSU vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone. The PRSUs will lapse in full if achievement of such milestone is not met.

SEC source: 0001209191-20-059134 · doc4.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-11-16

F1 · derivative.exercise_date: Pursuant to the terms of the options 50% of the total shares underlying the option vest on the achievement of a performance-based milestone, and 50% vest on the first anniversary of the achievement of such milestone. The options will lapse in full if achievement of such milestone is not met.

SEC source: 0001209191-20-005555 · doc4.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2030-01-28

F1 · derivative.exercise_date: The options vest 25% on the first anniversary of January 28, 2020 and thereafter in monthly installments over 36 months.

SEC source: 0001209191-19-032858 · doc4.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,530

F1 · price: The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.6016 to $3.61 per share, 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 sold at each separate price within the range set forth in this footnote.

SEC source: 0001209191-19-006161 · doc4.xml · derivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2029-01-29

F2 · derivative.exercise_date: Pursuant to the terms of the options 25% of the total shares underlying the option vest on the achievement of a performance-based milestone, and 75% vest in monthly installments over 24 months commencing one month from achievement of such milestone. The options will lapse in full if achievement of such milestone is not met by mid-2019

SEC source: 0001209191-19-006161 · doc4.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2029-01-29

F1 · derivative.exercise_date: The options vest 25% on the first anniversary of January 29, 2019 and thereafter in monthly installments over 36 months.

SEC source: 0001209191-18-051918 · doc4.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,000

Underlying: Common Stock · 101,000 shares

Expires 2028-09-20

F1 · derivative.exercise_date: The options will vest in equal monthly installments over a four year period commencing one month from September 20 2018.

SEC source: 0001209191-18-044362 · doc4.xml · derivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,000

Underlying: Common Stock · 52,000 shares

Expires 2028-07-26

F1 · derivative.exercise_date: The options will vest in equal monthly installments over a four year period commencing one month from July 26 2018.

SEC source: 0001209191-17-047575 · doc4.xml · nonDerivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 848,578

F2 · price: Received in exchange for 200 common shares of Achieve pursuant to the Merger. On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect the Reverse Stock Split.

SEC source: 0001209191-17-047575 · doc4.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,487,319

F1 · price: Received in exchange for 4,300 common shares of Achieve Life Science, Inc. ("Achieve") pursuant to the merger between OncoGenex Pharmaceuticals, Inc. ("OncoGenex") and Achieve (the "Merger"). On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect an 11-for-1 reverse stock split effected on August 1, 2017 (the "Reverse Stock Split").

SEC source: 0001209191-17-048530 · doc4a.xml · nonDerivative · entry 3

Stewart Richard Alistair · CIK 0001713369 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Ricanto Limited

Disclosed balance after: 176,418

F3 · shares: This amended Form 4 is filed to include the number of common shares received in exchange for 491 common shares of Achieve pursuant to the Merger. On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect the Reverse Stock Split.

F3 · price: This amended Form 4 is filed to include the number of common shares received in exchange for 491 common shares of Achieve pursuant to the Merger. On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect the Reverse Stock Split.

F4 · ownership.nature: The reporting holder is a principal owner of Ricanto Limited.

SEC source: 0001209191-17-048530 · doc4a.xml · nonDerivative · entry 2

Stewart Richard Alistair · CIK 0001713369 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 71,861

F2 · shares: This amended Form 4 is filed to correct the number of common shares received in exchange for 200 common shares of Achieve pursuant to the Merger. On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect the Reverse Stock Split.

F2 · price: This amended Form 4 is filed to correct the number of common shares received in exchange for 200 common shares of Achieve pursuant to the Merger. On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect the Reverse Stock Split.

SEC source: 0001209191-17-048530 · doc4a.xml · nonDerivative · entry 1

Stewart Richard Alistair · CIK 0001713369 · Director · Chairman & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,950,309

F1 · shares: This amended Form 4 is filed to correct the number of common shares received in exchange for 5,428 common shares of Achieve Life Science, Inc. ("Achieve") pursuant to the merger between OncoGenex Pharmaceuticals, Inc. ("OncoGenex") and Achieve (the "Merger"). On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect an 11-for-1 reverse stock split effected on August 1, 2017 (the "Reverse Stock Split").

F1 · price: This amended Form 4 is filed to correct the number of common shares received in exchange for 5,428 common shares of Achieve Life Science, Inc. ("Achieve") pursuant to the merger between OncoGenex Pharmaceuticals, Inc. ("OncoGenex") and Achieve (the "Merger"). On the effective date of the Merger, the closing price of Achieve's common stock was $4.576 per share, representing a closing price of $0.416 per share of OncoGenex's common stock as adjusted to reflect an 11-for-1 reverse stock split effected on August 1, 2017 (the "Reverse Stock Split").