Rosenberg Noah L.

SEC source: 0001579649-26-000005 · form4-08182026_050809.xml · nonDerivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,587

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.90 to $4.95 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 range set forth in this footnote.

SEC source: 0001579649-26-000005 · form4-08182026_050809.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,557

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.90 to $4.95 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 range set forth in this footnote.

SEC source: 0001579649-26-000002 · form4-06092026_040614.xml · derivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 233,840

Underlying: Common Stock · 233,840 shares

Expires 2035-12-23

F1 · date: The option grant was approved by a committee of the Issuer's board of directors on December 23, 2025, subject to shareholder approval of an amendment to the Issuer's 2018 Equity Incentive Plan under which the option was granted. The Issuer's shareholders approved the amendment on June 5, 2026.

F2 · derivative.exercise_date: 50% of the total shares subject to the option shall vest on the date that the closing sales price per share of the Issuer's Common Stock as reported on The Nasdaq Capital Market equals at least $15.00, and 50% of the total shares subject to the option shall vest on the date that the closing sales price per share of the Issuer's Common Stock as reported on The Nasdaq Capital Market equals at least $25.00, subject to the Reporting Person's continuous service through each such vesting date.

SEC source: 0001579649-25-000004 · form4-11252025_071113.xml · derivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 589

Underlying: Common Stock · 589 shares

Expires 2030-11-25

F2 · price: The reported securities are included within 2,357 investment units purchased by the Reporting Person for $4.2425 per investment unit. Each investment unit consists of one share of Common Stock and a Series C warrant for one fourth of a share of common stock. The Reporting Person will not be entitled to exercise any portion of a Series C Warrant that, upon giving effect to such exercise, would cause the aggregate number of shares beneficially owned by the Reporting Person to exceed 9.99% of the number of shares of the Issuer's common stock outstanding immediately after giving effect to the exercise.

F1 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001579649-25-000004 · form4-11252025_071113.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,357

SEC source: 0001415889-25-008999 · form4-03262025_110341.xml · derivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · CMO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

Underlying: Common Stock · 325,000 shares

Expires 2035-03-24

F1 · derivative.exercise_date: 1/8th of the total shares subject to the option shall vest on September 24, 2025, and 1/48th of the total shares subject to the option shall vest each month thereafter on the same day of the month, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001209191-21-052083 · doc4.xml · nonDerivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,614

F2 · kind: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested performance restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

SEC source: 0001209191-21-052083 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,021

F1 · kind: On January 31, 2020, the reporting person was granted a performance restricted stock unit (PRSU) grant covering 9,000 shares of the Issuer's common stock, which vest upon the later of (i) 12 months from the date of grant and (ii) the achievement of specified clinical and regulatory development milestones. On August 13, 2021, a portion of the PRSUs vested upon the Issuer's confirmation of the satisfaction of a performance criterion related to the interim data read-out from the PROTECT study.

SEC source: 0001209191-21-048494 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,521

F1 · kind: The sales reported were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

F2 · balance_after: Includes 177 shares of the Issuer's common stock acquired by the reporting person on May 31, 2021 pursuant to an employee stock purchase program.

SEC source: 0001209191-21-032319 · doc4.xml · nonDerivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,594

F1 · kind: The sales reported were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

SEC source: 0001209191-21-032319 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,969

F1 · kind: The sales reported were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

SEC source: 0001209191-21-008819 · doc4.xml · nonDerivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,344

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of performance restricted stock units that was reported on February 5, 2021.

SEC source: 0001209191-21-008819 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,469

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of performance restricted stock units that was reported on February 5, 2021.

SEC source: 0001209191-21-007635 · doc4.xml · nonDerivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,094

F2 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

SEC source: 0001209191-21-007635 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,657

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of performance restricted stock units.

SEC source: 0001209191-21-008124 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,594

F1 · kind: (1) On January 31, 2020, the reporting person was granted a performance restricted stock unit (PRSU) grant covering 9,000 shares of the Issuer's common stock, which vest upon the later of (i) 12 months from the date of grant and (ii) the achievement of specified clinical and regulatory development milestones. On February 3, 2021, a portion of the PRSUs vested upon the Issuer's confirmation of the satisfaction of a performance criterion related to the interim data read-out from the DUPLEX study.

SEC source: 0001209191-21-007031 · doc4.xml · nonDerivative · entry 3

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,907

F3 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

SEC source: 0001209191-21-007031 · doc4.xml · nonDerivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,470

F2 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of performance restricted stock units.

SEC source: 0001209191-21-007031 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,720

F1 · kind: On January 31, 2020, the reporting person was granted a performance restricted stock unit (PRSU) grant covering 10,000 shares of the Issuer's common stock, which vest upon the later of (i) 12 months from the date of grant and (ii) the achievement of specified clinical and regulatory development milestones. On January 31, 2021, a portion of the PRSUs vested upon the 12 month anniversary of the date of grant, following the Issuer's prior confirmation of the satisfaction of a performance criterion related to the full enrollment of the DUPLEX study.

SEC source: 0001209191-21-005253 · doc4.xml · derivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,500

Underlying: Common Stock · 57,500 shares

Expires 2031-01-20

F3 · derivative.exercise_date: One-fourth of the shares subject to the stock option vest and become exercisable on the first anniversary of the date of grant, and the remaining shares vest in 36 equal monthly installments thereafter.

SEC source: 0001209191-21-005253 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,720

F1 · kind: Acquisition of restricted stock units pursuant to the Issuer's Equity Incentive Plan that are scheduled to vest over four years.

F2 · balance_after: Includes 165 shares of the Issuer's common stock acquired by the reporting person on November 30, 2020 pursuant to an employee stock purchase program.

SEC source: 0001209191-20-051734 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,555

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of performance restricted stock units.

SEC source: 0001209191-20-051614 · doc4.xml · nonDerivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,305

F2 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of performance restricted stock units.

SEC source: 0001209191-20-051614 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,055

F1 · kind: On May 9, 2019, the reporting person was granted performance restricted stock units (PRSUs) covering 6,000 shares of the Issuer's common stock, which vest upon the satisfaction of certain performance criteria. On September 18, 2020, a portion of the PRSUs vested upon the Issuer's confirmation that the first 280 patients in the sparsentan PROTECT Phase 3 Study had been enrolled.

SEC source: 0001209191-20-044098 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,055

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

F2 · balance_after: Includes 197 shares of the Issuer's common stock acquired by the reporting person on May 31, 2020 pursuant to an employee stock purchase program.

SEC source: 0001209191-20-029021 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,728

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

SEC source: 0001209191-20-017538 · doc4.xml · nonDerivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,255

F3 · kind: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested performance restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

SEC source: 0001209191-20-017538 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,045

F1 · kind: On July 26, 2018, the reporting person was granted performance restricted stock units (PRSUs) covering 10,000 shares of the Issuer's common stock, which vest upon the satisfaction of certain performance criteria. On March 5, 2020, a portion of the PRSUs vested upon the Issuer's confirmation that the first 190 patients in the sparsentan DUPLEX Phase 3 Study had been enrolled

F2 · balance_after: Includes an aggregate of 1,545 shares of the Issuer's common stock acquired by the reporting person on May 31, 2019 and November 30, 2019 pursuant to an employee stock purchase program.

SEC source: 0001209191-20-005904 · doc4.xml · derivative · entry 4

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Common Stock of the Issuer.

F3 · derivative.exercise_date: This grant will vest upon the later of (i) 12 months from the date of grant and (ii) the achievement of specified clinical and regulatory development milestones, provided that the grant will expire on January 31, 2024 to the extent the specified clinical and regulatory milestones are not achieved by such date.

F3 · derivative.expiration_date: This grant will vest upon the later of (i) 12 months from the date of grant and (ii) the achievement of specified clinical and regulatory development milestones, provided that the grant will expire on January 31, 2024 to the extent the specified clinical and regulatory milestones are not achieved by such date.

SEC source: 0001209191-20-005904 · doc4.xml · derivative · entry 3

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Common Stock of the Issuer.

F3 · derivative.exercise_date: This grant will vest upon the later of (i) 12 months from the date of grant and (ii) the achievement of specified clinical and regulatory development milestones, provided that the grant will expire on January 31, 2024 to the extent the specified clinical and regulatory milestones are not achieved by such date.

F3 · derivative.expiration_date: This grant will vest upon the later of (i) 12 months from the date of grant and (ii) the achievement of specified clinical and regulatory development milestones, provided that the grant will expire on January 31, 2024 to the extent the specified clinical and regulatory milestones are not achieved by such date.

SEC source: 0001209191-20-005904 · doc4.xml · derivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2030-01-30

F1 · derivative.exercise_date: One-fourth of the shares subject to the stock option vest and become exercisable on the first anniversary of the date of grant, and the remaining shares vest in 36 equal monthly installments thereafter.

SEC source: 0001209191-20-005904 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

SEC source: 0001209191-19-043930 · doc4.xml · nonDerivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,500

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

SEC source: 0001209191-19-043930 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,750

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

SEC source: 0001209191-19-029175 · doc4.xml · derivative · entry 3

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Common Stock of the Issuer.

F3 · derivative.exercise_date: This grant will vest upon the later of (i) 12 months from the date of grant, and (ii) the achievement of specified clinical and regulatory milestones, provided that the grant will expire on May 9, 2023 to the extent the specified clinical and regulatory milestones are not achieved by such date.

F3 · derivative.expiration_date: This grant will vest upon the later of (i) 12 months from the date of grant, and (ii) the achievement of specified clinical and regulatory milestones, provided that the grant will expire on May 9, 2023 to the extent the specified clinical and regulatory milestones are not achieved by such date.

SEC source: 0001209191-19-029175 · doc4.xml · derivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2029-05-08

F1 · derivative.exercise_date: One-fourth of the shares subject to the stock option vest and become exercisable on the first anniversary of the date of grant, and the remaining shares vest in 36 equal monthly installments thereafter.

SEC source: 0001209191-19-029175 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

SEC source: 0001209191-18-044489 · doc4.xml · derivative · entry 3

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Common Stock of the Issuer.

F3 · derivative.exercise_date: This grant will vest upon the later of (i) 12 months from the date of grant, and (ii) the achievement of specified clinical and regulatory milestones, provided that the grant will expire on May 10, 2022 to the extent the specified clinical and regulatory milestones are not achieved by such date.

F3 · derivative.expiration_date: This grant will vest upon the later of (i) 12 months from the date of grant, and (ii) the achievement of specified clinical and regulatory milestones, provided that the grant will expire on May 10, 2022 to the extent the specified clinical and regulatory milestones are not achieved by such date.

SEC source: 0001209191-18-044489 · doc4.xml · derivative · entry 2

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2028-07-25

F1 · derivative.exercise_date: One-fourth of the shares subject to the stock option vest and become exercisable on the first anniversary of the date of grant, and the remaining shares vest in 36 equal monthly installments thereafter.

SEC source: 0001209191-18-044489 · doc4.xml · nonDerivative · entry 1

Rosenberg Noah L. · CIK 0001579649 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000