Roberts Brandi

SEC source: 0001193125-26-389888 · ownership.xml · nonDerivative · entry 1

Roberts Brandi · CIK 0001516354 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 397,905

F1 · shares: The common shares represent the third tranche of performance share units granted effective June 2, 2025, and remain subject to vesting based on the Reporting Person's continued employment through June 2, 2028. Each performance share unit represented a contingent right to receive one common share based on, and subject to, the achievement of certain clinical and regulatory milestones set forth in the Performance Share Unit Award Agreement.

F2 · balance_after: Amount includes 918 shares acquired under the Definium Therapeutics, Inc. 2024 Employee Share Purchase Plan on August 17, 2026.

SEC source: 0001193125-26-345835 · ownership.xml · nonDerivative · entry 1

Roberts Brandi · CIK 0001516354 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 271,987

F1 · shares: The common shares represent the second tranche of performance share units granted effective June 2, 2025, and remain subject to vesting based on the Reporting Person's continued employment through June 2, 2028. Each performance share unit represented a contingent right to receive one common share based on, and subject to, the achievement of certain clinical and regulatory milestones set forth in the Performance Share Unit Award Agreement.

SEC source: 0001193125-26-285563 · ownership.xml · nonDerivative · entry 1

Roberts Brandi · CIK 0001516354 · Chief Financial Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 209,487

F1 · kind: Represents the number of Common Shares sold to satisfy withholding tax obligations in connection with the settlement of vested restricted stock units, pursuant to sell-to-cover elections under a Rule 10b5-1 plan adopted on May 30, 2025.

SEC source: 0001193125-26-276880 · ownership.xml · nonDerivative · entry 1

Roberts Brandi · CIK 0001516354 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 212,500

F1 · shares: The common shares represent the first tranche of performance share units granted effective June 2, 2025, and remain subject to vesting based on the Reporting Person's continued employment through June 2, 2028. Each performance share unit represented a contingent right to receive one common share based on, and subject to, the achievement of certain clinical and regulatory milestones set forth in the Performance Share Unit Award Agreement.

SEC source: 0001193125-26-039585 · ownership.xml · nonDerivative · entry 1

Roberts Brandi · CIK 0001516354 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

F1 · shares: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one common share of the Issuer. The RSUs vest in 16 equal quarterly installments beginning on June 1, 2026, subject to the Reporting Person providing continuous service to the Issuer on each such vesting date.

SEC source: 0000950170-25-080407 · ownership.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Shares · 500,000 shares

Expires 2035-06-01

F1 · derivative.exercise_date: The shares underlying the option shall vest and become exercisable over a four-year period with 25% vesting on the first anniversary of the date of the grant and the remaining 75% vesting in 36 equal monthly installments thereafter, subject to the Reporting Person providing continuous service to the Issuer as of each such vesting date.

SEC source: 0001415889-24-028022 · form4-12032024_121216.xml · derivative · entry 6

Roberts Brandi · CIK 0001516354 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,900 shares

Expires not disclosed

F4 · derivative.exercise_price: At the Effective Time, pursuant to the Merger Agreement, each RSU granted on 10/25/2024 to certain of the Issuer's employees, including executive officers (the "Retention RSUs"), whether vested or unvested, became the right to receive an amount in cash, without interest, equal to the product of (i) the total number of Shares issuable in settlement of such Retention RSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration, subject to any applicable withholding of taxes, payable in accordance with, and subject to satisfaction of, the remaining vesting schedule of the Retention RSUs as in effect immediately prior to the Effective Time.

F1 · date: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of 10/14/2024, by and among Longboard Pharmaceuticals, Inc. (the "Issuer"), H. Lundbeck A/S ("Parent"), Lundbeck LLC ("Payor"), and Langkawi Corporation ("Purchaser"), on 12/02/2024, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger").

F4 · price: At the Effective Time, pursuant to the Merger Agreement, each RSU granted on 10/25/2024 to certain of the Issuer's employees, including executive officers (the "Retention RSUs"), whether vested or unvested, became the right to receive an amount in cash, without interest, equal to the product of (i) the total number of Shares issuable in settlement of such Retention RSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration, subject to any applicable withholding of taxes, payable in accordance with, and subject to satisfaction of, the remaining vesting schedule of the Retention RSUs as in effect immediately prior to the Effective Time.

F5 · price: The vesting of the Retention RSUs was not accelerated prior to the Effective Time. The Merger Consideration paid in respect of the Retention RSUs is subject to vesting (and payment upon such vesting) upon the earliest to occur of 10/25/2025 (subject to the employee's Continuous Service (as defined in the 2021 Equity Incentive Plan) through such date), or the date the executive officer incurs an "involuntary termination" (as defined in such officer's respective employment agreement with the Issuer).

F4 · derivative.exercise_date: At the Effective Time, pursuant to the Merger Agreement, each RSU granted on 10/25/2024 to certain of the Issuer's employees, including executive officers (the "Retention RSUs"), whether vested or unvested, became the right to receive an amount in cash, without interest, equal to the product of (i) the total number of Shares issuable in settlement of such Retention RSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration, subject to any applicable withholding of taxes, payable in accordance with, and subject to satisfaction of, the remaining vesting schedule of the Retention RSUs as in effect immediately prior to the Effective Time.

F5 · derivative.exercise_date: The vesting of the Retention RSUs was not accelerated prior to the Effective Time. The Merger Consideration paid in respect of the Retention RSUs is subject to vesting (and payment upon such vesting) upon the earliest to occur of 10/25/2025 (subject to the employee's Continuous Service (as defined in the 2021 Equity Incentive Plan) through such date), or the date the executive officer incurs an "involuntary termination" (as defined in such officer's respective employment agreement with the Issuer).

F4 · derivative.expiration_date: At the Effective Time, pursuant to the Merger Agreement, each RSU granted on 10/25/2024 to certain of the Issuer's employees, including executive officers (the "Retention RSUs"), whether vested or unvested, became the right to receive an amount in cash, without interest, equal to the product of (i) the total number of Shares issuable in settlement of such Retention RSU immediately prior to the Effective Time, multiplied by (ii) the Merger Consideration, subject to any applicable withholding of taxes, payable in accordance with, and subject to satisfaction of, the remaining vesting schedule of the Retention RSUs as in effect immediately prior to the Effective Time.

F5 · derivative.expiration_date: The vesting of the Retention RSUs was not accelerated prior to the Effective Time. The Merger Consideration paid in respect of the Retention RSUs is subject to vesting (and payment upon such vesting) upon the earliest to occur of 10/25/2025 (subject to the employee's Continuous Service (as defined in the 2021 Equity Incentive Plan) through such date), or the date the executive officer incurs an "involuntary termination" (as defined in such officer's respective employment agreement with the Issuer).

SEC source: 0001415889-24-028022 · form4-12032024_121216.xml · derivative · entry 5

Roberts Brandi · CIK 0001516354 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,090 shares

Expires not disclosed

F3 · derivative.exercise_price: At the Effective Time, pursuant to the Merger Agreement, each restricted stock unit award ("RSU") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted solely into the right to receive an amount in cash, without interest, equal to the product of (i) the total number of Shares issuable in settlement of such RSU immediately prior to the Effective Time, multiplied by (ii) $60.00 per Share, in cash, without interest, subject to any applicable withholding of taxes.

F1 · date: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of 10/14/2024, by and among Longboard Pharmaceuticals, Inc. (the "Issuer"), H. Lundbeck A/S ("Parent"), Lundbeck LLC ("Payor"), and Langkawi Corporation ("Purchaser"), on 12/02/2024, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger").

F3 · price: At the Effective Time, pursuant to the Merger Agreement, each restricted stock unit award ("RSU") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted solely into the right to receive an amount in cash, without interest, equal to the product of (i) the total number of Shares issuable in settlement of such RSU immediately prior to the Effective Time, multiplied by (ii) $60.00 per Share, in cash, without interest, subject to any applicable withholding of taxes.

F3 · derivative.exercise_date: At the Effective Time, pursuant to the Merger Agreement, each restricted stock unit award ("RSU") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted solely into the right to receive an amount in cash, without interest, equal to the product of (i) the total number of Shares issuable in settlement of such RSU immediately prior to the Effective Time, multiplied by (ii) $60.00 per Share, in cash, without interest, subject to any applicable withholding of taxes.

F3 · derivative.expiration_date: At the Effective Time, pursuant to the Merger Agreement, each restricted stock unit award ("RSU") outstanding as of immediately prior to the Effective Time, whether vested or unvested, was cancelled and converted solely into the right to receive an amount in cash, without interest, equal to the product of (i) the total number of Shares issuable in settlement of such RSU immediately prior to the Effective Time, multiplied by (ii) $60.00 per Share, in cash, without interest, subject to any applicable withholding of taxes.

SEC source: 0001415889-24-028022 · form4-12032024_121216.xml · derivative · entry 4

Roberts Brandi · CIK 0001516354 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,580 shares

Expires 2034-02-07

F1 · date: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of 10/14/2024, by and among Longboard Pharmaceuticals, Inc. (the "Issuer"), H. Lundbeck A/S ("Parent"), Lundbeck LLC ("Payor"), and Langkawi Corporation ("Purchaser"), on 12/02/2024, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger").

F2 · price: On such date and at such time as the certificate of merger in respect of the Merger was duly filed with the Secretary of State of the State of Delaware in accordance with the DGCL (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option, to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option as of immediately prior to the Effective Time multiplied by (ii) the excess of (x) $60.00 per Share over (y) the exercise price payable per Share under such option, which amount will be subject to any withholding taxes.

F2 · derivative.exercise_date: On such date and at such time as the certificate of merger in respect of the Merger was duly filed with the Secretary of State of the State of Delaware in accordance with the DGCL (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option, to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option as of immediately prior to the Effective Time multiplied by (ii) the excess of (x) $60.00 per Share over (y) the exercise price payable per Share under such option, which amount will be subject to any withholding taxes.

SEC source: 0001415889-24-028022 · form4-12032024_121216.xml · derivative · entry 3

Roberts Brandi · CIK 0001516354 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 119,700 shares

Expires 2033-02-08

F1 · date: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of 10/14/2024, by and among Longboard Pharmaceuticals, Inc. (the "Issuer"), H. Lundbeck A/S ("Parent"), Lundbeck LLC ("Payor"), and Langkawi Corporation ("Purchaser"), on 12/02/2024, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger").

F2 · price: On such date and at such time as the certificate of merger in respect of the Merger was duly filed with the Secretary of State of the State of Delaware in accordance with the DGCL (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option, to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option as of immediately prior to the Effective Time multiplied by (ii) the excess of (x) $60.00 per Share over (y) the exercise price payable per Share under such option, which amount will be subject to any withholding taxes.

F2 · derivative.exercise_date: On such date and at such time as the certificate of merger in respect of the Merger was duly filed with the Secretary of State of the State of Delaware in accordance with the DGCL (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option, to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option as of immediately prior to the Effective Time multiplied by (ii) the excess of (x) $60.00 per Share over (y) the exercise price payable per Share under such option, which amount will be subject to any withholding taxes.

SEC source: 0001415889-24-028022 · form4-12032024_121216.xml · derivative · entry 2

Roberts Brandi · CIK 0001516354 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,000 shares

Expires 2032-02-08

F1 · date: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of 10/14/2024, by and among Longboard Pharmaceuticals, Inc. (the "Issuer"), H. Lundbeck A/S ("Parent"), Lundbeck LLC ("Payor"), and Langkawi Corporation ("Purchaser"), on 12/02/2024, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger").

F2 · price: On such date and at such time as the certificate of merger in respect of the Merger was duly filed with the Secretary of State of the State of Delaware in accordance with the DGCL (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option, to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option as of immediately prior to the Effective Time multiplied by (ii) the excess of (x) $60.00 per Share over (y) the exercise price payable per Share under such option, which amount will be subject to any withholding taxes.

F2 · derivative.exercise_date: On such date and at such time as the certificate of merger in respect of the Merger was duly filed with the Secretary of State of the State of Delaware in accordance with the DGCL (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option, to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option as of immediately prior to the Effective Time multiplied by (ii) the excess of (x) $60.00 per Share over (y) the exercise price payable per Share under such option, which amount will be subject to any withholding taxes.

SEC source: 0001415889-24-028022 · form4-12032024_121216.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · Executive VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 139,380 shares

Expires 2031-02-14

F1 · date: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of 10/14/2024, by and among Longboard Pharmaceuticals, Inc. (the "Issuer"), H. Lundbeck A/S ("Parent"), Lundbeck LLC ("Payor"), and Langkawi Corporation ("Purchaser"), on 12/02/2024, Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger").

F2 · price: On such date and at such time as the certificate of merger in respect of the Merger was duly filed with the Secretary of State of the State of Delaware in accordance with the DGCL (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option, to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option as of immediately prior to the Effective Time multiplied by (ii) the excess of (x) $60.00 per Share over (y) the exercise price payable per Share under such option, which amount will be subject to any withholding taxes.

F2 · derivative.exercise_date: On such date and at such time as the certificate of merger in respect of the Merger was duly filed with the Secretary of State of the State of Delaware in accordance with the DGCL (the "Effective Time"), pursuant to the Merger Agreement, each outstanding option, to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and automatically converted into the right to receive cash, without interest, in an amount equal to the product of (i) the total number of Shares subject to such option as of immediately prior to the Effective Time multiplied by (ii) the excess of (x) $60.00 per Share over (y) the exercise price payable per Share under such option, which amount will be subject to any withholding taxes.

SEC source: 0000950170-24-118312 · ownership.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,900

Underlying: Voting Common Stock · 7,900 shares

Expires not disclosed

F1 · derivative.exercise_date: The retention restricted stock units ("Retention RSUs") vest in full on the earlier of October 25, 2025, or the date of the Reporting Person's Involuntary Termination (as defined in the Reporting Person's employment agreement) (such earlier date, the "Vesting Date"). The shares underlying the Retention RSUs will be issued upon vesting and release of the Retention RSUs. If the acquisition of the Issuer pursuant to the Agreement and Plan of Merger attached as Exhibit 2.1 to the Issuer's Current Report on Form 8-K filed with the SEC on October 15, 2024 (the "Merger Agreement") is completed prior to the Vesting Date, then, as of and following the Effective Time (as defined in the Merger Agreement), the Retention RSUs shall be settled via payment of an amount in cash, without interest, equal to the product of the Merger Consideration (as defined in the Merger Agreement) multiplied by the number of Retention RSUs, with such amount payable to the Reporting Person on the Vesting Date.

F1 · derivative.expiration_date: The retention restricted stock units ("Retention RSUs") vest in full on the earlier of October 25, 2025, or the date of the Reporting Person's Involuntary Termination (as defined in the Reporting Person's employment agreement) (such earlier date, the "Vesting Date"). The shares underlying the Retention RSUs will be issued upon vesting and release of the Retention RSUs. If the acquisition of the Issuer pursuant to the Agreement and Plan of Merger attached as Exhibit 2.1 to the Issuer's Current Report on Form 8-K filed with the SEC on October 15, 2024 (the "Merger Agreement") is completed prior to the Vesting Date, then, as of and following the Effective Time (as defined in the Merger Agreement), the Retention RSUs shall be settled via payment of an amount in cash, without interest, equal to the product of the Merger Consideration (as defined in the Merger Agreement) multiplied by the number of Retention RSUs, with such amount payable to the Reporting Person on the Vesting Date.

SEC source: 0001213900-24-059875 · ownership.xml · derivative · entry 2

Roberts Brandi · CIK 0001516354 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,165

Underlying: Common stock · 3,165 shares

Expires 2034-07-03

F2 · derivative.exercise_date: Options vest in full on June 19, 2025.

SEC source: 0001213900-24-059875 · ownership.xml · nonDerivative · entry 1

Roberts Brandi · CIK 0001516354 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,165

F1 · shares: Represents shares of common stock underlying restricted stock units ("RSUs"). Each RSU entitles its holder to receive one share of common stock of the issuer. The RSUs vest and settle in full on June 19, 2025.

SEC source: 0001213900-24-035081 · ownership.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,333

Underlying: Common stock · 5,333 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit, or RSU, represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The RSUs were awarded to the Reporting Person in lieu of their quarterly cash director fee for the first quarter of 2024. The settlement of the RSUs is contingent on stockholder approval, at the Issuer's 2024 annual meeting of stockholders, or Annual Meeting, of an amendment to increase the share reserve under the Issuer's 2021 Stock Incentive Plan, or 2021 Plan. The RSUs shall terminate if the Issuer's stockholders do not approve the proposed amendment to the 2021 Plan at the Annual Meeting. Subject to stockholder approval of the amendment to the 2021 Plan, and subject further to the consummation of the Issuer's next equity financing, the RSUs will settle in four equal installments, with the first installment settling on completion of the Issuer's next equity financing and the other three installments settling on the 15th, 30th and 45th day following the completion of the next equity financing.

F2 · derivative.expiration_date: The RSUs were awarded to the Reporting Person in lieu of their quarterly cash director fee for the first quarter of 2024. The settlement of the RSUs is contingent on stockholder approval, at the Issuer's 2024 annual meeting of stockholders, or Annual Meeting, of an amendment to increase the share reserve under the Issuer's 2021 Stock Incentive Plan, or 2021 Plan. The RSUs shall terminate if the Issuer's stockholders do not approve the proposed amendment to the 2021 Plan at the Annual Meeting. Subject to stockholder approval of the amendment to the 2021 Plan, and subject further to the consummation of the Issuer's next equity financing, the RSUs will settle in four equal installments, with the first installment settling on completion of the Issuer's next equity financing and the other three installments settling on the 15th, 30th and 45th day following the completion of the next equity financing.

SEC source: 0001209191-24-003026 · doc4.xml · derivative · entry 2

Roberts Brandi · CIK 0001516354 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,580

Underlying: Voting common stock · 90,580 shares

Expires 2034-02-07

F2 · derivative.exercise_date: The shares subject to the stock option vest and become exercisable in 48 equal monthly installments commencing March 8, 2024.

SEC source: 0001209191-24-003026 · doc4.xml · nonDerivative · entry 1

Roberts Brandi · CIK 0001516354 · CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,090

F1 · shares: The amount represents restricted stock units that vest in four equal annual installments commencing on February 8, 2025. The shares underlying the restricted stock units will be issued upon vesting and release of the restricted stock units.

SEC source: 0001213900-23-092826 · ownership.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,858

Underlying: Common Stock · 52,858 shares

Expires 2033-12-01

F1 · shares: The options represent the annual option grant to non-executive members of the Board of Directors.

SEC source: 0001213900-23-067444 · ownership.xml · nonDerivative · entry 1

Roberts Brandi · CIK 0001516354 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: Acquired from the Issuer pursuant to the public offering described in the Issuer's Prospectus filed with the U.S. Securities and Exchange Commission on August 14, 2023.

F1 · price: Acquired from the Issuer pursuant to the public offering described in the Issuer's Prospectus filed with the U.S. Securities and Exchange Commission on August 14, 2023.

SEC source: 0001209191-23-008407 · doc4.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,700

Underlying: Voting common stock · 119,700 shares

Expires 2033-02-08

F1 · derivative.exercise_date: The shares subject to the stock option vest and become exercisable in 48 equal monthly installments commencing March 9, 2023.

SEC source: 0001213900-22-084090 · ownership.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,968

Underlying: Common Stock · 20,968 shares

Expires 2032-12-29

F1 · shares: The options represent the annual option grant to non-executive members of the Board of Directors.

SEC source: 0001209191-22-008906 · doc4.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Voting common stock · 90,000 shares

Expires 2032-02-08

F1 · derivative.exercise_date: The shares subject to the stock option vest and become exercisable in 48 equal monthly installments commencing March 9, 2022.

SEC source: 0001493152-20-004352 · ownership.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · CFO & SVP Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 616,700

Underlying: Common Shares · 616,700 shares

Expires 2030-03-17

F1 · derivative.exercise_date: One quarter of the options shall vest on March 17, 2021 and the balance shall vest in 36 monthly installments thereafter upon the completion of each month of continuous employment.

SEC source: 0001209191-19-046030 · doc4.xml · nonDerivative · entry 1

Roberts Brandi · CIK 0001516354 · CFO & SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0001209191-19-040588 · doc4.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · CFO & SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Shares · 150,000 shares

Expires 2029-06-29

F1 · derivative.exercise_date: One quarter of the options shall vest on January 7, 2020 and the balance shall vest in 36 monthly installments thereafter upon the completion of each month of continuous employment.

SEC source: 0001209191-19-003173 · doc4.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · CFO & SVP, Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Shares · 500,000 shares

Expires 2029-01-06

F1 · derivative.exercise_date: One quarter of the options shall vest on January 7, 2020 and the balance shall vest in 36 monthly installments thereafter upon the completion of each month of continuous employment.

SEC source: 0001209191-18-040512 · doc4.xml · nonDerivative · entry 1

Roberts Brandi · CIK 0001516354 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,907.9

F1 · shares: Represents the purchase of 49,079 of the Issuer's CHESS Depositary Interests (CDIs) trading on the Australian Securities Exchange.

F2 · price: The purchase was executed in the form of CDIs, trading on the Australian Securities Exchange, and as such the purchase price has been converted to a USD equivalent, adjusting for the conversion ratio of 1 share of common stock per 10 CDIs, and the exchange rate on the date of the transaction.

SEC source: 0001209191-18-005011 · doc4.xml · derivative · entry 2

Roberts Brandi · CIK 0001516354 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-01-22

F2 · derivative.exercise_date: The option vests and becomes exercisable as follows: 25% of the shares vest on January 22, 2019 with the remaining shares vesting at 2.08333% per month thereafter until fully vested.

SEC source: 0001209191-18-005011 · doc4.xml · nonDerivative · entry 1

Roberts Brandi · CIK 0001516354 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · shares: Restricted stock units (RSUs) convert into shares of Common Stock on a one-for-one basis. The RSUs vest in three (3) equal annual installments beginning on January 22, 2019.

SEC source: 0001209191-17-053407 · doc4.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,000

Underlying: Common Stock · 190,000 shares

Expires 2027-09-18

F1 · derivative.exercise_date: The option vests and becomes exercisable as follows: 25% of the option shares vest on September 18, 2018 with the remaining option shares vesting at the rate of 2.08333% per month thereafter until fully vested.

SEC source: 0001209191-17-005113 · doc4.xml · derivative · entry 1

Roberts Brandi · CIK 0001516354 · Chief Financial Officer & SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 889,926

Underlying: Common Stock · 889,926 shares

Expires not disclosed

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

F2 · derivative.exercise_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).

F2 · derivative.expiration_date: The restricted stock units vest in full upon consummation of the merger transaction contemplated by the Agreement and Plan of Merger, dated January 6, 2017, by and among the issuer, Savara Inc., and Victoria Merger Corp. (provided such event occurs on or before July 6, 2017).