Ratcliffe Liam

SEC source: 0001209191-18-034404 · doc4.xml · derivative · entry 7

Lathi Vijay K · CIK 0001340806 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By New Leaf Ventures III, L.P.

Disclosed balance after: 0

Underlying: Ordinary Shares · 178,230 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

F3 · derivative.exercise_date: The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

F6 · derivative.expiration_date: Not applicable.

F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, (the "Managing Directors") are the managing directors of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any.

SEC source: 0001209191-18-034404 · doc4.xml · derivative · entry 6

Lathi Vijay K · CIK 0001340806 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By New Leaf Ventures III, L.P.

Disclosed balance after: 0

Underlying: Ordinary Shares · 466,793 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

F1 · derivative.exercise_date: The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

F6 · derivative.expiration_date: Not applicable.

F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, (the "Managing Directors") are the managing directors of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any.

SEC source: 0001209191-18-034404 · doc4.xml · nonDerivative · entry 5

Lathi Vijay K · CIK 0001340806 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By New Leaf Biopharma Opportunities II, L.P.

Disclosed balance after: 384,615

F5 · ownership.nature: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("NBPO-II"). New Leaf BPO Associates II, L.P. ("NBPO-IIA") is the general partner of NBPO-II and New Leaf BPO Management II, L.L.C. ("NBPO-IIM") is the general partner of NBPO-IIA, and each of NBPO-IIA and NBPO-IIM may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NBPO-II. The Managing Directors are the managing directors of NBPO-IIM and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NBPO-II. The Managing Directors, NBPO-IIA and NBPO-IIM each disclaim Section 16 beneficial ownership of the securities held by NBPO-II, except to the extent of their respective pecuniary interest therein, if any.

SEC source: 0001209191-18-034404 · doc4.xml · nonDerivative · entry 4

Lathi Vijay K · CIK 0001340806 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By New Leaf Ventures III, L.P.

Disclosed balance after: 1,071,688

F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, (the "Managing Directors") are the managing directors of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any.

SEC source: 0001209191-18-034404 · doc4.xml · nonDerivative · entry 3

Lathi Vijay K · CIK 0001340806 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By New Leaf Ventures III, L.P.

Disclosed balance after: 793,626

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.

F4 · price: The Series B-2 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, (the "Managing Directors") are the managing directors of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any.

SEC source: 0001209191-18-034404 · doc4.xml · nonDerivative · entry 2

Lathi Vijay K · CIK 0001340806 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By New Leaf Ventures III, L.P.

Disclosed balance after: 645,023

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 · price: The Series B-1 Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, (the "Managing Directors") are the managing directors of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any.

SEC source: 0001209191-18-034404 · doc4.xml · nonDerivative · entry 1

Lathi Vijay K · CIK 0001340806 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By New Leaf Ventures III, L.P.

Disclosed balance after: 466,793

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

F1 · price: The Series A Preferred Shares automatically converted into Ordinary Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer for no additional consideration.

F2 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. Vijay Lathi, Liam Ratcliffe and Ronald Hunt, a member of the Issuer's Board of Directors, (the "Managing Directors") are the managing directors of NLVM-III LLC and may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The Managing Directors, NLVA-III LP and NLVM-III LLC each disclaim Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of their respective pecuniary interest therein, if any.

SEC source: 0000899243-18-013555 · doc4.xml · derivative · entry 1

Ratcliffe Liam · CIK 0001547100 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2028-05-16

F1 · derivative.exercise_date: This stock option award was issued pursuant to Issuer's 2017 Stock Option and Incentive Plan and will vest in full on May 17, 2019, subject to the Reporting Person's continuous service with the Issuer.

SEC source: 0001209191-18-022971 · doc4.xml · derivative · entry 6

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 622,773 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F4 · ownership.nature: The shares are held directly by New Leaf Ventures III, L.P. ("NLV III").New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. NLV Management III is the sole general partner of NLV Associates III. NLVP is the investment adviser of NLV III.Each of NLV Associates and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Each of the Members may be deemed to have shared voting and dispositive power of these securities. Continued in Footnote 5

F5 · ownership.nature: Continued from Footnote 4: Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 of any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-18-022971 · doc4.xml · derivative · entry 5

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 622,772 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · price: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.exercise_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · derivative.expiration_date: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F2 · ownership.nature: The shares are held directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLBA I. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Each of the Reporting Person, Ronald M. Hunt and Vijay K. Lathi (each a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Continued in Footnote 3

F3 · ownership.nature: Continued from Footnote 2: Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 of any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-18-022971 · doc4.xml · nonDerivative · entry 4

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 897,773

F4 · ownership.nature: The shares are held directly by New Leaf Ventures III, L.P. ("NLV III").New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. NLV Management III is the sole general partner of NLV Associates III. NLVP is the investment adviser of NLV III.Each of NLV Associates and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Each of the Members may be deemed to have shared voting and dispositive power of these securities. Continued in Footnote 5

F5 · ownership.nature: Continued from Footnote 4: Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 of any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-18-022971 · doc4.xml · nonDerivative · entry 3

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 897,772

F2 · ownership.nature: The shares are held directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLBA I. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Each of the Reporting Person, Ronald M. Hunt and Vijay K. Lathi (each a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Continued in Footnote 3

F3 · ownership.nature: Continued from Footnote 2: Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 of any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-18-022971 · doc4.xml · nonDerivative · entry 2

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 622,773

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

F1 · price: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · balance_after: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F4 · ownership.nature: The shares are held directly by New Leaf Ventures III, L.P. ("NLV III").New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. NLV Management III is the sole general partner of NLV Associates III. NLVP is the investment adviser of NLV III.Each of NLV Associates and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Each of the Members may be deemed to have shared voting and dispositive power of these securities. Continued in Footnote 5

F5 · ownership.nature: Continued from Footnote 4: Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 of any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-18-022971 · doc4.xml · nonDerivative · entry 1

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 622,772

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

F1 · price: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F1 · balance_after: Each share automatically converted into Common Stock, for no additional consideration, on a 1.5701314513884-for-1 basis at the closing of the Issuer's initial public offering. The shares have no expiration date.

F2 · ownership.nature: The shares are held directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLBA I. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein. Each of the Reporting Person, Ronald M. Hunt and Vijay K. Lathi (each a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Continued in Footnote 3

F3 · ownership.nature: Continued from Footnote 2: Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 of any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-17-023137 · doc4.xml · derivative · entry 11

Ratcliffe Liam · CIK 0001547100 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 372,883 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-17-023137 · doc4.xml · derivative · entry 10

Ratcliffe Liam · CIK 0001547100 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,118,722 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-17-023137 · doc4.xml · derivative · entry 9

Ratcliffe Liam · CIK 0001547100 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 279,703 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-17-023137 · doc4.xml · derivative · entry 8

Ratcliffe Liam · CIK 0001547100 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,118,722 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F2 · ownership.nature: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: (Continuation from footnote 2) Each of the Reporting Person, Jeani Delagardelle, Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-17-023137 · doc4.xml · derivative · entry 7

Ratcliffe Liam · CIK 0001547100 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 839,110 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F2 · ownership.nature: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: (Continuation from footnote 2) Each of the Reporting Person, Jeani Delagardelle, Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-17-023137 · doc4.xml · nonDerivative · entry 6

Ratcliffe Liam · CIK 0001547100 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,146,308

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-17-023137 · doc4.xml · nonDerivative · entry 5

Ratcliffe Liam · CIK 0001547100 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,771,308

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

F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-17-023137 · doc4.xml · nonDerivative · entry 4

Ratcliffe Liam · CIK 0001547100 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,398,425

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

F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-17-023137 · doc4.xml · nonDerivative · entry 3

Ratcliffe Liam · CIK 0001547100 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 279,703

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

F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F4 · ownership.nature: The reportable securities are owned directly by New Leaf Biopharma Opportunities I, L.P. ("Biopharma I"). New Leaf BPO Associates I, L.P. ("NLBA I") is the sole general partner of Biopharma I. NLV Management III is the sole general partner of NLBA I. NLVP is the investment adviser of Biopharma I. Each of NLBA I and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA I or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: (Continuation from footnote 4) Each of the Members may be deemed to have shared voting and dispositive power of these securities. Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-17-023137 · doc4.xml · nonDerivative · entry 2

Ratcliffe Liam · CIK 0001547100 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,957,832

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

F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F2 · ownership.nature: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: (Continuation from footnote 2) Each of the Reporting Person, Jeani Delagardelle, Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-17-023137 · doc4.xml · nonDerivative · entry 1

Ratcliffe Liam · CIK 0001547100 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 839,110

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

F1 · price: Upon the closing of the Issuer's initial public offering, each share of preferred stock automatically converted into 5.65 shares of common stock of the Issuer.

F2 · ownership.nature: The reportable securities are owned directly by New Leaf Ventures III, L.P. ("NLV III"). New Leaf Venture Associates III, L.P. ("NLV Associates III") is the sole general partner of NLV III. New Leaf Venture Management III, L.L.C. ("NLV Management III") is the sole general partner of NLV Associates III. New Leaf Venture Partners, L.L.C. ("NLVP") is the investment adviser of NLV III. Each of NLV Associates III and NLV Management III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLV Associates III or NLV Management III are beneficial owners of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: (Continuation from footnote 2) Each of the Reporting Person, Jeani Delagardelle, Ronald M. Hunt and Vijay K. Lathi (each, a "Member" and collectively, the "Members") is a member of NLV Management III and may be deemed to have shared voting and dispositive power of these securities. Each of the Members disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001127602-17-021949 · form4.xml · derivative · entry 1

Ratcliffe Liam · CIK 0001547100 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-06-20

SEC source: 0000899243-16-032257 · doc4.xml · derivative · entry 6

New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner

Delagardelle Jeani · CIK 0001441563 · 10% owner

HUNT RONALD · CIK 0001247851 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner

New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner

Chambon Philippe O. · CIK 0001192212 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 72,389 shares

Expires 2019-11-01

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.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F5 · ownership.direct: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest.

SEC source: 0000899243-16-032257 · doc4.xml · derivative · entry 5

New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner

Delagardelle Jeani · CIK 0001441563 · 10% owner

HUNT RONALD · CIK 0001247851 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner

New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner

Chambon Philippe O. · CIK 0001192212 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 155,548 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F3 · derivative.exercise_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F3 · derivative.expiration_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F4 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F5 · ownership.direct: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest.

SEC source: 0000899243-16-032257 · doc4.xml · derivative · entry 4

New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner

Delagardelle Jeani · CIK 0001441563 · 10% owner

HUNT RONALD · CIK 0001247851 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner

New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner

Chambon Philippe O. · CIK 0001192212 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 190,154 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F2 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F2 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F4 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F5 · ownership.direct: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest.

SEC source: 0000899243-16-032257 · doc4.xml · derivative · entry 3

New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner

Delagardelle Jeani · CIK 0001441563 · 10% owner

HUNT RONALD · CIK 0001247851 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner

New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner

Chambon Philippe O. · CIK 0001192212 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,370,887 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.

F1 · derivative.exercise_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.

F1 · derivative.expiration_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.

F4 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F5 · ownership.direct: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest.

SEC source: 0000899243-16-032257 · doc4.xml · nonDerivative · entry 2

New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner

Delagardelle Jeani · CIK 0001441563 · 10% owner

HUNT RONALD · CIK 0001247851 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner

New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner

Chambon Philippe O. · CIK 0001192212 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,741,589

F4 · balance_after: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F5 · ownership.direct: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest.

SEC source: 0000899243-16-032257 · doc4.xml · nonDerivative · entry 1

New Leaf Ventures II, L.P. · CIK 0001441439 · 10% owner

Delagardelle Jeani · CIK 0001441563 · 10% owner

HUNT RONALD · CIK 0001247851 · 10% owner

Ratcliffe Liam · CIK 0001547100 · 10% owner

New Leaf Venture Associates II, L.P. · CIK 0001441858 · 10% owner

New Leaf Venture Management II, L.L.C. · CIK 0001441857 · 10% owner

Chambon Philippe O. · CIK 0001192212 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,716,589

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

F1 · price: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.

F2 · price: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F3 · price: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F4 · balance_after: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F5 · ownership.direct: Represents shares directly beneficially owned by New Leaf Ventures II, L.P. ("NLV II"). New Leaf Venture Associates II, L.P. ("NLV Associates II") is the general partner of NLV II and New Leaf Venture Management II, L.L.C. ("NLV Management II") is the general partner of NLV Associates II. Philippe O. Chambon, Jeani Delagardelle, Ronald Hunt, Vijay Lathi and Liam Ratcliffe are the individual managers of NLV Management II (the "Individual Managers"). NLV Associates II and NLV Management II disclaim beneficial ownership of such shares, except to the extent of their pecuniary interest therein. Vijay Lathi is a director of the Issuer and, accordingly, files separate Section 16 reports. As one of five individual managers, each of the Individual Managers disclaims beneficial ownership over the shares reported herein, and in all events disclaims pecuniary interest except to the extent of his or her economic interest.