Schmid John P.

SEC source: 0001415889-25-017587 · form4-06172025_100656.xml · derivative · entry 3

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,030 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F3 · derivative.exercise_date: The RSUs vests as to 100% of the total RSUs on the date of the Issuer's 2025 annual meeting of shareholders, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F3 · derivative.expiration_date: The RSUs vests as to 100% of the total RSUs on the date of the Issuer's 2025 annual meeting of shareholders, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001415889-25-017587 · form4-06172025_100656.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,267

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

F1 · price: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

SEC source: 0001415889-25-016958 · form4-06122025_040611.xml · derivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2035-06-09

F1 · derivative.exercise_date: The shares subject to the option vest in equal monthly installments over 12 months following June 10, 2025 provided that the shares subject to the option will in any case be fully vested on the date of the Company's next annual meeting of stockholders.

SEC source: 0001415889-25-009100 · form4-03272025_080308.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By ESOP

Disclosed balance after: 11,068

F1 · kind: Shares purchased under the SpeakInc. Employee Ownership Plan ("Plan") of which the Reporting Person is a trustee of the Plan.

F2 · ownership.direct: The reported shares are held by the Plan of which the Reporting Person is a trustee of the Plan. The Reporting Person has less than 1% of a pecuniary interest in the Plan and disclaims beneficial ownership of these shares to the amount in excess of such Report Person's pecuniary interest.

SEC source: 0001415889-25-001501 · form4-01152025_100107.xml · derivative · entry 4

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,645 shares

Expires 2025-11-15

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

F2 · derivative.exercise_date: The option is fully vested.

SEC source: 0001415889-25-001501 · form4-01152025_100107.xml · derivative · entry 3

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,692 shares

Expires 2025-06-09

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

F2 · derivative.exercise_date: The option is fully vested.

SEC source: 0001415889-25-001501 · form4-01152025_100107.xml · nonDerivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,237

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

F1 · shares: The exercises reported on this Form 4 for various stock options are expiring in 2025 and the Reporting Person wished to facilitate the exercises of such options before their expiration. The Reporting Person does not intend to currently sell any of the said exercised shares in this Form 4.

SEC source: 0001415889-25-001501 · form4-01152025_100107.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,592

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

F1 · shares: The exercises reported on this Form 4 for various stock options are expiring in 2025 and the Reporting Person wished to facilitate the exercises of such options before their expiration. The Reporting Person does not intend to currently sell any of the said exercised shares in this Form 4.

SEC source: 0001415889-25-001088 · form4-01082025_070107.xml · derivative · entry 9

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,350 shares

Expires 2034-06-16

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

SEC source: 0001415889-25-001088 · form4-01082025_070107.xml · derivative · entry 8

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,350 shares

Expires 2033-06-14

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

SEC source: 0001415889-25-001088 · form4-01082025_070107.xml · derivative · entry 7

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,500 shares

Expires 2032-06-15

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

SEC source: 0001415889-25-001088 · form4-01082025_070107.xml · derivative · entry 6

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,833 shares

Expires 2031-07-22

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

SEC source: 0001415889-25-001088 · form4-01082025_070107.xml · derivative · entry 5

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2031-06-15

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

SEC source: 0001415889-25-001088 · form4-01082025_070107.xml · derivative · entry 4

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2030-07-08

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

SEC source: 0001415889-25-001088 · form4-01082025_070107.xml · derivative · entry 3

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,038 shares

Expires 2029-06-19

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

SEC source: 0001415889-25-001088 · form4-01082025_070107.xml · derivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,076 shares

Expires 2028-07-16

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

SEC source: 0001415889-25-001088 · form4-01082025_070107.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2]

F2 · shares: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price.

F1 · price: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2]

F2 · price: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price.

SEC source: 0001415889-25-001036 · form4-01072025_100120.xml · derivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,030

Underlying: Common Stock · 6,030 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F3 · derivative.exercise_date: The RSUs vests as to 100% of the total RSUs on the date of the Issuer's 2026 annual meeting of shareholders, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F3 · derivative.expiration_date: The RSUs vests as to 100% of the total RSUs on the date of the Issuer's 2026 annual meeting of shareholders, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001415889-25-001036 · form4-01072025_100120.xml · derivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,510

Underlying: Common Stock · 16,510 shares

Expires 2035-01-06

F1 · derivative.exercise_date: The stock option vests as to 1/12 of the total shares monthly commencing on Februray 7, 2025 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001867096-24-000176 · wk-form4_1723580007.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: The Schmid Family Trust dated August 15, 2017

Disclosed balance after: 25,200

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001867096-24-000173 · wk-form4_1723501724.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: The Schmid Family Trust dated August 15, 2017

Disclosed balance after: 20,685

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000950170-24-074875 · ownership.xml · derivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,350

Underlying: Common Stock · 27,350 shares

Expires 2034-06-16

F2 · derivative.exercise_date: The stock option will vest and become fully exercisable on the earlier to occur of (i) the one year anniversary of the date of grant and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders.

SEC source: 0000950170-24-074875 · ownership.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,950

F1 · kind: Represents restricted stock units granted pursuant to the Issuer's Equity Incentive Plan. The RSUs are scheduled to vest on the earlier to occur of (i) the one year anniversary of the date of grant and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders.

SEC source: 0001415889-24-017510 · form4-06192024_120656.xml · derivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,900 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F2 · derivative.exercise_date: The RSUs vests as to 100% of the total RSUs on the date of the Issuer's 2024 annual meeting of shareholders, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F2 · derivative.expiration_date: The RSUs vests as to 100% of the total RSUs on the date of the Issuer's 2024 annual meeting of shareholders, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001415889-24-017510 · form4-06192024_120656.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,900

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

F1 · price: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

SEC source: 0001415889-24-017240 · form4-06172024_050618.xml · derivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2034-06-12

F1 · derivative.exercise_date: The shares subject to the option vest in equal monthly installments over 12 months following June 13, 2024 provided that the shares subject to the option will in any case be fully vested on the date of the Company's next annual meeting of stockholders.

SEC source: 0001867096-24-000110 · wk-form4_1717618781.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,159

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 5, 2025 or the date of the Company's next annual meeting of stockholders.

SEC source: 0001867096-24-000067 · wk-form4_1715371447.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: The Schmid Family Trust dated August 15, 2017

Disclosed balance after: 16,400

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001415889-24-009063 · form4-03252024_110321.xml · nonDerivative · entry 3

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Schmid Family Trust U/A dated 8-15-17

Disclosed balance after: 26,965

SEC source: 0001415889-24-009063 · form4-03252024_110321.xml · nonDerivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Schmid Family Trust U/A dated 8-15-17

Disclosed balance after: 9,156

F1 · price: The weighted average purchase price for the transaction reported was $3.6187, and the range of prices were between $3.43 and $3.72. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

F2 · ownership.nature: The Reporting Person is trustee of the trust.

SEC source: 0001867096-24-000034 · wk-form4_1710464612.xml · nonDerivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: The Schmid Family Trust dated August 15, 2017

Disclosed balance after: 11,000

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-24-001050 · doc4.xml · derivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,030

Underlying: Common Stock · 6,030 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F3 · derivative.exercise_date: The RSUs vests as to 100% of the total RSUs on the date of the Issuer's 2025 annual meeting of shareholders, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F3 · derivative.expiration_date: The RSUs vests as to 100% of the total RSUs on the date of the Issuer's 2025 annual meeting of shareholders, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001209191-24-001050 · doc4.xml · derivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,510

Underlying: Common Stock · 16,510 shares

Expires 2034-01-02

F1 · derivative.exercise_date: The stock option vests as to 1/12 of the total shares monthly commencing on Februray 3, 2024 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001867096-23-000147 · wk-form4_1700264146.xml · nonDerivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By: The Schmid Family Trust dated August 15, 2017

Disclosed balance after: 6,500

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000950170-23-028607 · ownership.xml · derivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,350

Underlying: Common Stock · 27,350 shares

Expires 2033-06-14

F2 · derivative.exercise_date: The stock option will vest and become fully exercisable on the earlier to occur of (i) the one year anniversary of the date of grant and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders.

SEC source: 0000950170-23-028607 · ownership.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,300

F1 · kind: Represents restricted stock units granted pursuant to the Issuer's Equity Incentive Plan. The RSUs are scheduled to vest on the earlier to occur of (i) the one year anniversary of the date of grant and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders.

SEC source: 0001867096-23-000093 · wk-form4_1686171315.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,159

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 7, 2024 or the date of the Company's next annual meeting of stockholders.

SEC source: 0001209191-23-033784 · doc4.xml · derivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-05-30

F1 · derivative.exercise_date: The shares subject to the option vest in equal monthly installments over 12 months following May 31, 2023 provided that the shares subject to the option will in any case be fully vested on the date of the Company's next annual meeting of stockholders.

SEC source: 0001209191-23-002885 · doc4.xml · derivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,900

Underlying: Common Stock · 3,900 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock award ("RSU") represents a contingent right to receive 1 share of the Issuer's Common Stock upon settlement for no consideration.

F3 · derivative.exercise_date: The RSUs vests as to 100% of the total RSUs on the date of the Issuer's 2024 annual meeting of shareholders, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

F3 · derivative.expiration_date: The RSUs vests as to 100% of the total RSUs on the date of the Issuer's 2024 annual meeting of shareholders, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001209191-23-002885 · doc4.xml · derivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,600

Underlying: Common Stock · 10,600 shares

Expires 2033-01-05

F1 · derivative.exercise_date: The stock option vests as to 1/12 of the total shares monthly commencing on February 6, 2023 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001209191-22-037667 · doc4.xml · derivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,500

Underlying: Common Stock · 28,500 shares

Expires 2032-06-15

F2 · derivative.exercise_date: The stock option will vest and become fully exercisable on the earlier to occur of (i) the one year anniversary of the date of grant and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders.

SEC source: 0001209191-22-037667 · doc4.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,650

F1 · kind: Represents restricted stock units granted pursuant to the Issuer's Equity Incentive Plan. The RSUs are scheduled to vest on the earlier to occur of (i) the one year anniversary of the date of grant and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders.

SEC source: 0001209191-22-037517 · doc4.xml · derivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-06-14

F1 · derivative.exercise_date: The shares subject to the option vest in equal monthly installments over 12 months following June 15, 2022 provided that the shares subject to the option will in any case be fully vested on the date of the Company's next annual meeting of stockholders.

SEC source: 0001867096-22-000091 · wf-form4_165480922056229.xml · derivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-06-08

F2 · derivative.exercise_date: Such options will vest in full upon the earlier to occur of June 8, 2023 or the date of the Company's next annual meeting of stockholders.

SEC source: 0001867096-22-000091 · wf-form4_165480922056229.xml · nonDerivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,659

F1 · shares: These shares were acquired pursuant to a restricted stock unit award under the Company's 2018 Stock Option and Incentive Plan. Each restricted stock represents a contingent right to receive one share of the Company's common stock. These shares shall vest in full upon the earlier to occur of June 8, 2023 or the date of the Company's next annual meeting of stockholders.

SEC source: 0001209191-22-009347 · doc4.xml · derivative · entry 1

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,200

Underlying: Common Stock · 9,200 shares

Expires 2032-02-09

F1 · derivative.exercise_date: The stock option vests as of 1/12 of the total shares monthly beginning on March 10, 2022 until fully vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0000899243-21-039323 · doc4.xml · derivative · entry 5

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,228

Underlying: Common Stock · 11,228 shares

Expires 2031-06-08

F2 · kind: At the Merger Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Merger Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Merger Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option.

F2 · price: At the Merger Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Merger Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Merger Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option.

F4 · derivative.exercise_date: Such options will vest in full upon the earlier to occur of June 8, 2022 or the date of the Company's next annual meeting of stockholders.

SEC source: 0000899243-21-039323 · doc4.xml · derivative · entry 4

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,228

Underlying: Common Stock · 11,228 shares

Expires 2030-06-04

F2 · kind: At the Merger Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Merger Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Merger Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option.

F2 · price: At the Merger Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Merger Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Merger Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option.

F3 · derivative.exercise_date: These options are fully vested as of the date hereof.

SEC source: 0000899243-21-039323 · doc4.xml · derivative · entry 3

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2029-02-27

F2 · kind: At the Merger Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Merger Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Merger Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option.

F2 · price: At the Merger Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Merger Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Merger Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option.

F3 · derivative.exercise_date: These options are fully vested as of the date hereof.

SEC source: 0000899243-21-039323 · doc4.xml · derivative · entry 2

Schmid John P. · CIK 0001478916 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,220

Underlying: Common Stock · 25,220 shares

Expires 2028-05-15

F2 · kind: At the Merger Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Merger Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Merger Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option.

F2 · price: At the Merger Effective Time, each option to purchase shares of Xeris common stock (the "Xeris Option") that was outstanding immediately prior to the Merger Effective Time, whether vested or unvested, was automatically converted into an option to purchase shares of HoldCo common stock (the "HoldCo Option"), on the same terms and conditions including any applicable vesting and exercisability requirements) as were applicable to such Xeris Option immediately prior to the Merger Effective Time, including that the number of shares of HoldCo common stock subject to the HoldCo Option is equal to the number of shares that were subject to the Xeris Option and the exercise price applicable to the HoldCo Option is the same as applied to the Xeris Option.

F3 · derivative.exercise_date: These options are fully vested as of the date hereof.