Dalal Anupam

SEC source: 0001602474-26-000004 · form4-07302026_080728.xml · derivative · entry 3

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,040

Underlying: Common Stock · 38,040 shares

Expires 2036-06-12

F2 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through such applicable date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Date of Grant or (ii) the day immediately prior to the next annual meeting of stockholders following the Date of Grant. "Date of Grant" shall mean June 12, 2026.

SEC source: 0001602474-26-000004 · form4-07302026_080728.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 4,685,912

F1 · ownership.nature: Consists of (i) 3,538,288 shares held by Acuta Capital Fund, LP ("Acuta Capital") and (ii) 1,147,624 shares held by Acuta Opportunity Fund, LP. ("Acuta Opportunity Fund"). Acuta Capital Partners, LLC ("Acuta Partners") is the general partner of each of Acuta Capital and Acuta Opportunity Fund. The Reporting Person is the Chief Investment Officer and Managing Member of Acuta Partners. The Reporting Person has voting and investment authority over all of the shares held by each of Acuta Capital and Acuta Opportunity Fund. Each of Acuta Partners and the Reporting Person disclaim beneficial ownership of the shares of common stock held by each of Acuta Capital and Acuta Opportunity Fund except to the extent of their pecuniary interest therein.

SEC source: 0001415889-25-017407 · form4-06162025_080639.xml · derivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,006

Underlying: Common Stock · 40,006 shares

Expires 2035-06-12

F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through such applicable date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Date of Grant or (ii) the day immediately prior to the next annual meeting of stockholders following the Date of Grant. "Date of Grant" shall mean June 12, 2025.

SEC source: 0001415889-25-007096 · form4-03062025_120354.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 3,410,402

F1 · ownership.nature: Consists of (i) 2,535,488 shares held by Acuta Capital Fund, LP ("Acuta Capital") and (ii) 874,914 shares held by Acuta Opportunity Fund, LP. ("Acuta Opportunity Fund"). Acuta Capital Partners, LLC ("Acuta Partners") is the general partner of each of Acuta Capital and Acuta Opportunity Fund. The Reporting Person is the Chief Investment Officer and Managing Member of Acuta Partners. The Reporting Person has voting and investment authority over all of the shares held by each of Acuta Capital and Acuta Opportunity Fund. Each of Acuta Partners and the Reporting Person disclaim beneficial ownership of the shares of common stock held by each of Acuta Capital and Acuta Opportunity Fund except to the extent of their pecuniary interest therein.

SEC source: 0001415889-24-016865 · form4-06142024_080626.xml · derivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,832

Underlying: Common Stock · 45,832 shares

Expires 2034-06-12

F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through such applicable date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Date of Grant or (ii) the day immediately prior to the next annual meeting of stockholders following the Date of Grant. "Date of Grant" shall mean June 12, 2024.

SEC source: 0001209191-23-038662 · doc4.xml · derivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,255

Underlying: Common Stock · 28,255 shares

Expires 2033-06-15

F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through such applicable date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Date of Grant or (ii) the day immediately prior to the next annual meeting of stockholders following the Date of Grant. "Date of Grant" shall mean June 15, 2023.

SEC source: 0001209191-22-051390 · doc4.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,849,402

F1 · ownership.nature: Consists of (i) 1,572,698 shares held by Acuta Capital Fund, LP ("Acuta Capital") and (ii) 276,704 shares held by Acuta Opportunity Fund, LP. ("Acuta Opportunity Fund"). Acuta Capital Partners, LLC ("Acuta Partners") is the general partner of each of Acuta Capital and Acuta Opportunity Fund. The Reporting Person is the Chief Investment Officer and Managing Member of Acuta Partners. The Reporting Person has voting and investment authority over all of the shares held by each of Acuta Capital and Acuta Opportunity Fund. Each of Acuta Partners and the Reporting Person disclaim beneficial ownership of the shares of common stock held by each of Acuta Capital and Acuta Opportunity Fund except to the extent of their pecuniary interest therein.

SEC source: 0001209191-22-037874 · doc4.xml · derivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,573

Underlying: Common Stock · 18,573 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through such applicable date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of the (i) the one (1) year anniversary of the Date of Grant or (ii) the day immediately prior to the next annual meeting of stockholders following the Date of Grant. "Date of Grant" shall mean June 15, 2022.

SEC source: 0000899243-21-034546 · doc4.xml · derivative · entry 3

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,549

Underlying: Common Stock · 17,549 shares

Expires 2031-08-27

F2 · derivative.exercise_date: In connection with the closing of the merger by and between Aerpio Pharmaceuticals, Inc. and Aadi Bioscience, Inc., as approved by the stockholders of the Issuer on August 17, 2021, the Board granted on August 26, 2021 to the Reporting Person an Initial Award (as defined in the Issuer's Outside Director Compensation Policy and in accordance with the Issuer's 2021 Equity Incentive Plan (the "Plan")). Subject to the Reporting Person continuing to be a Service Provider (as defined in the Plan) through each applicable date, the Initial Award is scheduled to vest as to one thirty-sixth (1/36th) of the shares of common stock subject to the Initial Award on a monthly basis following the grant date on the same day of the month as the grant date (and if there is no corresponding day, on the last day of the month). The grant date is August 27, 2021.

SEC source: 0000899243-21-034546 · doc4.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,529,402

F1 · ownership.nature: Consists of (i) 1,284,698 shares held by Acuta Capital Fund, LP ("Acuta Capital") and (ii) 244,704 shares held by Acuta Opportunity Fund, LP. ("Acuta Opportunity Fund"). Acuta Capital Partners, LLC ("Acuta Partners") is the general partner of each of Acuta Capital and Acuta Opportunity Fund. The Reporting Person is the Chief Investment Officer and Manfred Yu is the Manager of Acuta Partners. Both the Reporting Person and Mr. Yu have voting and investment authority over all of the shares held by each of Actua Capital and Acuta Opportunity Fund. Each of Acuta Partners, The Reporting Person and Mr. Yu disclaims beneficial ownership of the shares of common stock held by each of Acuta Capital and Acuta Opportunity Fund except to the extent of their pecuniary interest therein.

SEC source: 0000899243-21-034635 · doc4a.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,529,402

F1 · ownership.nature: Consists of (i) 1,284,698 shares held by Acuta Capital Fund, LP ("Acuta Capital") and (ii) 244,704 shares held by Acuta Opportunity Fund, LP. ("Acuta Opportunity Fund"). Acuta Capital Partners, LLC ("Acuta Partners") is the general partner of each of Acuta Capital and Acuta Opportunity Fund. The Reporting Person is the Chief Investment Officer and Managing Member of Acuta Partners. The Reporting Person has voting and investment authority over all of the shares held by each of Acuta Capital and Acuta Opportunity Fund. Each of Acuta Partners and the Reporting Person disclaim beneficial ownership of the shares of common stock held by each of Acuta Capital and Acuta Opportunity Fund except to the extent of their pecuniary interest therein.

F2 · ownership.nature: This amendment is filed to correct footnote (1) included in the Form 4 filed August 30, 2021.

SEC source: 0000899243-21-027291 · doc4.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,959

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

SEC source: 0000899243-21-014675 · doc4.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,559

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

SEC source: 0000899243-21-004890 · doc4.xml · derivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,857

Underlying: Common Stock · 17,857 shares

Expires 2031-02-01

F1 · derivative.exercise_date: Options shall vest in four equal quarterly installments beginning on February 1, 2021.

SEC source: 0000899243-20-017776 · doc4.xml · derivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,144

Underlying: Common Stock · 52,144 shares

Expires 2030-06-24

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-19-017445 · doc4.xml · derivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,400

Underlying: Common Stock · 21,400 shares

Expires 2029-06-18

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-18-017756 · doc4.xml · derivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,400

Underlying: Common Stock · 21,400 shares

Expires 2028-06-20

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000899243-18-003896 · doc5.xml · nonDerivative · entry 2

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,269

F2 · kind: Pro rata distribution from Kearny Venture Associates II, LLC., of which the reporting person is a managing member.

SEC source: 0000899243-18-003896 · doc5.xml · nonDerivative · entry 1

Dalal Anupam · CIK 0001602474 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · ownership.nature: The 7,882 shares of Common Stock are owned by directly by TWHVP SPV, LLC ("TWHVP"). The general partner of TWHVP is Kearny Venture Associates II, LLC ("KVA II"). KVA II has the sole voting and investment control over the shares owned by TWHVP and the Managing Members of KVA II have sole voting and investment control over the shares controlled by KVA II. The Managing Members of KVA II are Caley Castelein, Anupam Dalal and Andrew Jensen. None of the Managing Members of KVA II have individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. Pursuant to the Limited Liability Company Agreement KVA II made an in-kind distribution to the members on December 22, 2017. KVA II currently owns 0 shares of the Issuer.