Sukhtian Faisal Ghiath

SEC source: 0001649989-26-000008 · primary_doc.xml · nonDerivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 220,972

SEC source: 0001649989-26-000004 · primary_doc.xml · nonDerivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,574

SEC source: 0001649989-25-000003 · primary_doc.xml · derivative · entry 2

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,296

Underlying: Common Stock · 117,296 shares

Expires 2035-10-03

F2 · derivative.exercise_date: The options were granted under the 2024 Plan in lieu of $110,000 cash fees payable under the Issuer's Non-Employee Director Compensation Policy and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2026, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001649989-25-000003 · primary_doc.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 286,734

Underlying: Common Stock · 286,734 shares

Expires 2035-10-01

F1 · derivative.exercise_date: This option grant is an annual stock option grant under the Issuer's Non-Employee Director Compensation Policy and the Issuer's 2024 Equity Incentive Plan (the "2024 Plan") and shall fully vest on October 1, 2026, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-25-003258 · form4-02062025_090213.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,323

Underlying: Common Stock · 12,323 shares

Expires 2035-02-04

F1 · derivative.exercise_date: The shares underlying the option shall vest in three (3) equal installments on each of March 31, 2025, June 30, 2025 and September 30, 2025, subject to the Optionholder's Continuous Service to the Issuer through such vesting date.

SEC source: 0001415889-24-024703 · form4-10032024_081005.xml · derivative · entry 3

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,771

Underlying: Common Stock · 19,771 shares

Expires 2034-10-03

F3 · derivative.exercise_date: The options were granted under the 2024 Plan in lieu of $90,000 cash fees payable under the Issuer's Non-Employee Director Compensation Policy and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024703 · form4-10032024_081005.xml · derivative · entry 2

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,430

Underlying: Common Stock · 134,430 shares

Expires 2034-10-01

F2 · derivative.exercise_date: This option grant was made under the 2024 Plan and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-024703 · form4-10032024_081005.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,636

Underlying: Common Stock · 56,636 shares

Expires 2034-10-01

F1 · derivative.exercise_date: This option grant is an annual stock option grant under the Issuer's Non-Employee Director Compensation Policy and the Issuer's 2024 Equity Incentive Plan (the "2024 Plan") and shall fully vest on October 1, 2025, subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2024 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001415889-24-007326 · form4-03082024_090335.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,441

Underlying: Common Stock · 94,441 shares

Expires 2034-03-07

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 7, 2025; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-23-052233 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 372,671

Underlying: Common Stock · 372,671 shares

Expires 2033-10-04

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $78,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2024, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-23-021906 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,065

Underlying: Common Stock · 41,065 shares

Expires 2033-03-29

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 29,2024; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-22-053357 · doc4.xml · nonDerivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.29 - $1.295, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote to this Form 4.

F2 · balance_after: Reflects the amount of securities beneficially owned by the Reporting Person following the reported transaction herein and corrects the erroneous Form 4 filed with the Securities and Exchange Commission on April 22, 2022 (the "April 22, 2022 Filing"), pursuant to which a total of 55,816,786 shares were reported as indirectly beneficially owned (by GMS Ventures) on Table I. These shares are indirectly beneficially owned by Ghiath M. Sukhtian (CIK number 0001717441) and not by the Reporting Person. The April 22, 2022 Filing was erroneously made under the Reporting Person's CIK number.

SEC source: 0001209191-22-053113 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,878

Underlying: Common Stock · 74,878 shares

Expires 2032-10-05

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $78,000 cash fees payable under the Issuer's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2023, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0000947871-22-000476 · ownership.xml · nonDerivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director · 10% owner

GMS Ventures & Investments · CIK 0001804598 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 55,816,786

F1 · kind: On April 21, 2022, GMS Ventures & Investments ("GMS Ventures") entered into a share purchase agreement with BioLexis Pte Ltd. ("BioLexis"), pursuant to which, in connection with the transactions contemplated thereby (the "Restructuring"), GMS Ventures took direct ownership of the Issuer's shares that GMS Ventures and its affiliates (collectively, "GMS") indirectly held through its ownership in BioLexis. Upon the completion of the Restructuring, GMS will no longer be a shareholder in BioLexis. The transfer of the Issuer's shares to GMS Ventures in connection with the Restructuring occurred at the historic cost basis of GMS's investment in BioLexis for accounting purposes. The Reporting Persons hereby undertake to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the price at which the transfer was effected.

F1 · price: On April 21, 2022, GMS Ventures & Investments ("GMS Ventures") entered into a share purchase agreement with BioLexis Pte Ltd. ("BioLexis"), pursuant to which, in connection with the transactions contemplated thereby (the "Restructuring"), GMS Ventures took direct ownership of the Issuer's shares that GMS Ventures and its affiliates (collectively, "GMS") indirectly held through its ownership in BioLexis. Upon the completion of the Restructuring, GMS will no longer be a shareholder in BioLexis. The transfer of the Issuer's shares to GMS Ventures in connection with the Restructuring occurred at the historic cost basis of GMS's investment in BioLexis for accounting purposes. The Reporting Persons hereby undertake to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the price at which the transfer was effected.

F2 · ownership.nature: These securities are held of record by GMS Ventures. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Ventures. GMS Ventures has designated two representatives to serve on the Issuer's board of directors. Therefore, each of GMS Ventures and Ghiath Sukhtian may be deemed a director by deputization.

F3 · ownership.nature: By virtue of the relationships described above in Footnote 2, Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by GMS Ventures noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0001209191-22-020953 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,878

Underlying: Common Stock · 21,878 shares

Expires 2032-03-23

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall fully vest on the earlier of (i) March 23,2023; or (ii) the date of the Issuer's next annual meeting of stockholders, in each case subject to the Reporting Person providing continuous service to the Issuer on such date. In addition, the shares underlying the options are subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer immediately prior to such Change in Control.

SEC source: 0001209191-21-067648 · doc4.xml · nonDerivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,000

SEC source: 0001209191-21-059949 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,753

Underlying: Common Stock · 44,753 shares

Expires 2031-10-05

F1 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $78,000 cash fees payable under the Issuers's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2022, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-21-027684 · doc4.xml · nonDerivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

SEC source: 0001209191-21-023281 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,873

Underlying: Common Stock · 20,873 shares

Expires 2031-03-24

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on March 24, 2022, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-20-053872 · doc4.xml · derivative · entry 2

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,721

Underlying: Common Stock · 151,721 shares

Expires 2030-10-05

F2 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $78,000 cash fees payable under the Issuers's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2021, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-20-053872 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 296,352

Underlying: Common Stock · 296,352 shares

Expires 2030-10-01

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on October 1, 2021, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-20-051046 · doc4.xml · nonDerivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6691 to $0.6789, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

SEC source: 0001209191-20-043226 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,000

Underlying: Common Stock · 135,000 shares

Expires 2030-07-17

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on July 17, 2021, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-20-020511 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-03-19

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on March 19, 2021, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan, subject to the Reporting Person providing continuous service to the Issuer through such event.

SEC source: 0001209191-19-052710 · doc4.xml · derivative · entry 2

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,772

Underlying: Common Stock · 86,772 shares

Expires 2029-10-03

F2 · derivative.exercise_date: The options were granted under the 2015 Plan in lieu of $85,500 cash fees payable under the Issuers's non-employee Director compensation program and vest in four equal quarterly installments on the last day of each fiscal quarter such that they are vested in full on September 30, 2020, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-19-052710 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-10-03

F1 · derivative.exercise_date: The options were granted under the Issuer's 2015 Equity Incentive Plan (the "2015 Plan") and shall vest in full on the one year anniversary of the grant date, subject to the Reporting Person providing continuous service to the Issuer on such date and subject to acceleration upon a Change in Control as defined in the 2015 Plan.

SEC source: 0001209191-19-007382 · doc4.xml · nonDerivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner

Sukhtian Faisal Ghiath · CIK 0001716033 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,770,503

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0001209191-19-000912 · doc4.xml · nonDerivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner

Sukhtian Faisal Ghiath · CIK 0001716033 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,481,879

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0001209191-18-064382 · doc4.xml · derivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner

Sukhtian Faisal Ghiath · CIK 0001716033 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,708

Underlying: Common Stock · 227,531 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date.

F2 · kind: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1.

F2 · shares: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1.

F1 · derivative.exercise_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date.

F1 · derivative.expiration_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date.

F3 · ownership.direct: These securities are held of record by BioLexis. Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0001209191-18-061332 · doc4.xml · nonDerivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner

Sukhtian Faisal Ghiath · CIK 0001716033 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,193,255

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0001209191-18-057995 · doc4.xml · nonDerivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner

Sukhtian Faisal Ghiath · CIK 0001716033 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,904,631

F1 · ownership.direct: These securities are held of record by BioLexis Pte Ltd. ("BioLexis"). Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F2 · ownership.direct: By virtue of the relationships described above in Footnote 1, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0001209191-18-053237 · doc4.xml · derivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · 10% owner

Pillai Arun Kumar · CIK 0001717437 · 10% owner

Sukhtian Faisal Ghiath · CIK 0001716033 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,383

Underlying: Common Stock · 249,151 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date.

F2 · kind: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1.

F2 · shares: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1.

F1 · derivative.exercise_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date.

F1 · derivative.expiration_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date.

F3 · ownership.direct: These securities are held of record by BioLexis. Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0001209191-18-064381 · doc4a.xml · derivative · entry 1

BioLexis Pte Ltd. · CIK 0001716335 · Director · 10% owner

Pillai Arun Kumar · CIK 0001717437 · Director · 10% owner

Sukhtian Faisal Ghiath · CIK 0001716033 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,203

Underlying: Common Stock · 221,937 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date.

F2 · kind: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1.

F2 · shares: Represents shares of Series A-1 received by BioLexis Pte Ltd. ("BioLexis") as a payment-in-kind dividend on previously acquired Series A-1.

F1 · derivative.exercise_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date.

F1 · derivative.expiration_date: Each share of the Series A-1 Convertible Preferred Stock (the "Series A-1") is convertible into shares of the Issuer's common stock, par value $0.01 per share ("Shares") at any time at the election of the holder. The Series A-1 has no expiration date.

F3 · ownership.direct: These securities are held of record by BioLexis. Tenshi Life Sciences Private Limited ("Tenshi"), a private investment vehicle controlled by Arun Kumar Pillai ("Kumar"), and GMS Pharma (Singapore) Pte. Limited ("GMS Pharma"), a private investment company and wholly-owned subsidiary of GMS Holdings, are the 50:50 beneficial owners of BioLexis, in which each of Tenshi and GMS Pharma owns 50% of the outstanding voting shares. Kumar, a natural person, is the holder of a controlling interest in Tenshi. Ghiath M. Sukhtian ("Ghiath Sukhtian"), a natural person, is the holder of a controlling interest in GMS Holdings, which is the holder of a controlling interest in GMS Pharma.

F4 · ownership.direct: By virtue of the relationships described above in Footnote 3, Kumar and Ghiath Sukhtian may be deemed to have voting and investment power with respect to the securities held by BioLexis noted above and as a result may be deemed to beneficially own such securities for purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). The Reporting Persons disclaim beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Exchange Act, except to the extent of its or his pecuniary interest therein, if any. BioLexis has designated four representatives to serve on the Issuer's board of directors. This report shall not be deemed an admission that any of the Reporting Persons are the beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

SEC source: 0001209191-17-058965 · doc4.xml · derivative · entry 1

Sukhtian Faisal Ghiath · CIK 0001716033 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-10-31

F1 · derivative.exercise_date: 33.33% of the shares underlying the option shall vest on each of the first, second and third anniversaries of the grant date, such that 100% of the shares underlying the option shall be vested on October 31, 2020, subject to the Reporting Person providing continued service through such date.