PFIZER INC

SEC source: 0000078003-24-000169 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · Former 10% Owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated December 6, 2023, by and among AbbVie Inc. ("AbbVie"), Symphony Harlan LLC, Symphony Harlan Merger Sub Inc. ("Merger Sub") and Cerevel Therapeutics Holdings, Inc. ("Issuer"), on August 1, 2024 (the "Effective Time"), Merger Sub merged with and into Issuer, with Issuer surviving as a wholly owned subsidiary of AbbVie upon consummation of the transactions contemplated by the Merger Agreement. At the Effective Time, each outstanding share of common stock was cancelled and converted into the right to receive $45.00 in cash (the "Merger Consideration"), without interest.

SEC source: 0000078003-23-000050 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,952,263

SEC source: 0000078003-23-000052 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,952,263

F1 · shares: The securities were issued under that certain first amendment dated March 16, 2023 to the Amended and Restated License Agreement dated October 14, 2022 between the Reporting Person and the Issuer, pursuant to which the Issuer agreed to issue to the Reporting Person such number of shares of common stock equivalent to $5.0 million at a per share price equal to the closing price of the Issuer's common stock on the business day when the closing price of the Issuer's common stock on the Nasdaq Global Select Market is at or above $2.46 per share on any day between March 16, 2023 and a date that is within 180 days following October 6, 2022.

F2 · price: On March 17, 2023, the closing price of the Issuer's common stock on the Nasdaq Global Select Market was $2.76 per share.

SEC source: 0000078003-20-000080 · primary_doc.xml · derivative · entry 2

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote (2)

Disclosed balance after: 0

Underlying: Common Stock · 2,238,090 shares

Expires not disclosed

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

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

F1 · price: Each share of Series D Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering, for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

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

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

F2 · ownership.nature: Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc.

SEC source: 0000078003-20-000080 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote(2)

Disclosed balance after: 2,238,090

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

F1 · price: Each share of Series D Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering, for no additional consideration. The Series D Convertible Preferred Stock had no expiration date.

F2 · ownership.nature: Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer Inc.

SEC source: 0000899243-20-031144 · doc4.xml · nonDerivative · entry 2

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · kind: On November 16, 2020, the reporting person disposed of all its shares of common stock of the Issuer in connection with the spin-off of the Issuer from the reporting person.

SEC source: 0000899243-20-031144 · doc4.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 689,874,047

F1 · kind: On November 13, 2020, the reporting person acquired 689,873,947 shares of common stock of the Issuer as partial consideration for the contribution by the reporting person of certain assets and liabilities related to the reporting person's global, primarily off-patent branded and generic established medicines business to the Issuer.

SEC source: 0000078003-20-000067 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,349,211

F1 · kind: On October 27, 2020, Pfizer Inc. purchased 1,200,000 shares of the Common Stock of Cerevel Therapeutics Holdings, Inc. (f/k/a ARYA Sciences Acquisition Corp II, the "Issuer") from the Issuer at a price of $10.00 per share in a private investment in public equity (PIPE) financing.

SEC source: 0000078003-20-000038 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Strategic Investment Holdings LLC · CIK 0001776115 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,879,973

F1 · shares: All of the shares disposed of were sold by Pfizer Inc. ("Pfizer")

F2 · balance_after: Represents 2,410,071 shares held of record by Pfizer Ventures (US) LLC, a controlled affiliate of Pfizer, 254,205 shares held of record by Pfizer, and 215,697 shares held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer.

F3 · ownership.direct: Each Reporting Person disclaims beneficial ownership of securities reported on this Form 4, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-20-000023 · primary_doc.xml · derivative · entry 7

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pfizer Ventures (US) LLC

Disclosed balance after: 0

Underlying: Common Stock · 300,752 shares

Expires not disclosed

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

F3 · derivative.exercise_price: On March 16, 2020, the Issuer's Series B Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series B Preferred Stock had no expiration date.

F3 · derivative.exercise_date: On March 16, 2020, the Issuer's Series B Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series B Preferred Stock had no expiration date.

F3 · derivative.expiration_date: On March 16, 2020, the Issuer's Series B Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series B Preferred Stock had no expiration date.

F4 · ownership.direct: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-20-000023 · primary_doc.xml · derivative · entry 6

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pfizer Ventures (US) LLC

Disclosed balance after: 0

Underlying: Common Stock · 868,467 shares

Expires not disclosed

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

F2 · derivative.exercise_price: On March 16, 2020, each share of Series A Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock had no expiration date.

F2 · derivative.exercise_date: On March 16, 2020, each share of Series A Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock had no expiration date.

F2 · derivative.expiration_date: On March 16, 2020, each share of Series A Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock had no expiration date.

F4 · ownership.direct: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-20-000023 · primary_doc.xml · derivative · entry 5

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 76,003 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: On March 16, 2020, each share of Series Seed Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series Seed Preferred Stock had no expiration date.

F1 · derivative.exercise_date: On March 16, 2020, each share of Series Seed Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series Seed Preferred Stock had no expiration date.

F1 · derivative.expiration_date: On March 16, 2020, each share of Series Seed Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series Seed Preferred Stock had no expiration date.

F4 · ownership.direct: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-20-000023 · primary_doc.xml · nonDerivative · entry 4

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pfizer Ventures (US) LLC

Disclosed balance after: 1,481,719

F5 · price: Pfizer Ventures (US) LLC purchased 312,500 additional shares of common stock in the Issuer's initial public offering at the initial public offering price of $16.00 per share.

F4 · ownership.direct: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-20-000023 · primary_doc.xml · nonDerivative · entry 3

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pfizer Ventures (US) LLC

Disclosed balance after: 1,169,219

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

F3 · price: On March 16, 2020, the Issuer's Series B Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series B Preferred Stock had no expiration date.

F4 · ownership.direct: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-20-000023 · primary_doc.xml · nonDerivative · entry 2

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Pfizer Ventures (US) LLC

Disclosed balance after: 868,467

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 · price: On March 16, 2020, each share of Series A Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series A Preferred Stock had no expiration date.

F4 · ownership.direct: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-20-000023 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,003

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: On March 16, 2020, each share of Series Seed Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series Seed Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Series Seed Preferred Stock had no expiration date.

F4 · ownership.direct: Each reporting person disclaims ownership of securities held by each other reporting person, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-19-000071 · primary_doc.xml · derivative · entry 7

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 526,602 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series B Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer ("PVUS").

F3 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series B Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer ("PVUS").

F3 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series B Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer ("PVUS").

F3 · derivative.underlying_shares: Each share of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series B Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer ("PVUS").

F5 · ownership.direct: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein.

SEC source: 0000078003-19-000071 · primary_doc.xml · derivative · entry 6

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,039,051 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer.

F2 · derivative.underlying_shares: Each share of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer.

F5 · ownership.direct: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein.

SEC source: 0000078003-19-000071 · primary_doc.xml · derivative · entry 5

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 978,194 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Junior Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Junior Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Inc. ("Pfizer").

F1 · derivative.exercise_date: Each share of Junior Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Junior Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Inc. ("Pfizer").

F1 · derivative.expiration_date: Each share of Junior Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Junior Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Inc. ("Pfizer").

F1 · derivative.underlying_shares: Each share of Junior Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Junior Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Inc. ("Pfizer").

F5 · ownership.direct: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein.

SEC source: 0000078003-19-000071 · primary_doc.xml · nonDerivative · entry 4

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,593,847

F4 · shares: PVUS purchased such additional shares of Common Stock in the Issuer's initial public offering at the initial public offering price of $18.00 per share.

F5 · ownership.direct: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein.

SEC source: 0000078003-19-000071 · primary_doc.xml · nonDerivative · entry 3

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,543,847

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

F3 · shares: Each share of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series B Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer ("PVUS").

F3 · price: Each share of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series B Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Ventures (US) LLC, a wholly-owned subsidiary of Pfizer ("PVUS").

F5 · ownership.direct: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein.

SEC source: 0000078003-19-000071 · primary_doc.xml · nonDerivative · entry 2

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,017,245

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 · shares: Each share of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer.

F2 · price: Each share of Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer.

F5 · ownership.direct: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein.

SEC source: 0000078003-19-000071 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 978,194

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: Each share of Junior Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Junior Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Inc. ("Pfizer").

F1 · price: Each share of Junior Series A Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 6.5810:1 basis upon the closing of the Issuer's initial public offering for no additional consideration. The Junior Series A Convertible Preferred Stock had no expiration date. Such shares are held of record by Pfizer Inc. ("Pfizer").

F5 · ownership.direct: Each Reporting Person disclaims ownership of securities held by the other Reporting Person, except to the extent of its pecuniary interest therein.

SEC source: 0000078003-19-000027 · primary_doc.xml · derivative · entry 7

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

Pfizer Strategic Investment Holdings LLC · CIK 0001776115 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 624,205 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of securities reported on this Form 4, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-19-000027 · primary_doc.xml · derivative · entry 6

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

Pfizer Strategic Investment Holdings LLC · CIK 0001776115 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 215,697 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of securities reported on this Form 4, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-19-000027 · primary_doc.xml · derivative · entry 5

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

Pfizer Strategic Investment Holdings LLC · CIK 0001776115 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,360,071 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of securities reported on this Form 4, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-19-000027 · primary_doc.xml · nonDerivative · entry 4

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

Pfizer Strategic Investment Holdings LLC · CIK 0001776115 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,249,973

F3 · price: PVUS purchased 50,000 additional shares of common stock in the Issuer's initial public offering for consideration of $17.00 per share.

F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of securities reported on this Form 4, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-19-000027 · primary_doc.xml · nonDerivative · entry 3

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

Pfizer Strategic Investment Holdings LLC · CIK 0001776115 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,199,973

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

F1 · price: Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of securities reported on this Form 4, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-19-000027 · primary_doc.xml · nonDerivative · entry 2

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

Pfizer Strategic Investment Holdings LLC · CIK 0001776115 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,575,768

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

F1 · price: Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of securities reported on this Form 4, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-19-000027 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

Pfizer Ventures (US) LLC · CIK 0001776087 · 10% owner

Pfizer Strategic Investment Holdings LLC · CIK 0001776115 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,360,071

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

F1 · price: Each share of the Series A Redeemable Convertible Preferred Common Stock ("Series A Preferred Stock"), which consists of 2,360,071 shares of Series A Preferred Stock held of record by Pfizer Ventures (US) LLC ("PVUS"), a controlled affiliate of Pfizer Inc. ("Pfizer"), and each share of the Series B Redeemable Convertible Preferred Stock ("Series B Preferred Stock" and together with the Series A Preferred Stock, the "Preferred Stock"), which consists of (a) 215,697 shares of Series B Preferred Stock held of record by Pfizer Strategic Investment Holdings LLC, a controlled affiliate of Pfizer, and (b) 624,205 shares of Series B Preferred Stock held of record by Pfizer, converted into common stock of Cortexyme, Inc. (the "Issuer") on a one-for-one basis upon the closing of the Issuer's initial public offering for no additional consideration. The Preferred Stock had no expiration date.

F2 · ownership.direct: Each Reporting Person disclaims beneficial ownership of securities reported on this Form 4, except to the extent of its respective pecuniary interest therein.

SEC source: 0000078003-18-000095 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · Director

C.P. Pharmaceuticals International C.V. · CIK 0001697389 · See Note (1)

Pfizer Production LLC · CIK 0001697379 · See Note (1)

Pfizer Manufacturing LLC · CIK 0001697471 · See Note (1)

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

10b5-1 filing: Not disclosed

Ownership: Indirect · -

Disclosed balance after: 0

F1 · balance_after: These shares were owned directly by C.P. Pharmaceuticals International C.V. ("CPPI"), whose general partners are Pfizer Production LLC ("PPL") and Pfizer Manufacturing LLC ("PPM"). CPPI, PPL and PPM are indirect wholly-owned subsidiaries of Pfizer Inc. ("Pfizer"). Pfizer, PPL and PPM were indirect beneficial owners of the shares, but each of PPL and PML, as a general partner of CPPI, disclaims ownership of securities held by CPPI except to the extent of any pecuniary interest therein.

F1 · ownership.direct: These shares were owned directly by C.P. Pharmaceuticals International C.V. ("CPPI"), whose general partners are Pfizer Production LLC ("PPL") and Pfizer Manufacturing LLC ("PPM"). CPPI, PPL and PPM are indirect wholly-owned subsidiaries of Pfizer Inc. ("Pfizer"). Pfizer, PPL and PPM were indirect beneficial owners of the shares, but each of PPL and PML, as a general partner of CPPI, disclaims ownership of securities held by CPPI except to the extent of any pecuniary interest therein.

F1 · ownership.nature: These shares were owned directly by C.P. Pharmaceuticals International C.V. ("CPPI"), whose general partners are Pfizer Production LLC ("PPL") and Pfizer Manufacturing LLC ("PPM"). CPPI, PPL and PPM are indirect wholly-owned subsidiaries of Pfizer Inc. ("Pfizer"). Pfizer, PPL and PPM were indirect beneficial owners of the shares, but each of PPL and PML, as a general partner of CPPI, disclaims ownership of securities held by CPPI except to the extent of any pecuniary interest therein.

SEC source: 0000078003-18-000080 · primary_doc.xml · derivative · entry 3

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,976,484 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: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's Series A-1 Convertible Preferred Stock (the "Preferred Stock") converted into the Issuer's common stock on a 1-for-5.25 basis without payment or consideration. The Preferred Stock had no expiration date.

F1 · derivative.exercise_date: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's Series A-1 Convertible Preferred Stock (the "Preferred Stock") converted into the Issuer's common stock on a 1-for-5.25 basis without payment or consideration. The Preferred Stock had no expiration date.

F1 · derivative.expiration_date: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's Series A-1 Convertible Preferred Stock (the "Preferred Stock") converted into the Issuer's common stock on a 1-for-5.25 basis without payment or consideration. The Preferred Stock had no expiration date.

SEC source: 0000078003-18-000080 · primary_doc.xml · nonDerivative · entry 2

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,032,040

SEC source: 0000078003-18-000080 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,976,484

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: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's Series A-1 Convertible Preferred Stock (the "Preferred Stock") converted into the Issuer's common stock on a 1-for-5.25 basis without payment or consideration. The Preferred Stock had no expiration date.

SEC source: 0000078003-18-000075 · primary_doc.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · Director · 10% owner

C.P. Pharmaceuticals International C.V. · CIK 0001697389 · 10% owner

Pfizer Production LLC · CIK 0001697379 · 10% owner

Pfizer Manufacturing LLC · CIK 0001697471 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · _

Disclosed balance after: 2,500,000

F1 · balance_after: These shares are owned directly by C.P. Pharmaceuticals International C.V. ("CPPI"), whose general partners are Pfizer Production LLC ("PPL") and Pfizer Manufacturing LLC ("PPM"). CPPI, PPL and PPM are indirect wholly-owned subsidiaries of Pfizer Inc. ("Pfizer"). Pfizer, PPL and PPM are indirect beneficial owners of the shares, but each of PPL and PML, as a general partner of CPPI, disclaims ownership of securities held by CPPI except to the extent of any pecuniary interest therein.

F1 · ownership.direct: These shares are owned directly by C.P. Pharmaceuticals International C.V. ("CPPI"), whose general partners are Pfizer Production LLC ("PPL") and Pfizer Manufacturing LLC ("PPM"). CPPI, PPL and PPM are indirect wholly-owned subsidiaries of Pfizer Inc. ("Pfizer"). Pfizer, PPL and PPM are indirect beneficial owners of the shares, but each of PPL and PML, as a general partner of CPPI, disclaims ownership of securities held by CPPI except to the extent of any pecuniary interest therein.

SEC source: 0001104659-17-061575 · a4.xml · derivative · entry 5

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 940,125 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: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date.

F2 · shares: Reflects the number of shares of Series A Preferred and Series A-1 Preferred, as applicable, held by the Reporting Person on an as-converted to common stock basis.

F1 · derivative.exercise_date: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date.

F1 · derivative.expiration_date: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date.

F2 · derivative.underlying_shares: Reflects the number of shares of Series A Preferred and Series A-1 Preferred, as applicable, held by the Reporting Person on an as-converted to common stock basis.

SEC source: 0001104659-17-061575 · a4.xml · derivative · entry 4

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 447,514 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: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date.

F2 · shares: Reflects the number of shares of Series A Preferred and Series A-1 Preferred, as applicable, held by the Reporting Person on an as-converted to common stock basis.

F1 · derivative.exercise_date: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date.

F1 · derivative.expiration_date: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date.

F2 · derivative.underlying_shares: Reflects the number of shares of Series A Preferred and Series A-1 Preferred, as applicable, held by the Reporting Person on an as-converted to common stock basis.

SEC source: 0001104659-17-061575 · a4.xml · nonDerivative · entry 3

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,427,639

SEC source: 0001104659-17-061575 · a4.xml · nonDerivative · entry 2

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,387,639

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: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date.

SEC source: 0001104659-17-061575 · a4.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 447,514

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: In connection with the closing of the Issuer's initial public offering, each share of the Issuer's series A convertible preferred stock (the "Series A Preferred") and series A-1 junior preferred stock (the "Series A-1 Preferred") converted into the Issuer's common stock on a 9.17-for-one basis without payment or consideration. The Series A Preferred and the Series A-1 Preferred had no expiration date.

SEC source: 0001225208-15-019424 · doc4.xml · nonDerivative · entry 3

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,489,364

F2 · kind: The reporting person received 235,855 shares of Common Stock as a payment-in-kind dividend in connection with the conversion of the reporting person's Series C Convertible and Series D Convertible Preferred Stock into shares of Common Stock.

SEC source: 0001225208-15-019424 · doc4.xml · nonDerivative · entry 2

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,253,509

SEC source: 0001225208-15-019424 · doc4.xml · derivative · entry 5

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 491,418 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date.

F1 · price: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date.

F1 · derivative.exercise_date: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date.

F1 · derivative.expiration_date: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date.

SEC source: 0001225208-15-019424 · doc4.xml · derivative · entry 4

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,047,806 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date.

F1 · price: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date.

F1 · derivative.exercise_date: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date.

F1 · derivative.expiration_date: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date.

SEC source: 0001225208-15-019424 · doc4.xml · nonDerivative · entry 1

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,539,224

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

F1 · price: Each share of the issuer's Series C Convertible and Series D Convertible Preferred Stock converted into Common Stock of the issuer on a 1-to-1 basis immediately prior to the closing of the issuer's initial public offering, and has no expiration date.

SEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 17

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 975,403

F16 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.00 to $23.99, inclusive.

SEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 16

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,034,035

F15 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.00 to $22.98, inclusive.

SEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 15

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,078,303

F14 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.00 to $24.90, inclusive.

SEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 14

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,109,703

F13 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.82, inclusive.

SEC source: 0001225208-15-016754 · doc4.xml · nonDerivative · entry 13

PFIZER INC · CIK 0000078003 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,135,634

F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.00 to $26.99, inclusive.