GSK plc

SEC source: 0001999371-25-020336 · gsk-form4_121225.xml · nonDerivative · entry 1

GSK plc · CIK 0001131399 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Corporation

Disclosed balance after: 18,245,691

F1 · ownership.nature: The shares reported herein are held of record by Glaxo Group Limited, a wholly-owned subsidiary of GSK plc (the "Reporting Person").

SEC source: 0001999371-24-012789 · wve-form4_092724.xml · nonDerivative · entry 1

GSK plc · CIK 0001131399 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Corporation

Disclosed balance after: 16,775,691

F1 · ownership.nature: The shares reported herein are held of record by Glaxo Group Limited, a wholly-owned subsidiary of GSK plc (the "Reporting Person").

SEC source: 0001999371-24-001192 · gsk-form4_120723.xml · nonDerivative · entry 1

GSK plc · CIK 0001131399 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Corporation

Disclosed balance after: 13,983,761

F1 · ownership.nature: The shares reported herein are held of record by Glaxo Group Limited, a wholly-owned subsidiary of GSK plc (the "Reporting Person").

SEC source: 0001387131-22-009897 · tbph-form4_091622.xml · derivative · entry 2

GSK PLC · CIK 0001131399 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Ordinary Shares · 9,256,882 shares

Expires not disclosed

F1 · kind: On September 16, 2022, the previously announced offer by GSK Finance (No.3) plc ("GSK Finance"), a wholly owned indirect subsidiary of GSK plc ("GSK"), to repurchase any and all of its Exchangeable Senior Notes due 2023 (the "Notes") exchangeable into ordinary shares ("Ordinary Shares") of Theravance Biopharma, Inc. ("Theravance Biopharma") expired, and on September 20, 2022, GSK Finance repurchased $269,061,000 aggregate principal amount of the Notes pursuant to that offer. The 9,644,792 Ordinary Shares that underlay the previously outstanding $280,336,000 aggregate principal amount of Notes were held directly by GSK Finance. Following the repurchase of the Notes and the subsequent cancellation of such Notes, $11,275,000 aggregate principal amount of Notes remain outstanding.

F1 · price: On September 16, 2022, the previously announced offer by GSK Finance (No.3) plc ("GSK Finance"), a wholly owned indirect subsidiary of GSK plc ("GSK"), to repurchase any and all of its Exchangeable Senior Notes due 2023 (the "Notes") exchangeable into ordinary shares ("Ordinary Shares") of Theravance Biopharma, Inc. ("Theravance Biopharma") expired, and on September 20, 2022, GSK Finance repurchased $269,061,000 aggregate principal amount of the Notes pursuant to that offer. The 9,644,792 Ordinary Shares that underlay the previously outstanding $280,336,000 aggregate principal amount of Notes were held directly by GSK Finance. Following the repurchase of the Notes and the subsequent cancellation of such Notes, $11,275,000 aggregate principal amount of Notes remain outstanding.

F1 · derivative.exercise_date: On September 16, 2022, the previously announced offer by GSK Finance (No.3) plc ("GSK Finance"), a wholly owned indirect subsidiary of GSK plc ("GSK"), to repurchase any and all of its Exchangeable Senior Notes due 2023 (the "Notes") exchangeable into ordinary shares ("Ordinary Shares") of Theravance Biopharma, Inc. ("Theravance Biopharma") expired, and on September 20, 2022, GSK Finance repurchased $269,061,000 aggregate principal amount of the Notes pursuant to that offer. The 9,644,792 Ordinary Shares that underlay the previously outstanding $280,336,000 aggregate principal amount of Notes were held directly by GSK Finance. Following the repurchase of the Notes and the subsequent cancellation of such Notes, $11,275,000 aggregate principal amount of Notes remain outstanding.

F1 · derivative.expiration_date: On September 16, 2022, the previously announced offer by GSK Finance (No.3) plc ("GSK Finance"), a wholly owned indirect subsidiary of GSK plc ("GSK"), to repurchase any and all of its Exchangeable Senior Notes due 2023 (the "Notes") exchangeable into ordinary shares ("Ordinary Shares") of Theravance Biopharma, Inc. ("Theravance Biopharma") expired, and on September 20, 2022, GSK Finance repurchased $269,061,000 aggregate principal amount of the Notes pursuant to that offer. The 9,644,792 Ordinary Shares that underlay the previously outstanding $280,336,000 aggregate principal amount of Notes were held directly by GSK Finance. Following the repurchase of the Notes and the subsequent cancellation of such Notes, $11,275,000 aggregate principal amount of Notes remain outstanding.

F1 · ownership.nature: On September 16, 2022, the previously announced offer by GSK Finance (No.3) plc ("GSK Finance"), a wholly owned indirect subsidiary of GSK plc ("GSK"), to repurchase any and all of its Exchangeable Senior Notes due 2023 (the "Notes") exchangeable into ordinary shares ("Ordinary Shares") of Theravance Biopharma, Inc. ("Theravance Biopharma") expired, and on September 20, 2022, GSK Finance repurchased $269,061,000 aggregate principal amount of the Notes pursuant to that offer. The 9,644,792 Ordinary Shares that underlay the previously outstanding $280,336,000 aggregate principal amount of Notes were held directly by GSK Finance. Following the repurchase of the Notes and the subsequent cancellation of such Notes, $11,275,000 aggregate principal amount of Notes remain outstanding.

SEC source: 0001387131-22-009897 · tbph-form4_091622.xml · nonDerivative · entry 1

GSK PLC · CIK 0001131399 · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Corporation

Disclosed balance after: 0

F1 · kind: On September 16, 2022, the previously announced offer by GSK Finance (No.3) plc ("GSK Finance"), a wholly owned indirect subsidiary of GSK plc ("GSK"), to repurchase any and all of its Exchangeable Senior Notes due 2023 (the "Notes") exchangeable into ordinary shares ("Ordinary Shares") of Theravance Biopharma, Inc. ("Theravance Biopharma") expired, and on September 20, 2022, GSK Finance repurchased $269,061,000 aggregate principal amount of the Notes pursuant to that offer. The 9,644,792 Ordinary Shares that underlay the previously outstanding $280,336,000 aggregate principal amount of Notes were held directly by GSK Finance. Following the repurchase of the Notes and the subsequent cancellation of such Notes, $11,275,000 aggregate principal amount of Notes remain outstanding.

F2 · kind: All 9,644,807 Ordinary Shares previously held by GSK were sold back to Theravance Biopharma pursuant to a Stock Repurchase Agreement dated September 16, 2022.

F1 · ownership.nature: On September 16, 2022, the previously announced offer by GSK Finance (No.3) plc ("GSK Finance"), a wholly owned indirect subsidiary of GSK plc ("GSK"), to repurchase any and all of its Exchangeable Senior Notes due 2023 (the "Notes") exchangeable into ordinary shares ("Ordinary Shares") of Theravance Biopharma, Inc. ("Theravance Biopharma") expired, and on September 20, 2022, GSK Finance repurchased $269,061,000 aggregate principal amount of the Notes pursuant to that offer. The 9,644,792 Ordinary Shares that underlay the previously outstanding $280,336,000 aggregate principal amount of Notes were held directly by GSK Finance. Following the repurchase of the Notes and the subsequent cancellation of such Notes, $11,275,000 aggregate principal amount of Notes remain outstanding.

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · derivative · entry 13

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 635,646 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series G Preferred Stock automatically converted into common stock on a 1-for-0.0632143218 basis (subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F3 · derivative.exercise_date: The Series G Preferred Stock automatically converted into common stock on a 1-for-0.0632143218 basis (subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F3 · derivative.expiration_date: The Series G Preferred Stock automatically converted into common stock on a 1-for-0.0632143218 basis (subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · ownership.nature: The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · derivative · entry 12

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 27,345 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · derivative.exercise_date: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · derivative.expiration_date: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · ownership.nature: The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · derivative · entry 11

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 8,380 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · derivative.exercise_date: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · derivative.expiration_date: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · ownership.nature: The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · derivative · entry 10

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 14,917 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · derivative.exercise_date: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · derivative.expiration_date: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · ownership.nature: The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · derivative · entry 9

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 12,979 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · derivative.exercise_date: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · derivative.expiration_date: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · ownership.nature: The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · derivative · entry 8

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,505 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · derivative.exercise_date: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · derivative.expiration_date: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · ownership.nature: The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · nonDerivative · entry 7

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,007,583

F1 · kind: Glaxo Group Limited acquired 275,000 Common Stock of the Issuer in connection with the Issuer's initial public offering.

F5 · ownership.nature: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of the Reporting Person.

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · nonDerivative · entry 6

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 732,583

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

F3 · price: The Series G Preferred Stock automatically converted into common stock on a 1-for-0.0632143218 basis (subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · ownership.nature: The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · nonDerivative · entry 5

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 96,937

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: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · ownership.nature: The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · nonDerivative · entry 4

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 69,592

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

F2 · price: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · ownership.nature: The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · nonDerivative · entry 3

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 61,212

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: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · ownership.nature: The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · nonDerivative · entry 2

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 46,295

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: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · ownership.nature: The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-007179 · cvrx-form4_070221.xml · nonDerivative · entry 1

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 33,316

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: The Series B-2 Preferred Stock, Series C-2 Preferred Stock, Series D-2 Preferred Stock, Series E-2 Preferred Stock and Series F-2 Preferred Stock automatically converted into common stock on a 1-for-0.025857287 basis (in each case, subject to the payment of cash in lieu of any fractional shares) without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · ownership.nature: The shares reported herein are held of record by Action Potential Venture Capital Limited, an indirect, wholly owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-006822 · gsk-form4_062121.xml · derivative · entry 2

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 30,253,189 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series AA Preferred Stock automatically converted into common stock on a 1-for-1 basis into the number of shares of common stock shown in Column 7 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F1 · price: The Series AA Preferred Stock automatically converted into common stock on a 1-for-1 basis into the number of shares of common stock shown in Column 7 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F1 · derivative.exercise_date: The Series AA Preferred Stock automatically converted into common stock on a 1-for-1 basis into the number of shares of common stock shown in Column 7 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F1 · derivative.expiration_date: The Series AA Preferred Stock automatically converted into common stock on a 1-for-1 basis into the number of shares of common stock shown in Column 7 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-006822 · gsk-form4_062121.xml · nonDerivative · entry 1

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 30,253,189

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

F1 · price: The Series AA Preferred Stock automatically converted into common stock on a 1-for-1 basis into the number of shares of common stock shown in Column 7 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-006039 · inva-form4_052021.xml · nonDerivative · entry 1

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · date: Common stock sold pursuant to a share repurchase agreement by and between Glaxo Group Limited ("GGL"), an indirect wholly owned subsidiary of the Reporting Person, and Innoviva, Inc. (the "Issuer") dated as of May 20, 2021.

F1 · shares: Common stock sold pursuant to a share repurchase agreement by and between Glaxo Group Limited ("GGL"), an indirect wholly owned subsidiary of the Reporting Person, and Innoviva, Inc. (the "Issuer") dated as of May 20, 2021.

F2 · ownership.nature: Common Stock was held of record by GGL, an indirect wholly owned subsidiary of the Reporting Person.

SEC source: 0001387131-21-002710 · dbtx-form4_021721.xml · derivative · entry 7

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 327,852 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.

F4 · derivative.exercise_price: The Series D Preferred Stock automatically converted into common stock on a 5.3-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · price: The Series D Preferred Stock automatically converted into common stock on a 5.3-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · derivative.exercise_date: The Series D Preferred Stock automatically converted into common stock on a 5.3-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F4 · derivative.expiration_date: The Series D Preferred Stock automatically converted into common stock on a 5.3-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-002710 · dbtx-form4_021721.xml · derivative · entry 6

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 247,324 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series C Preferred Stock automatically converted into common stock on a 12.6352-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F3 · price: The Series C Preferred Stock automatically converted into common stock on a 12.6352-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F3 · derivative.exercise_date: The Series C Preferred Stock automatically converted into common stock on a 12.6352-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F3 · derivative.expiration_date: The Series C Preferred Stock automatically converted into common stock on a 12.6352-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-002710 · dbtx-form4_021721.xml · derivative · entry 5

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 458,487 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A Preferred Stock automatically converted into common stock on a 15.529-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F1 · price: The Series A Preferred Stock automatically converted into common stock on a 15.529-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F1 · derivative.exercise_date: The Series A Preferred Stock automatically converted into common stock on a 15.529-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F1 · derivative.expiration_date: The Series A Preferred Stock automatically converted into common stock on a 15.529-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-002710 · dbtx-form4_021721.xml · nonDerivative · entry 4

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,183,663

F5 · shares: GSK Equity Investments, Limited purchased 150,000 shares of common stock in connection with the issuer's initial public offering.

F2 · ownership.nature: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-002710 · dbtx-form4_021721.xml · nonDerivative · entry 3

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,033,663

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

F4 · price: The Series D Preferred Stock automatically converted into common stock on a 5.3-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-002710 · dbtx-form4_021721.xml · nonDerivative · entry 2

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 705,811

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

F3 · price: The Series C Preferred Stock automatically converted into common stock on a 12.6352-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-21-002710 · dbtx-form4_021721.xml · nonDerivative · entry 1

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 458,487

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

F1 · price: The Series A Preferred Stock automatically converted into common stock on a 15.529-for-1 basis into the number of shares of common stock shown in Column 3 without payment of further consideration upon closing of the initial public offering of the Issuer's common stock. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-006914 · ownership.xml · derivative · entry 2

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,260,504

Underlying: Common Stock · Not disclosed shares

Expires 2024-07-24

F1 · date: S.R. One, Limited acquired 1,260,504 shares of Common Stock of Genocea Biosciences, Inc (the "Issuer") and warrants exercisable for up to up to 1,260,504 shares of Common Stock (the "Warrants"), subject to anti-dilution adjustments in a private placement by the Issuer, which closed on July 24, 2020.

F1 · shares: S.R. One, Limited acquired 1,260,504 shares of Common Stock of Genocea Biosciences, Inc (the "Issuer") and warrants exercisable for up to up to 1,260,504 shares of Common Stock (the "Warrants"), subject to anti-dilution adjustments in a private placement by the Issuer, which closed on July 24, 2020.

F3 · derivative.exercise_date: The Warrants are exercisable at any time prior to 5:00 pm New York City time on the expiration date, subject to a restriction on exercise if the holder, together with its attribution parties, would, after giving effect to the exercise, beneficially own more 9.99% of the Issuer's then outstanding Common Stock.

F1 · derivative.underlying_shares: S.R. One, Limited acquired 1,260,504 shares of Common Stock of Genocea Biosciences, Inc (the "Issuer") and warrants exercisable for up to up to 1,260,504 shares of Common Stock (the "Warrants"), subject to anti-dilution adjustments in a private placement by the Issuer, which closed on July 24, 2020.

F1 · balance_after: S.R. One, Limited acquired 1,260,504 shares of Common Stock of Genocea Biosciences, Inc (the "Issuer") and warrants exercisable for up to up to 1,260,504 shares of Common Stock (the "Warrants"), subject to anti-dilution adjustments in a private placement by the Issuer, which closed on July 24, 2020.

F2 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-006914 · ownership.xml · nonDerivative · entry 1

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 4,626,389

F1 · shares: S.R. One, Limited acquired 1,260,504 shares of Common Stock of Genocea Biosciences, Inc (the "Issuer") and warrants exercisable for up to up to 1,260,504 shares of Common Stock (the "Warrants"), subject to anti-dilution adjustments in a private placement by the Issuer, which closed on July 24, 2020.

F2 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-006601 · pand-form_072120.xml · derivative · entry 5

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 348,469 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series B Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 5.0994 shares of Series B Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F3 · price: The Series B Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 5.0994 shares of Series B Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F3 · derivative.exercise_date: The Series B Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 5.0994 shares of Series B Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F3 · derivative.expiration_date: The Series B Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 5.0994 shares of Series B Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-006601 · pand-form_072120.xml · derivative · entry 4

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,538,724 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 5.0994 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · price: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 5.0994 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 5.0994 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 5.0994 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-006601 · pand-form_072120.xml · nonDerivative · entry 3

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,248,304

F4 · shares: S.R. One, Limited purchased 361,111 shares of Common Stock of Pandion Therapeutics, Inc. (the "Issuer") in connection with the Issuer's public offering.

F2 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-006601 · pand-form_072120.xml · nonDerivative · entry 2

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,887,193

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

F3 · price: The Series B Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 5.0994 shares of Series B Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-006601 · pand-form_072120.xml · nonDerivative · entry 1

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,538,724

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

F1 · price: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 5.0994 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-006601 · pand-form_072120.xml · derivative · entry 6

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 13,997

Underlying: Common Stock · 13,997 shares

Expires 2030-07-16

F5 · derivative.exercise_date: The stock option was granted to Jill A. Carroll as director's compensation with the shares vesting with respect to 2.7778% of the shares at the end of each successive one month period following the grant date until the third anniversary of the grant date. As Principal at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc., Ms. Carroll disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of her pecuniary interest therein.

F2 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-008376 · bcyc-form4_071420.xml · nonDerivative · entry 3

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,910,531

F1 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-008376 · bcyc-form4_071420.xml · nonDerivative · entry 2

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,910,609

F1 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-006467 · ownership.xml · derivative · entry 8

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,700

Underlying: Common Stock · 10,700 shares

Expires 2030-07-08

F6 · derivative.exercise_date: The stock option was granted to Simeon J. George as director's compensation and it vests 100% on the first anniversary of July 9, 2020, or, if earlier, on the day immediately preceding the first annual meeting of the Issuer's stockholders in 2021 at which one or more members of the Issuer's board of directors are to be elected. Each grant, to the extent outstanding and otherwise unvested, will become fully vested should a "change in control" of the Issuer occur (as described in the applicable award agreement) or upon the Simeon George's separation from service with the Issuer due to death or "disability" (as described in the applicable award agreement).

F7 · derivative.exercise_date: (continued from footnote 6) As Chief Executive Officer, President and a Member of the Board of Trustees at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc, Simeon J. George is obligated to transfer any shares issued under the stock option to S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. George disclaims beneficial ownership of all the shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

F3 · ownership.nature: The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.

SEC source: 0001387131-20-006467 · ownership.xml · derivative · entry 7

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,712,810 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.

F4 · derivative.exercise_price: The Series B Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series B Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · price: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F4 · derivative.exercise_date: The Series B Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series B Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F4 · derivative.expiration_date: The Series B Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series B Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F3 · ownership.nature: The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.

SEC source: 0001387131-20-006467 · ownership.xml · derivative · entry 6

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 525,499 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · price: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F3 · ownership.nature: The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.

SEC source: 0001387131-20-006467 · ownership.xml · derivative · entry 5

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 79,090 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: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · price: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.

SEC source: 0001387131-20-006467 · ownership.xml · nonDerivative · entry 4

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,150,732

F5 · shares: S.R. One, Limited purchased 833,333 shares of Common Stock of Nkarta, Inc. (the "Issuer") in connection with the Issuer's public offering.

F3 · ownership.nature: The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.

SEC source: 0001387131-20-006467 · ownership.xml · nonDerivative · entry 3

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,317,399

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

F4 · price: The Series B Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series B Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F3 · ownership.nature: The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.

SEC source: 0001387131-20-006467 · ownership.xml · nonDerivative · entry 2

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 604,589

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

F1 · price: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F3 · ownership.nature: The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.

SEC source: 0001387131-20-006467 · ownership.xml · nonDerivative · entry 1

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 79,090

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: The Series A Preferred Stock were convertible at a conversion rate equal to one share of Common Stock per 3.7 shares of Series A Preferred Stock at any time at the option of the holder and were automatically converted upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: The shares reported herein are held by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.

SEC source: 0001387131-20-008376 · bcyc-form4_071420.xml · nonDerivative · entry 1

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,913,678

F1 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-005871 · tbph-form4_062220.xml · derivative · entry 1

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Ordinary Shares · 9,644,792 shares

Expires not disclosed

F1 · kind: On June 22, 2020, GSK Finance No.3 plc ("GSK Finance"), a wholly owned indirect subsidiary of GlaxoSmithKline plc ("GSK"), issued $280,336,000 of its senior notes due 2023 (the "Notes") exchangeable into ordinary shares ("Ordinary Shares") of Theravance Biopharma, Inc. ("Theravance Biopharma"). The Ordinary Shares are held directly by GSK Finance.

F2 · price: The Notes are guaranteed by GSK and exchangeable at the option of noteholders on any business day on or after September 1, 2020 for up to 9,644,792 Ordinary Shares at an initial exchange rate of 34.4044 Ordinary Shares per $1,000 principal amount of Notes, which is equivalent to an initial exchange price of approximately $29.0660. Under certain circumstances, GSK Finance may deliver cash in lieu of Ordinary Shares or a combination of Ordinary Shares and cash. The sale of the Notes resulted in $304,164,560 of gross proceeds.

F2 · derivative.exercise_date: The Notes are guaranteed by GSK and exchangeable at the option of noteholders on any business day on or after September 1, 2020 for up to 9,644,792 Ordinary Shares at an initial exchange rate of 34.4044 Ordinary Shares per $1,000 principal amount of Notes, which is equivalent to an initial exchange price of approximately $29.0660. Under certain circumstances, GSK Finance may deliver cash in lieu of Ordinary Shares or a combination of Ordinary Shares and cash. The sale of the Notes resulted in $304,164,560 of gross proceeds.

F1 · derivative.expiration_date: On June 22, 2020, GSK Finance No.3 plc ("GSK Finance"), a wholly owned indirect subsidiary of GlaxoSmithKline plc ("GSK"), issued $280,336,000 of its senior notes due 2023 (the "Notes") exchangeable into ordinary shares ("Ordinary Shares") of Theravance Biopharma, Inc. ("Theravance Biopharma"). The Ordinary Shares are held directly by GSK Finance.

F1 · ownership.nature: On June 22, 2020, GSK Finance No.3 plc ("GSK Finance"), a wholly owned indirect subsidiary of GlaxoSmithKline plc ("GSK"), issued $280,336,000 of its senior notes due 2023 (the "Notes") exchangeable into ordinary shares ("Ordinary Shares") of Theravance Biopharma, Inc. ("Theravance Biopharma"). The Ordinary Shares are held directly by GSK Finance.

SEC source: 0001387131-20-005182 · tptx-form4_052120.xml · nonDerivative · entry 1

GLAXOSMITHKLINE PLC · CIK 0001131399 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,253,660

F1 · shares: S.R. One, Limited purchased 83,333 shares of Common Stock of Turning Point Therapeutics, Inc (the "Issuer") in connection with the Issuer's public offering.

F2 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

SEC source: 0001387131-20-005115 · pgny-form4_052120.xml · nonDerivative · entry 1

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,238,244

F1 · ownership.nature: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").