organization · Reporting owner

GSK plc

Disclosed activity across 25 companies

Tapewire entity: 2913
SEC CIK: 0001131399

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
CONSTELLATION PHARMACEUTICALS INCCNST · Entity 137050	10% owner	July 18, 2018	July 18, 2018
CRISPR Therapeutics AGCRSP · Entity 3852	10% owner	October 24, 2016	October 26, 2016
Chrome Holding Co.ME · Entity 76268	10% owner	June 16, 2021	November 04, 2022
Decibel Therapeutics, Inc.DBTX · Entity 109458	Director	February 17, 2021	February 19, 2021
GENOCEA BIOSCIENCES, INC.GNCA · Entity 12635	10% owner	July 24, 2020	July 31, 2020
Liquidia Technologies IncLQDA · Entity 145051	Former 10% holder	July 30, 2018	August 01, 2018
Lyell Immunopharma, Inc.LYEL · Entity 5757	10% owner	June 21, 2021	June 23, 2021
Morphic Holding, Inc.MORF · Entity 88114	Director	July 01, 2019	July 02, 2019
Nkarta, Inc.NKTX · Entity 6346	Director · 10% owner	July 14, 2020	July 17, 2020
Orchard Therapeutics plcORTX · Entity 94933	Director · 10% owner	January 01, 2020	January 02, 2020
Pandion Therapeutics, Inc.PAND · Entity 11788	Director · 10% owner	July 17, 2020	July 22, 2020
Principia Biopharma Inc.PRNB · Entity 146423	Former 10% Owner	October 18, 2019	October 22, 2019
Progyny, Inc.PGNY · Entity 4521	10% owner	May 20, 2020	May 21, 2020
Rein Therapeutics, Inc.ALRN · Entity 7071	10% owner	June 28, 2017	June 28, 2017
Spero Therapeutics, Inc.SPRO · Entity 7014	10% owner	November 07, 2022	November 14, 2022
Theravance Biopharma, Inc.TBPH · Entity 5037	Former 10% Owner	September 16, 2022	September 20, 2022
Turning Point Therapeutics, Inc.TPTX · Entity 124461	Director	May 21, 2020	May 26, 2020

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

CONSTELLATION PHARMACEUTICALS INC

Report date July 18, 2018 · Filed July 18, 2018

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	Not disclosed	Reported balance Holding disclosure · report date 2018-07-18 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: The Series B Preferred Stock is convertible into Common Stock on a 11.009-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series D Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	Not disclosed	Reported balance Holding disclosure · report date 2018-07-18 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F2: The Series D Preferred Stock is convertible into Common Stock on a 11.009-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series E-1 Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	Not disclosed	Reported balance Holding disclosure · report date 2018-07-18 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance Not disclosed F3: The Series E-1 Preferred Stock is convertible into Common Stock on a 11.009-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series F Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	Not disclosed	Reported balance Holding disclosure · report date 2018-07-18 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance Not disclosed F4: The Series F Preferred Stock is convertible into Common Stock on a 11.009-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series E Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	Not disclosed	Reported balance Holding disclosure · report date 2018-07-18 · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · Balance Not disclosed F5: The Series E Preferred Stock is convertible into Common Stock on an 8.56256-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. F7: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Common Stock Purchase Warrant (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.55 · Expires 2021-05-24	IndirectSee Footnote	Not disclosed	Reported balance Holding disclosure · report date 2018-07-18 · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · Balance Not disclosed F6: The warrant is currently exercisable, with an expiration date of May 24, 2021, and an exercise price of $1.55 per share. The exercise price may be paid in cash or through net share settlement at the option of the warrantholder. F7: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

F1: The Series B Preferred Stock is convertible into Common Stock on a 11.009-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F2: The Series D Preferred Stock is convertible into Common Stock on a 11.009-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F3: The Series E-1 Preferred Stock is convertible into Common Stock on a 11.009-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F4: The Series F Preferred Stock is convertible into Common Stock on a 11.009-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F5: The Series E Preferred Stock is convertible into Common Stock on an 8.56256-for-one basis into the number of shares of Common Stock shown in Column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F6: The warrant is currently exercisable, with an expiration date of May 24, 2021, and an exercise price of $1.55 per share. The exercise price may be paid in cash or through net share settlement at the option of the warrantholder.

F7: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

CRISPR Therapeutics AG

Report date October 24, 2016 · Filed October 26, 2016

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common SharesSEC Table I · non-derivative	IndirectSee explanation of responses	3,220,627	Last balance in matching sequence After 2016-10-24 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2016-10-24 · Conversion · Acquired 2,942,560 · Balance 2,942,560 F3: On October 24, 2016, the Series A-3 Preferred Shares and the Series B Preferred Shares converted automatically into Common Shares on a one-for-one basis, upon closing of the Issuer's initial public offering F2: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 2 · 2016-10-24 · Conversion · Acquired 211,567 · Balance 3,154,127 F3: On October 24, 2016, the Series A-3 Preferred Shares and the Series B Preferred Shares converted automatically into Common Shares on a one-for-one basis, upon closing of the Issuer's initial public offering F2: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 3 · 2016-10-24 · Purchase · Acquired 66,500 · Balance 3,220,627 F1: On October 24, 2016, S.R. One, Limited ("S.R. One") acquired 66,500 common shares of the Issuer ("Common Shares") at a price of $14.00 per share in connection with the Issuer's initial public offering. F2: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series A-3 Preferred SharesSEC Table II · derivative / convertible security	IndirectSee explanation of responses	0	Reported balance After 2016-10-24 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2016-10-24 · Conversion · Disposed 2,942,560 · Balance 0 F3: On October 24, 2016, the Series A-3 Preferred Shares and the Series B Preferred Shares converted automatically into Common Shares on a one-for-one basis, upon closing of the Issuer's initial public offering F4: Not applicable. F2: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series B Preferred SharesSEC Table II · derivative / convertible security	IndirectSee explanation of responses	0	Reported balance After 2016-10-24 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2016-10-24 · Conversion · Disposed 211,567 · Balance 0 F3: On October 24, 2016, the Series A-3 Preferred Shares and the Series B Preferred Shares converted automatically into Common Shares on a one-for-one basis, upon closing of the Issuer's initial public offering F4: Not applicable. F2: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

F1: On October 24, 2016, S.R. One, Limited ("S.R. One") acquired 66,500 common shares of the Issuer ("Common Shares") at a price of $14.00 per share in connection with the Issuer's initial public offering.

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

F3: On October 24, 2016, the Series A-3 Preferred Shares and the Series B Preferred Shares converted automatically into Common Shares on a one-for-one basis, upon closing of the Issuer's initial public offering

F4: Not applicable.

Chrome Holding Co.

Report date June 16, 2021 · Filed November 04, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class B Common StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	IndirectSee Footnote	Not disclosed	Reported balance Holding disclosure · report date 2021-06-16 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F3: Shares of Class B Common Stock, which are not registered under the Securities Exchange Act of 1934, as amended, are convertible into shares of Class A Common Stock on a share-for-share basis at any time at the option of the holder. The Class B ordinary shares have no expiration date. F1: Reflects the post Share Conversion Ratio (which is equal to 2.293698) number shares of Class B common stock, par value $0.0001, of 23andMe Holding Co. (the "Issuer"), acquired due to the completion of the merger between Issuer (f/k/a VG Acquisition Corp. ("VGAC")), Chrome Merger Sub, Inc., a Delaware corporation and wholly owned direct subsidiary of VGAC ("Merger Sub"), and 23andMe, Inc., a Delaware corporation ("23andMe"), (the "Business Combination") pursuant to the Agreement and Plan of Merger, dated as of February 4, 2021. F2: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GSK plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

F1: Reflects the post Share Conversion Ratio (which is equal to 2.293698) number shares of Class B common stock, par value $0.0001, of 23andMe Holding Co. (the "Issuer"), acquired due to the completion of the merger between Issuer (f/k/a VG Acquisition Corp. ("VGAC")), Chrome Merger Sub, Inc., a Delaware corporation and wholly owned direct subsidiary of VGAC ("Merger Sub"), and 23andMe, Inc., a Delaware corporation ("23andMe"), (the "Business Combination") pursuant to the Agreement and Plan of Merger, dated as of February 4, 2021.

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

F3: Shares of Class B Common Stock, which are not registered under the Securities Exchange Act of 1934, as amended, are convertible into shares of Class A Common Stock on a share-for-share basis at any time at the option of the holder. The Class B ordinary shares have no expiration date.

Decibel Therapeutics, Inc.

Report date February 17, 2021 · Filed February 19, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	1,183,663	Last balance in matching sequence After 2021-02-17 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 4 source rows Row 1 · 2021-02-17 · Conversion · Acquired 458,487 · Balance 458,487 F1: 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: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 2 · 2021-02-17 · Conversion · Acquired 247,324 · Balance 705,811 F3: 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: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 3 · 2021-02-17 · Conversion · Acquired 327,852 · Balance 1,033,663 F4: 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: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 4 · 2021-02-17 · Purchase · Acquired 150,000 · Balance 1,183,663 F5: GSK Equity Investments, Limited purchased 150,000 shares of common stock in connection with the issuer's initial public offering. F2: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series A Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-02-17 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2021-02-17 · Conversion · Disposed 7,119,850 · Balance 0 F1: 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: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series C Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-02-17 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2021-02-17 · Conversion · Disposed 3,125,000 · Balance 0 F3: 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: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series D Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-02-17 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2021-02-17 · Conversion · Disposed 1,737,619 · Balance 0 F4: 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: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

F1: 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: The shares reported herein are held of record by GSK Equity Investments, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

F3: 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.

F4: 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.

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

GENOCEA BIOSCIENCES, INC.

Report date July 24, 2020 · Filed July 31, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	4,626,389	Reported balance After 2020-07-24 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2020-07-24 · Purchase · Acquired 1,260,504 · Balance 4,626,389 F1: 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: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $2.25 · Expires 2024-07-24	IndirectSee Footnote	1,260,504	Reported balance After 2020-07-24 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2020-07-24 · Purchase · Acquired 1,260,504 · Balance 1,260,504 F1: 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: 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. F2: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

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

F3: 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.

Liquidia Technologies Inc

Report date July 30, 2018 · Filed August 01, 2018

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee explanation of responses	475,604	Reported balance After 2018-07-30 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2018-07-30 · Conversion · Acquired 336,541 · Balance 475,604 F3: The Series C-1 Preferred Stock converted automatically into Common Stock on an approximately 0.0706-for-one basis upon closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had been convertible at any time at the holder's election and had no expiration date F2: Includes 20,493 shares of Common Stock issuable upon exercise of Series D Warrants. The Series D Warrants are currently exercisable, with an expiration date of December 31, 2026 and an exercise price of $0.01 per share. The exercise price may be paid in cash or through net share settlement at the option of the warrantholder. F5: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Common StockSEC Table I · non-derivative	IndirectSee explanation of responses	475,604	Reported balance After 2018-07-30 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2018-07-30 · Conversion · Acquired 118,570 · Balance 475,604 F4: The Series D Preferred Stock converted automatically into Common Stock on an approximately 0.0594 -for-one basis upon closing of the Issuer's initial public offering. The Series D Preferred Stock had been convertible at any time at the holder's election and had no expiration date. F2: Includes 20,493 shares of Common Stock issuable upon exercise of Series D Warrants. The Series D Warrants are currently exercisable, with an expiration date of December 31, 2026 and an exercise price of $0.01 per share. The exercise price may be paid in cash or through net share settlement at the option of the warrantholder. F5: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Common StockSEC Table I · non-derivative	IndirectSee explanation of responses	624,422	Reported balance After 2018-07-30 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2018-07-30 · Purchase · Acquired 148,818 · Balance 624,422 F1: On July 30, 2018, Glaxo Group Limited acquired 148,818 common shares of the Issuer ("Common Stock") at a price of $11.00 per share in connection with the Issuer's initial public offering. F2: Includes 20,493 shares of Common Stock issuable upon exercise of Series D Warrants. The Series D Warrants are currently exercisable, with an expiration date of December 31, 2026 and an exercise price of $0.01 per share. The exercise price may be paid in cash or through net share settlement at the option of the warrantholder. F5: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series C-1 Preferred StockSEC Table II · derivative / convertible security	IndirectSee explanation of responses	0	Reported balance After 2018-07-30 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2018-07-30 · Conversion · Disposed 4,765,248 · Balance 0 F3: The Series C-1 Preferred Stock converted automatically into Common Stock on an approximately 0.0706-for-one basis upon closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had been convertible at any time at the holder's election and had no expiration date F5: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series D Preferred StockSEC Table II · derivative / convertible security	IndirectSee explanation of responses	0	Reported balance After 2018-07-30 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2018-07-30 · Conversion · Disposed 344,853 · Balance 0 F4: The Series D Preferred Stock converted automatically into Common Stock on an approximately 0.0594 -for-one basis upon closing of the Issuer's initial public offering. The Series D Preferred Stock had been convertible at any time at the holder's election and had no expiration date. F5: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

F1: On July 30, 2018, Glaxo Group Limited acquired 148,818 common shares of the Issuer ("Common Stock") at a price of $11.00 per share in connection with the Issuer's initial public offering.

F2: Includes 20,493 shares of Common Stock issuable upon exercise of Series D Warrants. The Series D Warrants are currently exercisable, with an expiration date of December 31, 2026 and an exercise price of $0.01 per share. The exercise price may be paid in cash or through net share settlement at the option of the warrantholder.

F3: The Series C-1 Preferred Stock converted automatically into Common Stock on an approximately 0.0706-for-one basis upon closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had been convertible at any time at the holder's election and had no expiration date

F4: The Series D Preferred Stock converted automatically into Common Stock on an approximately 0.0594 -for-one basis upon closing of the Issuer's initial public offering. The Series D Preferred Stock had been convertible at any time at the holder's election and had no expiration date.

F5: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Lyell Immunopharma, Inc.

Report date June 21, 2021 · Filed June 23, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	30,253,189	Reported balance After 2021-06-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2021-06-21 · Conversion · Acquired 30,253,189 · Balance 30,253,189 F1: 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: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series AA Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-06-21 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2021-06-21 · Conversion · Disposed 30,253,189 · Balance 0 F1: 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: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

F1: 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: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Morphic Holding, Inc.

Report date July 01, 2019 · Filed July 02, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	2,633,772	Last balance in matching sequence After 2019-07-01 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2019-07-01 · Conversion · Acquired 1,469,950 · Balance 1,469,950 F2: Each share of the Issuer's Series A Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in its initial public offering (the 'IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.. F4: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 2 · 2019-07-01 · Conversion · Acquired 830,489 · Balance 2,300,439 F3: Each share of the Issuer's Series B Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in IPO pursuant to the Registration Statement, and had no expiration date. F4: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 3 · 2019-07-01 · Purchase · Acquired 333,333 · Balance 2,633,772 F1: S.R. One, Limited acquired 333,333 common shares of the Issuer in connection with the Issuer's initial public offering. F4: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series A preferred stockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2019-07-01 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2019-07-01 · Conversion · Disposed 1,469,950 · Balance 0 F2: Each share of the Issuer's Series A Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in its initial public offering (the 'IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.. F4: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series B preferred stockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2019-07-01 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2019-07-01 · Conversion · Disposed 830,489 · Balance 0 F2: Each share of the Issuer's Series A Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in its initial public offering (the 'IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.. F3: Each share of the Issuer's Series B Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in IPO pursuant to the Registration Statement, and had no expiration date. F4: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

F1: S.R. One, Limited acquired 333,333 common shares of the Issuer in connection with the Issuer's initial public offering.

F2: Each share of the Issuer's Series A Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in its initial public offering (the 'IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date..

F3: Each share of the Issuer's Series B Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in IPO pursuant to the Registration Statement, and had no expiration date.

F4: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Nkarta, Inc.

Report date July 14, 2020 · Filed July 17, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	79,090	Reported balance After 2020-07-14 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2020-07-14 · Conversion · Acquired 79,090 · Balance 79,090 F1: 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: The shares reported herein are held by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	604,589	Reported balance After 2020-07-14 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2020-07-14 · Conversion · Acquired 525,499 · Balance 604,589 F1: 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: The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	2,317,399	Reported balance After 2020-07-14 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2020-07-14 · Conversion · Acquired 1,712,810 · Balance 2,317,399 F4: 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: The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.
Common StockSEC Table I · non-derivative	IndirectSee Footnote	3,150,732	Reported balance After 2020-07-14 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2020-07-14 · Purchase · Acquired 833,333 · Balance 3,150,732 F5: 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: The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.
Series A Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2020-07-14 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2020-07-14 · Conversion · Disposed 292,663 · Balance 0 F1: 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: The shares reported herein are held by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.
Series A Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2020-07-14 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2020-07-14 · Conversion · Disposed 1,994,348 · Balance 0 F1: 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: The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2020-07-14 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2020-07-14 · Conversion · Disposed 6,337,403 · Balance 0 F4: 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: 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: The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.00 · Expires 2030-07-08	IndirectSee Footnote	10,700	Reported balance After 2020-07-14 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2020-07-14 · Grant · Acquired 10,700 · Balance 10,700 F6: 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: (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: The shares reported herein are held by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.

Filing footnotes · ownership attribution and instrument terms

F1: 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: The shares reported herein are held by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc.

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

F4: 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.

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

F6: 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: (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.

Orchard Therapeutics plc

Report date January 01, 2020 · Filed January 02, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Ordinary Shares, nominal value (GBP)0.10 per shareSEC Table I · non-derivative	IndirectSee footnote	12,455,252	Reported balance Holding disclosure · report date 2020-01-01 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 12,455,252 F1: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). F2: Jon Ellis holds the title of Vice President, Worldwide Business Development R&D at GlaxoSmithKline Services Unlimited, a wholly-owned indirect subsidiary of the Reporting Person. Mr. Ellis is a member of the board of directors of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

F2: Jon Ellis holds the title of Vice President, Worldwide Business Development R&D at GlaxoSmithKline Services Unlimited, a wholly-owned indirect subsidiary of the Reporting Person. Mr. Ellis is a member of the board of directors of the Issuer.

Pandion Therapeutics, Inc.

Report date July 17, 2020 · Filed July 22, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	2,248,304	Last balance in matching sequence After 2020-07-21 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2020-07-21 · Conversion · Acquired 1,538,724 · Balance 1,538,724 F1: 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: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 2 · 2020-07-21 · Conversion · Acquired 348,469 · Balance 1,887,193 F3: 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: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 3 · 2020-07-21 · Purchase · Acquired 361,111 · Balance 2,248,304 F4: 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: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series A Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2020-07-21 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2020-07-21 · Conversion · Disposed 7,846,554 · Balance 0 F1: 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: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2020-07-21 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2020-07-21 · Conversion · Disposed 1,776,980 · Balance 0 F3: 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: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $18.00 · Expires 2030-07-16	IndirectSee Footnote	13,997	Reported balance After 2020-07-17 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2020-07-17 · Grant · Acquired 13,997 · Balance 13,997 F5: 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: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

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

F3: 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.

F4: 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.

F5: 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.

Principia Biopharma Inc.

Report date October 18, 2019 · Filed October 22, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	2,982,855	Reported balance After 2019-10-18 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2019-10-18 · Purchase · Acquired 357,142 · Balance 2,982,855 F1: S.R. One, Limited purchased 357,142 shares of Common Stock of Principia Biopharma Inc. (the "Issuer") in connection with the Issuer's public offering. F2: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

F1: S.R. One, Limited purchased 357,142 shares of Common Stock of Principia Biopharma Inc. (the "Issuer") in connection with the Issuer's public offering.

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

Progyny, Inc.

Report date May 20, 2020 · Filed May 21, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	6,238,244	Reported balance After 2020-05-20 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2020-05-20 · Sale · Disposed 4,000,000 · Balance 6,238,244 F1: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

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

Rein Therapeutics, Inc.

Report date June 28, 2017 · Filed June 28, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Series D Preferred StockSEC Table II · derivative / convertible security	Direct	Not disclosed	Reported balance Holding disclosure · report date 2017-06-28 · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · Balance Not disclosed F1: The Series D Preferred Stock is convertible into Common Stock on 9.937-for-one basis into the number of share of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. F5: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series E-2 Preferred StockSEC Table II · derivative / convertible security	Direct	Not disclosed	Reported balance Holding disclosure · report date 2017-06-28 · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · Balance Not disclosed F2: The Series E-2 Preferred Stock is convertible into Common Stock on 9.937-for-one basis into the number of share of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. F5: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series E-3 Preferred StockSEC Table II · derivative / convertible security	Direct	Not disclosed	Reported balance Holding disclosure · report date 2017-06-28 · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · Balance Not disclosed F3: The Series E-3 Preferred Stock is convertible into Common Stock on 9.937-for-one basis into the number of share of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. F5: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series F Preferred StockSEC Table II · derivative / convertible security	Direct	Not disclosed	Reported balance Holding disclosure · report date 2017-06-28 · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · Balance Not disclosed F4: The Series F Preferred Stock is convertible into Common Stock on 9.937-for-one basis into the number of share of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date. F5: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

F1: The Series D Preferred Stock is convertible into Common Stock on 9.937-for-one basis into the number of share of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F2: The Series E-2 Preferred Stock is convertible into Common Stock on 9.937-for-one basis into the number of share of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F3: The Series E-3 Preferred Stock is convertible into Common Stock on 9.937-for-one basis into the number of share of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F4: The Series F Preferred Stock is convertible into Common Stock on 9.937-for-one basis into the number of share of Common Stock shown in column 3 at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares have no expiration date.

F5: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Spero Therapeutics, Inc.

Report date November 07, 2022 · Filed November 14, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	9,190,606	Reported balance Holding disclosure · report date 2022-11-07 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 9,190,606 F1: The shares reported herein are held of record by GSK Equity Investments, Limited, and Glaxo Group Limited, each of which is an indirect, wholly-owned subsidiary of GSK plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

F1: The shares reported herein are held of record by GSK Equity Investments, Limited, and Glaxo Group Limited, each of which is an indirect, wholly-owned subsidiary of GSK plc (the "Reporting Person").

Theravance Biopharma, Inc.

Report date September 16, 2022 · Filed September 20, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Ordinary SharesSEC Table I · non-derivative	IndirectBy Corporation	0	Reported balance After 2022-09-16 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2022-09-16 · Other · Disposed 9,644,807 · Balance 0 F1: 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: 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.
Exchangeable Senior Notes due 2023SEC Table II · derivative / convertible security · Conversion / exercise price $29.07	IndirectSee Footnote	0	Reported balance After 2022-09-16 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2022-09-16 · Other · Acquired Not disclosed · Balance 0 F1: 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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: 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.

Turning Point Therapeutics, Inc.

Report date May 21, 2020 · Filed May 26, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee footnote	2,253,660	Reported balance After 2020-05-21 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2020-05-21 · Purchase · Acquired 83,333 · Balance 2,253,660 F1: 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: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

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

Past disclosures · reporting ended (8)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

BICYCLE THERAPEUTICS PLC

Report date July 14, 2020 · Filed September 18, 2020

Section 16 reporting ended · disclosed 2020-09-18. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	1,910,531	Last balance in matching sequence After 2020-07-15 transaction · row 3 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 3 source rows Row 1 · 2020-07-14 · Sale · Disposed 1,597 · Balance 1,913,678 F1: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 2 · 2020-07-15 · Sale · Disposed 3,069 · Balance 1,910,609 F1: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 3 · 2020-07-15 · Sale · Disposed 78 · Balance 1,910,531 F1: The shares reported herein are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

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

CVRx, Inc.

Report date July 02, 2021 · Filed July 06, 2021

Section 16 reporting ended · disclosed 2021-07-06. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	33,316	Reported balance After 2021-07-02 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2021-07-02 · Conversion · Acquired 1,505 · Balance 33,316 F2: 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: 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").
Common StockSEC Table I · non-derivative	IndirectSee Footnote	46,295	Reported balance After 2021-07-02 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2021-07-02 · Conversion · Acquired 12,979 · Balance 46,295 F2: 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: 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").
Common StockSEC Table I · non-derivative	IndirectSee Footnote	61,212	Reported balance After 2021-07-02 transaction · row 3 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 3 · 2021-07-02 · Conversion · Acquired 14,917 · Balance 61,212 F2: 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: 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").
Common StockSEC Table I · non-derivative	IndirectSee Footnote	69,592	Reported balance After 2021-07-02 transaction · row 4 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 4 · 2021-07-02 · Conversion · Acquired 8,380 · Balance 69,592 F2: 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: 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").
Common StockSEC Table I · non-derivative	IndirectSee Footnote	96,937	Reported balance After 2021-07-02 transaction · row 5 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 5 · 2021-07-02 · Conversion · Acquired 27,345 · Balance 96,937 F2: 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: 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").
Common StockSEC Table I · non-derivative	IndirectSee Footnote	732,583	Reported balance After 2021-07-02 transaction · row 6 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 6 · 2021-07-02 · Conversion · Acquired 635,646 · Balance 732,583 F3: 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: 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").
Common StockSEC Table I · non-derivative	IndirectSee Footnote	1,007,583	Reported balance After 2021-07-02 transaction · row 7 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 7 · 2021-07-02 · Purchase · Acquired 275,000 · Balance 1,007,583 F1: Glaxo Group Limited acquired 275,000 Common Stock of the Issuer in connection with the Issuer's initial public offering. F5: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of the Reporting Person.
Series B-2 Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-07-02 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2021-07-02 · Conversion · Disposed 59,527 · Balance 0 F2: 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: 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").
Series C-2 Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-07-02 transaction · row 9 Instrument identity requires review; Table II rows are not merged. 1 source row Row 9 · 2021-07-02 · Conversion · Disposed 513,312 · Balance 0 F2: 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: 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").
Series D-2 Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-07-02 transaction · row 10 Instrument identity requires review; Table II rows are not merged. 1 source row Row 10 · 2021-07-02 · Conversion · Disposed 589,939 · Balance 0 F2: 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: 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").
Series E-2 Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-07-02 transaction · row 11 Instrument identity requires review; Table II rows are not merged. 1 source row Row 11 · 2021-07-02 · Conversion · Disposed 331,399 · Balance 0 F2: 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: 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").
Series F-2 Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-07-02 transaction · row 12 Instrument identity requires review; Table II rows are not merged. 1 source row Row 12 · 2021-07-02 · Conversion · Disposed 1,081,434 · Balance 0 F2: 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: 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").
Series G Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2021-07-02 transaction · row 13 Instrument identity requires review; Table II rows are not merged. 1 source row Row 13 · 2021-07-02 · Conversion · Disposed 10,055,408 · Balance 0 F3: 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: 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").

Filing footnotes · ownership attribution and instrument terms

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

F2: 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.

F3: 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: 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").

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

ChemoCentryx, Inc.

Report date October 16, 2018 · Filed October 18, 2018

Section 16 reporting ended · disclosed 2018-10-18. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2018-10-16 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2018-10-16 · Sale · Disposed 7,343,492 · Balance 0 F1: Shares of Common Stock were held of record by Glaxo Group Limited, which is an indirect wholly-owned subsidiary of Reporting Person.

Filing footnotes · ownership attribution and instrument terms

F1: Shares of Common Stock were held of record by Glaxo Group Limited, which is an indirect wholly-owned subsidiary of Reporting Person.

Fulcrum Therapeutics, Inc.

Report date July 22, 2019 · Filed July 24, 2019

Section 16 reporting ended · disclosed 2019-07-24. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	1,785,714	Reported balance After 2019-07-22 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2019-07-22 · Conversion · Acquired 1,785,714 · Balance 1,785,714 F1: On July 22, 2019 upon the closing of the Issuer's initial public offering (the "IPO"), the Series B Preferred Stock converted into Common Stock on a seven-for-one basis 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 IPO. The shares had no expiration date. F2: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectSee footnote	0	Reported balance After 2019-07-22 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-07-22 · Conversion · Disposed 12,500,000 · Balance 0 F1: On July 22, 2019 upon the closing of the Issuer's initial public offering (the "IPO"), the Series B Preferred Stock converted into Common Stock on a seven-for-one basis 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 IPO. The shares had no expiration date. F2: The shares reported herein are held of record by Glaxo Group Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

F1: On July 22, 2019 upon the closing of the Issuer's initial public offering (the "IPO"), the Series B Preferred Stock converted into Common Stock on a seven-for-one basis 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 IPO. The shares had no expiration date.

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

HTG MOLECULAR DIAGNOSTICS, INC

Report date March 27, 2017 · Filed March 30, 2017 · Amendment

Section 16 reporting ended · disclosed 2017-03-30. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy S.R. One, Limited	792,781	Reported balance After 2017-03-27 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2017-03-27 · Sale · Disposed 300,000 · Balance 792,781 F1: Including 43,538 shares of the Issuer's Common Stock deliverable upon the exercise of a warrant that is exercisable at any time at an exercise price of $14.00. F2: Shares are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (Reporting Person).

Filing footnotes · ownership attribution and instrument terms

F1: Including 43,538 shares of the Issuer's Common Stock deliverable upon the exercise of a warrant that is exercisable at any time at an exercise price of $14.00.

F2: Shares are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (Reporting Person).

Innoviva, Inc.

Report date May 20, 2021 · Filed May 24, 2021

Section 16 reporting ended · disclosed 2021-05-24. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	0	Reported balance After 2021-05-20 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2021-05-20 · Sale · Disposed 32,005,260 · Balance 0 F1: 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: Common Stock was held of record by GGL, an indirect wholly owned subsidiary of the Reporting Person.

Filing footnotes · ownership attribution and instrument terms

F1: 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: Common Stock was held of record by GGL, an indirect wholly owned subsidiary of the Reporting Person.

Translate Bio, Inc.

Report date July 02, 2018 · Filed July 03, 2018

Section 16 reporting ended · disclosed 2018-07-03. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectSee Footnote	3,697,912	Last balance in matching sequence After 2018-07-02 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 4 source rows Row 1 · 2018-07-02 · Conversion · Acquired 1,674,016 · Balance 1,674,016 F2: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 2 · 2018-07-02 · Conversion · Acquired 1,300,116 · Balance 2,974,132 F2: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 3 · 2018-07-02 · Conversion · Acquired 454,550 · Balance 3,428,682 F2: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). Row 4 · 2018-07-02 · Purchase · Acquired 269,230 · Balance 3,697,912 F1: S.R. One, Limited acquired 269,230 Common Stock of the Issuer in connection with the Issuer's initial public offering. F3: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series A Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2018-07-02 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2018-07-02 · Conversion · Disposed 9,300,000 · Balance 0 F1: S.R. One, Limited acquired 269,230 Common Stock of the Issuer in connection with the Issuer's initial public offering. F2: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series B Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2018-07-02 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2018-07-02 · Conversion · Disposed 7,222,797 · Balance 0 F2: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").
Series C Preferred StockSEC Table II · derivative / convertible security	IndirectSee Footnote	0	Reported balance After 2018-07-02 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2018-07-02 · Conversion · Disposed 2,525,253 · Balance 0 F3: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). F2: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

Filing footnotes · ownership attribution and instrument terms

F1: S.R. One, Limited acquired 269,230 Common Stock of the Issuer in connection with the Issuer's initial public offering.

F2: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3: The shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person").

Wave Life Sciences, Inc.

Report date December 11, 2025 · Filed December 15, 2025

Section 16 reporting ended · disclosed 2025-12-15. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Ordinary SharesSEC Table I · non-derivative	IndirectBy Corporation	18,245,691	Reported balance After 2025-12-11 transaction · row 1 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 1 · 2025-12-11 · Purchase · Acquired 1,470,000 · Balance 18,245,691 F1: The shares reported herein are held of record by Glaxo Group Limited, a wholly-owned subsidiary of GSK plc (the "Reporting Person").

Filing footnotes · ownership attribution and instrument terms

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

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
October 29, 2019 Filed Oct 31, 2019 22:27 UTC	Progyny, Inc. PGNY · Entity 4521	ConversionSeries B Preferred Stock · Derivative	9,821,190	$0.00	$0.00	Disclosure SEC source: 0001387131-19-008140 · ownership.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 · 9,821,190 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: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer (the "Certificate of Incorporation"), on October 29, 2019, the shares of Series B Preferred Stock automatically converted into 9,821,190 shares of Common Stock upon the closing of the Issuer's initial public offering. Pursuant to the Certificate of Incorporation, the Series B Preferred Stock had been convertible, at the election of the holder, at any time into shares of Common Stock at an initial conversion rate equal to one share of Common Stock per share of Series B Preferred Stock. F1 · derivative.exercise_date: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer (the "Certificate of Incorporation"), on October 29, 2019, the shares of Series B Preferred Stock automatically converted into 9,821,190 shares of Common Stock upon the closing of the Issuer's initial public offering. Pursuant to the Certificate of Incorporation, the Series B Preferred Stock had been convertible, at the election of the holder, at any time into shares of Common Stock at an initial conversion rate equal to one share of Common Stock per share of Series B Preferred Stock. F1 · derivative.expiration_date: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer (the "Certificate of Incorporation"), on October 29, 2019, the shares of Series B Preferred Stock automatically converted into 9,821,190 shares of Common Stock upon the closing of the Issuer's initial public offering. Pursuant to the Certificate of Incorporation, the Series B Preferred Stock had been convertible, at the election of the holder, at any time into shares of Common Stock at an initial conversion rate equal to one share of Common Stock per share of Series B Preferred Stock. 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"). Read SEC document
October 29, 2019 Filed Oct 31, 2019 22:27 UTC	Progyny, Inc. PGNY · Entity 4521	ConversionCommon Stock	9,821,190	Not disclosed	Not disclosed	Disclosure SEC source: 0001387131-19-008140 · ownership.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 10,238,244 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: Pursuant to the Amended and Restated Certificate of Incorporation of the Issuer (the "Certificate of Incorporation"), on October 29, 2019, the shares of Series B Preferred Stock automatically converted into 9,821,190 shares of Common Stock upon the closing of the Issuer's initial public offering. Pursuant to the Certificate of Incorporation, the Series B Preferred Stock had been convertible, at the election of the holder, at any time into shares of Common Stock at an initial conversion rate equal to one share of Common Stock per share of Series B Preferred Stock. 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"). Read SEC document
October 18, 2019 Filed Oct 22, 2019 21:36 UTC	Principia Biopharma Inc. PRNB · Entity 146423	PurchaseCommon Stock	357,142	$28.00	$9,999,976.00	Disclosure SEC source: 0001387131-19-007820 · ownership.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · Former 10% Owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,982,855 F1 · shares: S.R. One, Limited purchased 357,142 shares of Common Stock of Principia Biopharma 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"). Read SEC document
September 10, 2019 Filed Sep 12, 2019 20:18 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	PurchaseCommon Stock	177,777	$45.00	$7,999,965.00	Disclosure SEC source: 0001387131-19-006905 · glaxosmithkline.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,170,327 F1 · shares: S.R. One, Limited purchased 177,777 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"). Read SEC document
July 22, 2019 Filed Jul 24, 2019 20:01 UTC	Fulcrum Therapeutics, Inc. FULC · Entity 5969	ConversionSeries B Preferred Stock · Derivative	12,500,000	$0.00	$0.00	Disclosure SEC source: 0001140361-19-013355 · form4.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 · 1,785,714 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 July 22, 2019 upon the closing of the Issuer's initial public offering (the "IPO"), the Series B Preferred Stock converted into Common Stock on a seven-for-one basis 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 IPO. The shares had no expiration date. F1 · derivative.exercise_date: On July 22, 2019 upon the closing of the Issuer's initial public offering (the "IPO"), the Series B Preferred Stock converted into Common Stock on a seven-for-one basis 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 IPO. The shares had no expiration date. F1 · derivative.expiration_date: On July 22, 2019 upon the closing of the Issuer's initial public offering (the "IPO"), the Series B Preferred Stock converted into Common Stock on a seven-for-one basis 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 IPO. 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"). Read SEC document
July 22, 2019 Filed Jul 24, 2019 20:01 UTC	Fulcrum Therapeutics, Inc. FULC · Entity 5969	ConversionCommon Stock	1,785,714	Not disclosed	Not disclosed	Disclosure SEC source: 0001140361-19-013355 · form4.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,785,714 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 July 22, 2019 upon the closing of the Issuer's initial public offering (the "IPO"), the Series B Preferred Stock converted into Common Stock on a seven-for-one basis 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 IPO. 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"). Read SEC document
July 01, 2019 Filed Jul 2, 2019 20:13 UTC	Morphic Holding, Inc. MORF · Entity 88114	ConversionSeries B preferred stock · Derivative	830,489	$0.00	$0.00	Disclosure SEC source: 0000903423-19-000271 · glaxo.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 · 830,489 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 the Issuer's Series A Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in its initial public offering (the 'IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.. F3 · derivative.exercise_date: Each share of the Issuer's Series B Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in IPO pursuant to the Registration Statement, and had no expiration date. F3 · derivative.expiration_date: Each share of the Issuer's Series B Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in IPO pursuant to the Registration Statement, and had no expiration date. F4 · 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"). Read SEC document
July 01, 2019 Filed Jul 2, 2019 20:13 UTC	Morphic Holding, Inc. MORF · Entity 88114	ConversionSeries A preferred stock · Derivative	1,469,950	$0.00	$0.00	Disclosure SEC source: 0000903423-19-000271 · glaxo.xml · derivative · entry 4 GLAXOSMITHKLINE PLC · CIK 0001131399 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,469,950 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 the Issuer's Series A Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in its initial public offering (the 'IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.. F2 · derivative.exercise_date: Each share of the Issuer's Series A Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in its initial public offering (the 'IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.. F2 · derivative.expiration_date: Each share of the Issuer's Series A Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in its initial public offering (the 'IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.. F4 · 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"). Read SEC document
July 01, 2019 Filed Jul 2, 2019 20:13 UTC	Morphic Holding, Inc. MORF · Entity 88114	PurchaseCommon Stock	333,333	$15.00	$4,999,995.00	Disclosure SEC source: 0000903423-19-000271 · glaxo.xml · nonDerivative · entry 3 GLAXOSMITHKLINE PLC · CIK 0001131399 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,633,772 F1 · shares: S.R. One, Limited acquired 333,333 common shares of the Issuer in connection with the Issuer's initial public offering. F4 · 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"). Read SEC document
July 01, 2019 Filed Jul 2, 2019 20:13 UTC	Morphic Holding, Inc. MORF · Entity 88114	ConversionCommon Stock	830,489	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-19-000271 · glaxo.xml · nonDerivative · entry 2 GLAXOSMITHKLINE PLC · CIK 0001131399 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,300,439 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: Each share of the Issuer's Series B Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in IPO pursuant to the Registration Statement, and had no expiration date. F4 · 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"). Read SEC document
July 01, 2019 Filed Jul 2, 2019 20:13 UTC	Morphic Holding, Inc. MORF · Entity 88114	ConversionCommon Stock	1,469,950	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-19-000271 · glaxo.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,469,950 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: Each share of the Issuer's Series A Preferred Stock automatically converted into one share of the Issuer's Common Stock on July 1, 2019 in connection with the closing of the Issuer's sale of its Common Stock in its initial public offering (the 'IPO") pursuant to a registration statement on Form S-1 (File No. 333-231837) under the Securities Act of 1933, as amended (the "Registration Statement"), and had no expiration date.. F4 · 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"). Read SEC document
June 24, 2019 Filed Jun 26, 2019 14:46 UTC	GENOCEA BIOSCIENCES, INC. GNCA · Entity 12635	PurchaseCommon Stock	1,857,142	$3.50	$6,499,997.00	Disclosure SEC source: 0000903423-19-000257 · glaxo.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footenote Disclosed balance after: 3,365,884 F1 · shares: S.R. One, Limited acquired 1,857,142 shares of Common Stock of Genocea Biosciences, 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"). Read SEC document
June 11, 2019 Filed Jun 17, 2019 18:57 UTC	Principia Biopharma Inc. PRNB · Entity 146423	GrantDirector Stock Option · Derivative	10,240	$0.00 Strike: $31.77	$0.00	Disclosure SEC source: 0000903423-19-000249 · prnb.xml · derivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 10,240 Underlying: Common Stock · 10,240 shares Expires 2029-06-10 F1 · derivative.exercise_date: The stock option was granted to Simeon George as director's compensation and vests and becomes exercisable in 12 equal monthly installments beginning one month after the grant date, until such time as the option is 100% vested, subject to the continuing service of Simeon George on each vesting date. As President of S. R. One, Limited and an employee of GlaxoSmithKline LLC, Simeon 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. F1 · ownership.nature: The stock option was granted to Simeon George as director's compensation and vests and becomes exercisable in 12 equal monthly installments beginning one month after the grant date, until such time as the option is 100% vested, subject to the continuing service of Simeon George on each vesting date. As President of S. R. One, Limited and an employee of GlaxoSmithKline LLC, Simeon 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. Read SEC document
May 28, 2019 Filed May 30, 2019 21:47 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	ConversionSeries B1 Preferred Shares · Derivative	445,323	$0.00	$0.00	Disclosure SEC source: 0000903423-19-000235 · glaxo.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: Ordinary Shares · 636,366 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 A Preferred Shares and the Series B1 Preferred Shares were converted into 1.429 shares of ordinary shares upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Shares and the Series B1 Preferred Shares were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: The Series A Preferred Shares and the Series B1 Preferred Shares were converted into 1.429 shares of ordinary shares upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Shares and the Series B1 Preferred Shares were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: The Series A Preferred Shares and the Series B1 Preferred Shares were converted into 1.429 shares of ordinary shares upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Shares and the Series B1 Preferred Shares were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
May 28, 2019 Filed May 30, 2019 21:47 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	ConversionSeries A Preferred Shares · Derivative	625,049	$0.00	$0.00	Disclosure SEC source: 0000903423-19-000235 · glaxo.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: Ordinary Shares · 893,195 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 A Preferred Shares and the Series B1 Preferred Shares were converted into 1.429 shares of ordinary shares upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Shares and the Series B1 Preferred Shares were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: The Series A Preferred Shares and the Series B1 Preferred Shares were converted into 1.429 shares of ordinary shares upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Shares and the Series B1 Preferred Shares were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: The Series A Preferred Shares and the Series B1 Preferred Shares were converted into 1.429 shares of ordinary shares upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Shares and the Series B1 Preferred Shares were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
May 28, 2019 Filed May 30, 2019 21:47 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	PurchaseOrdinary Shares	385,714	$14.00	$5,399,996.00	Disclosure SEC source: 0000903423-19-000235 · glaxo.xml · nonDerivative · entry 3 GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,915,275 F1 · shares: S.R. One, Limited acquired 385,714 Common Stock of Bicycle Therapeutics Limited (the "Issuer") in connection with the Issuer's initial public offering. F3 · 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"). Read SEC document
May 28, 2019 Filed May 30, 2019 21:47 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	ConversionOrdinary Shares	636,366	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-19-000235 · glaxo.xml · nonDerivative · entry 2 GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,529,561 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 A Preferred Shares and the Series B1 Preferred Shares were converted into 1.429 shares of ordinary shares upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Shares and the Series B1 Preferred Shares were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
May 28, 2019 Filed May 30, 2019 21:47 UTC	BICYCLE THERAPEUTICS PLC BCYC · Entity 5993	ConversionOrdinary Shares	893,195	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-19-000235 · glaxo.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 893,195 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 A Preferred Shares and the Series B1 Preferred Shares were converted into 1.429 shares of ordinary shares upon the closing of the Issuer's initial public offering without payment of consideration. The Series A Preferred Shares and the Series B1 Preferred Shares were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
April 22, 2019 Filed Apr 24, 2019 23:28 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	GrantDirector Stock Option (right to buy) · Derivative	15,000	$0.00 Strike: $27.06	$0.00	Disclosure SEC source: 0000903423-19-000197 · glaxo.xml · derivative · entry 6 GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 15,000 Underlying: Common Stock · 15,000 shares Expires 2029-04-22 F3 · derivative.exercise_date: The stock option was granted to Simeon George as director's compensation and will become fully vested on the date of the company's 2020 annual meeting of stockholders, subject to vesting acceleration upon a change in control of the company, and subject to the continuing service of Simeon George on each vesting date. As a Vice President of S.R. One, limited and an employee of GlaxoSmithKline LLC, Simeon 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 F4 · 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"). Read SEC document
April 22, 2019 Filed Apr 24, 2019 23:28 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	ConversionSeries D Preferred Stock · Derivative	2,105,259	$0.00	$0.00	Disclosure SEC source: 0000903423-19-000197 · glaxo.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 · 546,820 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 C Preferred Stock and Series D Preferred Stock were converted into 0.25974026 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Preferred Stock and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: Each share of Series C Preferred Stock and Series D Preferred Stock were converted into 0.25974026 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Preferred Stock and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: Each share of Series C Preferred Stock and Series D Preferred Stock were converted into 0.25974026 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Preferred Stock and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F4 · 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"). Read SEC document
April 22, 2019 Filed Apr 24, 2019 23:28 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	ConversionSeries C Preferred Stock · Derivative	4,314,809	$0.00	$0.00	Disclosure SEC source: 0000903423-19-000197 · glaxo.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 · 1,120,730 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 C Preferred Stock and Series D Preferred Stock were converted into 0.25974026 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Preferred Stock and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: Each share of Series C Preferred Stock and Series D Preferred Stock were converted into 0.25974026 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Preferred Stock and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: Each share of Series C Preferred Stock and Series D Preferred Stock were converted into 0.25974026 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Preferred Stock and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F4 · 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"). Read SEC document
April 22, 2019 Filed Apr 24, 2019 23:28 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	PurchaseCommon Stock	325,000	$18.00	$5,850,000.00	Disclosure SEC source: 0000903423-19-000197 · glaxo.xml · nonDerivative · entry 3 GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,992,550 F1 · kind: S.R. One, Limited acquired 325,000 Common Stock of the Issuer in connection with the Issuer's initial public offering. F4 · 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"). Read SEC document
April 22, 2019 Filed Apr 24, 2019 23:28 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	ConversionCommon Stock	546,820	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-19-000197 · glaxo.xml · nonDerivative · entry 2 GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,667,550 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: Each share of Series C Preferred Stock and Series D Preferred Stock were converted into 0.25974026 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Preferred Stock and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F4 · 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"). Read SEC document
April 22, 2019 Filed Apr 24, 2019 23:28 UTC	Turning Point Therapeutics, Inc. TPTX · Entity 124461	ConversionCommon Stock	1,120,730	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-19-000197 · glaxo.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,120,730 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: Each share of Series C Preferred Stock and Series D Preferred Stock were converted into 0.25974026 shares of Common Stock upon the closing of the Issuer's initial public offering without payment of consideration. The Series C Preferred Stock and Series D Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F4 · 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"). Read SEC document
October 16, 2018 Filed Oct 18, 2018 21:03 UTC	ChemoCentryx, Inc. CCXI · Entity 122928	SaleCommon Stock	7,343,492	$11.69	$85,845,421.48	Disclosure SEC source: 0000903423-18-000564 · chemo.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · Former 10% holder 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 F1 · shares: Shares of Common Stock were held of record by Glaxo Group Limited, which is an indirect wholly-owned subsidiary of Reporting Person. F1 · ownership.nature: Shares of Common Stock were held of record by Glaxo Group Limited, which is an indirect wholly-owned subsidiary of Reporting Person. Read SEC document
September 18, 2018 Filed Sep 20, 2018 21:18 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries C Preferred Stock · Derivative	1,521,895	$0.00	$0.00	Disclosure SEC source: 0000903423-18-000516 · prnb.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 · 167,537 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 A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
September 18, 2018 Filed Sep 20, 2018 21:18 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries B-3 Preferred Stock · Derivative	4,942,070	$0.00	$0.00	Disclosure SEC source: 0000903423-18-000516 · prnb.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 · 544,047 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 A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
September 18, 2018 Filed Sep 20, 2018 21:18 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries B-2 Preferred Stock · Derivative	2,367,424	$0.00	$0.00	Disclosure SEC source: 0000903423-18-000516 · prnb.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 · 260,617 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 A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
September 18, 2018 Filed Sep 20, 2018 21:18 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries B-1 Preferred Stock · Derivative	2,840,909	$0.00	$0.00	Disclosure SEC source: 0000903423-18-000516 · prnb.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 · 312,741 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 A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
September 18, 2018 Filed Sep 20, 2018 21:18 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionSeries A Preferred Stock · Derivative	9,726,783	$0.00	$0.00	Disclosure SEC source: 0000903423-18-000516 · prnb.xml · derivative · entry 7 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,070,771 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 A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: The Series A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
September 18, 2018 Filed Sep 20, 2018 21:18 UTC	Principia Biopharma Inc. PRNB · Entity 146423	PurchaseCommon Stock	270,000	$17.00	$4,590,000.00	Disclosure SEC source: 0000903423-18-000516 · prnb.xml · nonDerivative · entry 6 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,625,713 F1 · shares: S.R. One, Limited acquired 270,000 Common Stock of the Issuer in connection with the Issuer's initial public offering. F3 · 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"). Read SEC document
September 18, 2018 Filed Sep 20, 2018 21:18 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	167,537	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-18-000516 · prnb.xml · nonDerivative · entry 5 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,355,713 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 A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
September 18, 2018 Filed Sep 20, 2018 21:18 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	544,047	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-18-000516 · prnb.xml · nonDerivative · entry 4 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,188,176 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 A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
September 18, 2018 Filed Sep 20, 2018 21:18 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	260,617	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-18-000516 · prnb.xml · nonDerivative · entry 3 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,644,129 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 A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
September 18, 2018 Filed Sep 20, 2018 21:18 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	312,741	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-18-000516 · prnb.xml · nonDerivative · entry 2 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,383,512 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 A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
September 18, 2018 Filed Sep 20, 2018 21:18 UTC	Principia Biopharma Inc. PRNB · Entity 146423	ConversionCommon Stock	1,070,771	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-18-000516 · prnb.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,070,771 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 A, Series B-1, Series B-2, Series B-3 and Series C Preferred Stock were converted into Common Stock on a 9.0839-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B-1, Series B-2, Series B-3, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
September 13, 2018 Filed Jan 15, 2019 21:57 UTC	Principia Biopharma Inc. PRNB · Entity 146423	GrantDirector Stock Option (right to buy) · Derivative	20,475	$0.00 Strike: $17.00	$0.00	Disclosure SEC source: 0000903423-19-000029 · prnb.xml · derivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 20,475 Underlying: Common Stock · 20,475 shares Expires 2028-09-12 F1 · derivative.exercise_date: The stock option was granted to Simeon George as director's compensation and vests in equal monthly installments over a three year period, until such time as the option is 100% vested, subject to the continuing service of Simeon George on each vesting date. As a Vice President of S. R. One, Limited and an employee of GlaxoSmithKline LLC, Simeon 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. F1 · ownership.nature: The stock option was granted to Simeon George as director's compensation and vests in equal monthly installments over a three year period, until such time as the option is 100% vested, subject to the continuing service of Simeon George on each vesting date. As a Vice President of S. R. One, Limited and an employee of GlaxoSmithKline LLC, Simeon 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. Read SEC document
July 30, 2018 Filed Aug 1, 2018 22:32 UTC	Liquidia Technologies Inc LQDA · Entity 145051	ConversionSeries D Preferred Stock · Derivative	344,853	$0.00	$0.00	Disclosure SEC source: 0000903423-18-000416 · translate.xml · derivative · entry 5 GLAXOSMITHKLINE PLC · CIK 0001131399 · Former 10% holder 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 0 Underlying: Common Stock · 336,541 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 converted automatically into Common Stock on an approximately 0.0594 -for-one basis upon closing of the Issuer's initial public offering. The Series D Preferred Stock had been convertible at any time at the holder's election and had no expiration date. F4 · derivative.exercise_date: The Series D Preferred Stock converted automatically into Common Stock on an approximately 0.0594 -for-one basis upon closing of the Issuer's initial public offering. The Series D Preferred Stock had been convertible at any time at the holder's election and had no expiration date. F4 · derivative.expiration_date: The Series D Preferred Stock converted automatically into Common Stock on an approximately 0.0594 -for-one basis upon closing of the Issuer's initial public offering. The Series D Preferred Stock had been convertible at any time at the holder's election and had no expiration date. F5 · 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"). Read SEC document
July 30, 2018 Filed Aug 1, 2018 22:32 UTC	Liquidia Technologies Inc LQDA · Entity 145051	ConversionSeries C-1 Preferred Stock · Derivative	4,765,248	$0.00	$0.00	Disclosure SEC source: 0000903423-18-000416 · translate.xml · derivative · entry 4 GLAXOSMITHKLINE PLC · CIK 0001131399 · Former 10% holder 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 0 Underlying: Common Stock · 118,570 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-1 Preferred Stock converted automatically into Common Stock on an approximately 0.0706-for-one basis upon closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had been convertible at any time at the holder's election and had no expiration date F3 · derivative.exercise_date: The Series C-1 Preferred Stock converted automatically into Common Stock on an approximately 0.0706-for-one basis upon closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had been convertible at any time at the holder's election and had no expiration date F3 · derivative.expiration_date: The Series C-1 Preferred Stock converted automatically into Common Stock on an approximately 0.0706-for-one basis upon closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had been convertible at any time at the holder's election and had no expiration date F5 · 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"). Read SEC document
July 30, 2018 Filed Aug 1, 2018 22:32 UTC	Liquidia Technologies Inc LQDA · Entity 145051	PurchaseCommon Stock	148,818	$11.00	$1,636,998.00	Disclosure SEC source: 0000903423-18-000416 · translate.xml · nonDerivative · entry 3 GLAXOSMITHKLINE PLC · CIK 0001131399 · Former 10% holder 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 624,422 F1 · kind: On July 30, 2018, Glaxo Group Limited acquired 148,818 common shares of the Issuer ("Common Stock") at a price of $11.00 per share in connection with the Issuer's initial public offering. F1 · price: On July 30, 2018, Glaxo Group Limited acquired 148,818 common shares of the Issuer ("Common Stock") at a price of $11.00 per share in connection with the Issuer's initial public offering. F2 · balance_after: Includes 20,493 shares of Common Stock issuable upon exercise of Series D Warrants. The Series D Warrants are currently exercisable, with an expiration date of December 31, 2026 and an exercise price of $0.01 per share. The exercise price may be paid in cash or through net share settlement at the option of the warrantholder. F5 · 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"). Read SEC document
July 30, 2018 Filed Aug 1, 2018 22:32 UTC	Liquidia Technologies Inc LQDA · Entity 145051	ConversionCommon Stock	118,570	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-18-000416 · translate.xml · nonDerivative · entry 2 GLAXOSMITHKLINE PLC · CIK 0001131399 · Former 10% holder 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 475,604 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 converted automatically into Common Stock on an approximately 0.0594 -for-one basis upon closing of the Issuer's initial public offering. The Series D Preferred Stock had been convertible at any time at the holder's election and had no expiration date. F2 · balance_after: Includes 20,493 shares of Common Stock issuable upon exercise of Series D Warrants. The Series D Warrants are currently exercisable, with an expiration date of December 31, 2026 and an exercise price of $0.01 per share. The exercise price may be paid in cash or through net share settlement at the option of the warrantholder. F5 · 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"). Read SEC document
July 30, 2018 Filed Aug 1, 2018 22:32 UTC	Liquidia Technologies Inc LQDA · Entity 145051	ConversionCommon Stock	336,541	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-18-000416 · translate.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · Former 10% holder 10b5-1 filing: Not disclosed Ownership: Indirect · See explanation of responses Disclosed balance after: 475,604 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-1 Preferred Stock converted automatically into Common Stock on an approximately 0.0706-for-one basis upon closing of the Issuer's initial public offering. The Series C-1 Preferred Stock had been convertible at any time at the holder's election and had no expiration date F2 · balance_after: Includes 20,493 shares of Common Stock issuable upon exercise of Series D Warrants. The Series D Warrants are currently exercisable, with an expiration date of December 31, 2026 and an exercise price of $0.01 per share. The exercise price may be paid in cash or through net share settlement at the option of the warrantholder. F5 · 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"). Read SEC document
July 17, 2018 Filed Jul 17, 2018 21:01 UTC	Spero Therapeutics, Inc. SPRO · Entity 7014	PurchaseCommon Stock	80,000	$12.50	$1,000,000.00	Disclosure SEC source: 0000903423-18-000400 · glaxo-spero.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By S.R. One, Limited Disclosed balance after: 1,934,006 F1 · ownership.nature: S.R. One, Limited acquired 80,000 common shares of the Issuer in connection with the Issuer's offering. Shares are held of record by S.R. One, Limited, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc (Reporting Person). Read SEC document
July 02, 2018 Filed Jul 3, 2018 21:59 UTC	Translate Bio, Inc. TBIO · Entity 135439	ConversionSeries C Preferred Stock · Derivative	2,525,253	$0.00	$0.00	Disclosure SEC source: 0000903423-18-000373 · translate.xml · derivative · entry 7 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 454,550 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 shares reported herein are held of record by S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc (the "Reporting Person"). F2 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
July 02, 2018 Filed Jul 3, 2018 21:59 UTC	Translate Bio, Inc. TBIO · Entity 135439	ConversionSeries B Preferred Stock · Derivative	7,222,797	$0.00	$0.00	Disclosure SEC source: 0000903423-18-000373 · translate.xml · derivative · entry 6 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,300,116 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 A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
July 02, 2018 Filed Jul 3, 2018 21:59 UTC	Translate Bio, Inc. TBIO · Entity 135439	ConversionSeries A Preferred Stock · Derivative	9,300,000	$0.00	$0.00	Disclosure SEC source: 0000903423-18-000373 · translate.xml · derivative · entry 5 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 0 Underlying: Common Stock · 1,674,016 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: S.R. One, Limited acquired 269,230 Common Stock of the Issuer in connection with the Issuer's initial public offering. F2 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F2 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
July 02, 2018 Filed Jul 3, 2018 21:59 UTC	Translate Bio, Inc. TBIO · Entity 135439	PurchaseCommon Stock	269,230	$13.00	$3,499,990.00	Disclosure SEC source: 0000903423-18-000373 · translate.xml · nonDerivative · entry 4 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,697,912 F1 · shares: S.R. One, Limited acquired 269,230 Common Stock of the Issuer in connection with the Issuer's initial public offering. F3 · 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"). Read SEC document
July 02, 2018 Filed Jul 3, 2018 21:59 UTC	Translate Bio, Inc. TBIO · Entity 135439	ConversionCommon Stock	454,550	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-18-000373 · translate.xml · nonDerivative · entry 3 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 3,428,682 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 A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
July 02, 2018 Filed Jul 3, 2018 21:59 UTC	Translate Bio, Inc. TBIO · Entity 135439	ConversionCommon Stock	1,300,116	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-18-000373 · translate.xml · nonDerivative · entry 2 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,974,132 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 A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document
July 02, 2018 Filed Jul 3, 2018 21:59 UTC	Translate Bio, Inc. TBIO · Entity 135439	ConversionCommon Stock	1,674,016	Not disclosed	Not disclosed	Disclosure SEC source: 0000903423-18-000373 · translate.xml · nonDerivative · entry 1 GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,674,016 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 A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date. F3 · 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"). Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.