Gengos Andrew

SEC source: 0001790340-26-000082 · wk-form4_1784320143.xml · derivative · entry 1

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 650,000

Underlying: Class A Common Stock · 650,000 shares

Expires 2036-07-16

F1 · derivative.exercise_date: Subject to the reporting person's continued employment through each applicable vesting date, 8.33333% of the shares underlying the stock option shall vest on each of the first, second and third monthly anniversary of the grant transaction date (the "Grant Date"); 1.6667% of the shares underlying the stock option shall vest on the fourth monthly anniversary of the Grant Date and on each monthly anniversary thereafter until the one year anniversary of the Grant Date; 3.33333% of the shares underlying the stock option shall vest on each monthly anniversary following the one-year anniversary of the Grant Date until the second anniversary of the Grant Date; and 0.833333% of the of the shares underlying the stock option shall vest on each monthly anniversary following the second anniversary of the Grant Date until the fourth anniversary of the Grant Date, such that all shares underlying the stock option shall be fully vested on the fourth anniversary of the Grant Date.

SEC source: 0001213900-26-066394 · ownership.xml · derivative · entry 1

Gengos Andrew · CIK 0001563623 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock · 95,000 shares

Expires 2036-06-04

F1 · derivative.exercise_date: The option will vest in twelve (12) equal monthly installments, on the last day of each calendar month, commencing on June 30, 2026, subject to the Reporting Person's continued employment and the terms and conditions of the applicable option award and the Issuer's 2025 Omnibus Incentive Plan.

SEC source: 0001563623-26-000004 · primarydocument.xml · derivative · entry 4

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 137,500 shares

Expires not disclosed

F4 · shares: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase the Issuer's Shares that was outstanding and unexercised immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Merger Consideration was cancelled and converted into the right to receive, without interest thereon and subject to the applicable withholding taxes, the excess of the Merger Consideration over the per share exercise price.

F2 · price: On March 24, 2026, Terns Pharmaceuticals, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement") with Merck Sharp & Dohme LLC ("Merck") and Thailand Merger Sub, Inc. (the "Purchaser"), a wholly owned subsidiary of Merck. Pursuant to the Merger Agreement, the Purchaser completed a tender offer for the shares of the Issuer's common stock (the "Shares"). In exchange for each Share, tendering shareholders will receive $53.00 per Share (the "Merger Consideration"), payable in cash, net to the seller, and without interest, subject to any applicable withholding taxes, as described more fully in the Schedule 14D-9 filed by the Issuer on April 7, 2026.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase the Issuer's Shares that was outstanding and unexercised immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Merger Consideration was cancelled and converted into the right to receive, without interest thereon and subject to the applicable withholding taxes, the excess of the Merger Consideration over the per share exercise price.

F4 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase the Issuer's Shares that was outstanding and unexercised immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Merger Consideration was cancelled and converted into the right to receive, without interest thereon and subject to the applicable withholding taxes, the excess of the Merger Consideration over the per share exercise price.

SEC source: 0001563623-26-000004 · primarydocument.xml · derivative · entry 3

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 750,000 shares

Expires not disclosed

F4 · shares: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase the Issuer's Shares that was outstanding and unexercised immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Merger Consideration was cancelled and converted into the right to receive, without interest thereon and subject to the applicable withholding taxes, the excess of the Merger Consideration over the per share exercise price.

F2 · price: On March 24, 2026, Terns Pharmaceuticals, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement") with Merck Sharp & Dohme LLC ("Merck") and Thailand Merger Sub, Inc. (the "Purchaser"), a wholly owned subsidiary of Merck. Pursuant to the Merger Agreement, the Purchaser completed a tender offer for the shares of the Issuer's common stock (the "Shares"). In exchange for each Share, tendering shareholders will receive $53.00 per Share (the "Merger Consideration"), payable in cash, net to the seller, and without interest, subject to any applicable withholding taxes, as described more fully in the Schedule 14D-9 filed by the Issuer on April 7, 2026.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase the Issuer's Shares that was outstanding and unexercised immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Merger Consideration was cancelled and converted into the right to receive, without interest thereon and subject to the applicable withholding taxes, the excess of the Merger Consideration over the per share exercise price.

F4 · derivative.expiration_date: Pursuant to the Merger Agreement, at the Effective Time, each option to purchase the Issuer's Shares that was outstanding and unexercised immediately prior to the Effective Time, whether or not vested, with a per share exercise price that was less than the Merger Consideration was cancelled and converted into the right to receive, without interest thereon and subject to the applicable withholding taxes, the excess of the Merger Consideration over the per share exercise price.

SEC source: 0001563623-26-000004 · primarydocument.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F3 · price: Pursuant to the Merger Agreement, each Issuer restricted stock unit ("RSU") award then outstanding, whether or not vested, was cancelled and converted into the right to receive an amount in cash, without interest thereon and subject to applicable withholding taxes, equal to the product of the Merger Consideration and the total number of Shares subject to such RSU award as of immediately prior to the Effective Time (as defined in the Merger Agreement).

SEC source: 0001563623-26-000004 · primarydocument.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Includes 7,465 shares acquired under the Issuer's 2021 Employee Stock Purchase Plan since the reporting person's Form 4 filed on January 16, 2026.

F2 · price: On March 24, 2026, Terns Pharmaceuticals, Inc. (the "Issuer") entered into an Agreement and Plan of Merger (the "Merger Agreement") with Merck Sharp & Dohme LLC ("Merck") and Thailand Merger Sub, Inc. (the "Purchaser"), a wholly owned subsidiary of Merck. Pursuant to the Merger Agreement, the Purchaser completed a tender offer for the shares of the Issuer's common stock (the "Shares"). In exchange for each Share, tendering shareholders will receive $53.00 per Share (the "Merger Consideration"), payable in cash, net to the seller, and without interest, subject to any applicable withholding taxes, as described more fully in the Schedule 14D-9 filed by the Issuer on April 7, 2026.

SEC source: 0001563623-26-000002 · primarydocument.xml · derivative · entry 2

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common Stock · 137,500 shares

Expires 2036-01-13

F3 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary measured from January 1, 2026 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest monthly thereafter, such that 100% of the shares subject to the option will be fully vested on the fourth anniversary of the Vesting Commencement Date.

SEC source: 0001563623-26-000002 · primarydocument.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,788

F1 · shares: Each share is represented by a Restricted Stock Unit ("RSU"). 25% of the RSUs vest on the first anniversary measured from January 1, 2026 (the "Vesting Commencement Date"), and 1/16th of the total number of shares vest quarterly thereafter, such that 100% of the RSUs will be fully vested on the fourth anniversary of the Vesting Commencement Date.

F2 · balance_after: Includes 8,038 shares acquired by the Reporting Person under the Issuer's 2021 Employee Stock Purchase Plan ("ESPP") on November 30, 2025.

SEC source: 0001104659-25-098567 · tm2528487-1_4seq1.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

F1 · security: Reflects an award of restricted stock units ("RSUs") granted under the Issuer's 2025 Omnibus Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. These RSUs will vest upon the earlier of the first anniversary of the grant date or a change in control of the Issuer, in each case, subject to the reporting person's continuous service through the vesting date.

SEC source: 0001562180-25-005120 · primarydocument.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

SEC source: 0001562180-25-005120 · primarydocument.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

SEC source: 0001562180-25-004866 · primarydocument.xml · nonDerivative · entry 3

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

SEC source: 0001562180-25-004866 · primarydocument.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

SEC source: 0001562180-25-004866 · primarydocument.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

SEC source: 0001562180-25-001632 · primarydocument.xml · derivative · entry 1

Gengos Andrew · CIK 0001563623 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2035-02-23

F1 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary measured from February 24, 2025 (the "Vesting Commencement Date"), and 1/48th of the total number of shares vest monthly thereafter, such that 100% of the shares subject to the option will be fully vested on the fourth anniversary of the Vesting Commencement Date.

SEC source: 0001415889-24-022987 · form4-09052024_110900.xml · nonDerivative · entry 3

Gengos Andrew · CIK 0001563623 · CFO and Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,532

F6 · kind: Represents shares of common stock sold to cover tax withholding and remittance obligations in connection with the vesting of RSUs pursuant to mandatory "sell to cover" policies maintained by the issuer and provisions contained in the reporting person's applicable RSU agreement, and does not represent a discretionary sale by the reporting person.

F7 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $0.5505 to $0.5751, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

SEC source: 0001415889-24-022987 · form4-09052024_110900.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · CFO and Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,804

F4 · date: On May 18, 2023, the reporting person was granted restricted stock units ("RSUs") representing 10,000 shares of Common Stock of the Issuer. The RSUs were scheduled to vest according to the following amended schedule: (1) fifty percent (50%) of the shares subject to the RSU award vest as of the date the the Compensation Committee (the "Committee" determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (2) the remaining fifty percent (50%) of the shares subject to the RSUs shall vest at the completion of the public readout of topline results of the Company's LIFT-AD Phase 2/3 clinical trial, in each case subject to continued service with the Issuer through the applicable vesting date.

F5 · shares: On September 3, 2024, the Company completed the public readout of the topline results of its LIFT-AD Phase 2/3 clinical trial and 5,000 RSUs vested on such date.

SEC source: 0001415889-24-022987 · form4-09052024_110900.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · CFO and Chief Business Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,804

F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Athira Pharma, Inc. 2020 Employee Stock Purchase Plan ("ESPP"), for the ESPP Purchase Period (as defined in the ESPP) of November 20, 2023 through May 20, 2024. This transaction is exempt under Rule 16b-3(c).

F2 · date: The Purchase Period ended May 20, 2024 and is the Purchase Period comprising the Offering Period (as defined in the ESPP) that began November 20, 2023.

F3 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price on November 20, 2023.

SEC source: 0001415889-24-004158 · form4-02162024_090245.xml · derivative · entry 1

Gengos Andrew · CIK 0001563623 · CFO AND CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 280,000

Underlying: Common Stock · 280,000 shares

Expires 2034-02-13

F1 · derivative.exercise_date: Shares subject to the option shall be scheduled to vest monthly over a term of 48 months on the monthly anniversaries of the grant date, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2020 Equity Incentive Plan) through the applicable vesting dates.

SEC source: 0001415889-24-004149 · form4a-02162024_090259.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · CFO AND CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,804

F4 · date: The original Form 4 incorrectly reported the transaction date as 01/05/2023.

F5 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion.

F6 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.84 to $3.01, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

SEC source: 0001415889-24-004149 · form4a-02162024_090259.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · CFO AND CHIEF BUSINESS OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,012

F1 · date: On May 18, 2023, the reporting person was granted restricted stock units ("RSUs") representing 10,000 shares of Common Stock of the Issuer. The RSUs were scheduled to vest according to the following amended schedule: (1) fifty percent (50%) of the shares subject to the RSU award vest as of the date the the Compensation Committee (the "Committee" determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (2) the remaining fifty percent (50%) of the shares subject to the RSUs shall vest at the completion of the public readout of topline results of the Company's LIFT-AD Phase 2/3 clinical trial, in each case subject to continued service with the Issuer through the applicable vesting date.

F2 · date: The original Form 4 incorrectly reported the transaction date as 01/04/2023.

F3 · shares: On January 4, 2024, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 5,000 RSUs vested and settled on such date. The original Form 4 incorrectly reported the determination date as January 4, 2023.

SEC source: 0001209191-23-035951 · doc4.xml · nonDerivative · entry 3

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,012

F2 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $3.43 to $3.44, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

SEC source: 0001209191-23-035951 · doc4.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,293

SEC source: 0001209191-23-035951 · doc4.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,434

F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $3.355 to $3.36, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 7

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,012

F4 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.995 to $3.02, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 6

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,012

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 5

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,012

F3 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.995 to $3.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 4

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,012

F2 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.9999 to $3.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 3

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,012

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,594

F1 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares purchased. These shares were purchased in multiple transactions at prices ranging from $2.855 to $2.86, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth herein.

SEC source: 0001209191-23-034887 · doc4.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,012

SEC source: 0001209191-23-031552 · doc4.xml · derivative · entry 1

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2033-05-17

F1 · derivative.exercise_date: One-third (1/3) of the shares subject to the option shall be scheduled to vest on May 18, 2024, the one (1) year anniversary of May 18, 2023, and the remaining shares subject to the option shall be scheduled to vest monthly over the next 36 months on the 18th of each month, subject to the Reporting Person continuing to be a Service Provider (as defined in Athira Pharma, Inc.'s 2020 Equity Incentive Plan) through the applicable vesting dates, as follows: one-third (1/3) of the shares subject to the option shall be scheduled to vest in equal monthly amounts over the next 12 months; one-sixth (1/6) of the shares subject to the option shall be scheduled to vest in equal monthly amounts over the subsequent 12 months; and the remaining one-sixth (1/6) of the shares subject to the option shall be scheduled to vest in equal monthly amounts over the final 12 months.

SEC source: 0001209191-24-001153 · doc4.xml · nonDerivative · entry 2

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,804

F3 · kind: The reported shares were sold to cover the Issuer's tax withholding obligations in connection with the vesting of RSUs. Such sale was made pursuant to an Issuer-mandated policy and was not subject to discretion.

F4 · price: The "Amount" and "Price" reported in this Column 4 reflect the aggregate number and weighted-average price, respectively, of shares sold. These shares were sold in multiple transactions at prices ranging from $2.84 to $3.01, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

SEC source: 0001209191-24-001153 · doc4.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · See Below

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,012

F1 · date: On May 18, 2023, the reporting person was granted restricted stock units ("RSUs") representing 10,000 shares of Common Stock of the Issuer. The RSUs were scheduled to vest according to the following amended schedule: (1) fifty percent (50%) of the shares subject to the RSU award vest as of the date the the Compensation Committee (the "Committee" determines that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial has been completed, and (2) the remaining fifty percent (50%) of the shares subject to the RSUs shall vest at the completion of the public readout of topline results of the Company's LIFT-AD Phase 2/3 clinical trial, in each case subject to continued service with the Issuer through the applicable vesting date.

F2 · shares: On January 4, 2023, the Committee determined that enrollment of the Company's LIFT-AD Phase 2/3 clinical trial had been completed and 5,000 RSUs vested and settled on such date.

SEC source: 0000899243-22-007638 · doc4.xml · derivative · entry 1

Gengos Andrew · CIK 0001563623 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2032-02-22

F1 · derivative.exercise_date: The shares of common stock underlying this stock option award vest as to 2.083% in 48 equal monthly installments, subject to the Reporting Person's continued employment with the Company through the applicable vesting date.

SEC source: 0000899243-18-007529 · doc4.xml · derivative · entry 1

Gengos Andrew · CIK 0001563623 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2028-03-14

F1 · derivative.exercise_date: The options vest and become exercisable in substantially equal monthly installments beginning on April 14, 2018 and continuing until March 14, 2022, subject to the Reporting Person continuing to provide services to the Issuer through each such vesting date.

SEC source: 0000899243-17-029490 · doc4.xml · derivative · entry 1

Gengos Andrew · CIK 0001563623 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,000

Underlying: Common Stock · 154,000 shares

Expires 2017-10-09

F1 · derivative.exercise_date: The option vests and becomes exercisable as to one-fourth (1/4th) of the shares, on October 9, 2018, and the remainder will vest at one-forty-eighth (1/48th) per month thereafter; subject to the Reporting Person continuing to provide services to the Issuer through such vesting date.

SEC source: 0001209191-17-009955 · doc4.xml · nonDerivative · entry 1

Gengos Andrew · CIK 0001563623 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,249

F1 · kind: Shares withheld by the Issuer to satisfy the mandatory tax withholding requirement upon vesting of restricted stock units. This is not an open market sale of securities.

F2 · balance_after: On November 18, 2016, ImmunoCellular Therapeutics, Ltd. effected a 1 for 40 reverse stock split. The number of shares reported in Column 6 of Table I represents the reporting person's resulting ownership interest on a post 1 for 40 reverse stock split basis.