Wheadon David E.

SEC source: 0001437749-26-023807 · rdgdoc.xml · derivative · entry 2

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,700

Underlying: Common Stock · 78,700 shares

Expires 2036-07-16

F2 · derivative.exercise_date: The shares subject to this option shall vest on the earlier of the date immediately prior of the 2027 annual meeting of stockholders of the Issuer and July 16, 2027, the first anniversary of the date of the grant.

SEC source: 0001437749-26-023807 · rdgdoc.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,150

F1 · shares: Grant of shares upon vesting of restricted stock units. The shares underlying the award shall vest on the earlier of the date immediately prior of the 2027 annual meeting of stockholders of the Issuer and July 16, 2027, the first anniversary date of the grant.

SEC source: 0001193125-26-242177 · ownership.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,882

F1 · shares: These securities consist of 14,970 restricted stock units ("RSUs") that were granted on May 22, 2026, pursuant to the terms of an RSU agreement under the Sotera Health Company 2020 Omnibus Incenctive Plan. Each RSU represents the Reporting Person's right to receive one share of Common Stock, subject to vesting conditions. The RSUs will vest in full on the earlier of (i) the first anniversary of the date of grant, or (ii) the date immediately prior to the Issuer's next regular annual shareholders meeting, subject to the Reporting Person's continued service as a non-employee director of the Issuer through such date.

F2 · balance_after: These securities consist of 14,970 RSUs and 74,912 shares of Common Stock.

SEC source: 0001789507-26-000008 · wk-form4_1778789170.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,780

F1 · shares: Reflects a grant of Restricted Stock Units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest on the day immediately preceding the date of the annual meeting of the Issuer's stockholders following the date of grant, subject to the Reporting Person's continued service to the Issuer on the vesting date.

SEC source: 0001193125-26-204484 · ownership.xml · derivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,258

Underlying: Common Stock · 12,258 shares

Expires 2036-04-29

F1 · derivative.exercise_date: The shares underlying this option shall vest in full on April 30, 2027, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001789507-26-000006 · wk-form4_1769634652.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,350

F1 · shares: Reflects a grant of Restricted Stock Units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs vest on the day immediately preceding the date of the first annual meeting of the Issuer's stockholders following the date of grant, subject to the Reporting Person's continued service to the Issuer on the vesting date.

SEC source: 0001789507-26-000004 · wk-form4_1767811617.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 14,395

F1 · kind: Securities acquired pursuant to the director's participation in a Non-Executive Director Purchase Plan to receive a portion of the fees received for service as a director in stock in lieu of cash.

SEC source: 0001437749-25-020569 · rdgdoc.xml · derivative · entry 2

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,400

Underlying: Common Stock · 95,400 shares

Expires 2035-06-13

F2 · derivative.exercise_date: The shares subject to this option shall vest on the earlier of the date immediately prior of the 2026 annual meeting of stockholders of the Issuer and June 13, 2026, the first anniversary of the date of the grant.

SEC source: 0001437749-25-020569 · rdgdoc.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,750

F1 · shares: Grant of shares upon vesting of restricted stock units. The shares underlying the award shall vest on the earlier of the date immediately prior of the 2026 annual meeting of stockholders of the Issuer and June 13, 2026, the first anniversary date of the grant.

SEC source: 0000950170-25-077809 · ownership.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,912

F1 · shares: These securities consist of 19,132 restricted stock units ("RSUs") that were granted on May 22, 2025, pursuant to the terms of an RSU agreement under the Sotera Health Company 2020 Omnibus Incentive Plan. Each RSU represents the Reporting Person's right to receive one share of Common Stock, subject to vesting conditions. The RSUs will vest in full on the earlier of (i) the first anniversary of the date of grant, or (ii) the date immediately prior to the Issuer's next regular annual shareholders meeting, subject to the Reporting Person's continued service as a non-employee director of the Issuer through such date.

F2 · balance_after: These securities consist of 19,132 RSUs and 55,780 shares of Common Stock.

SEC source: 0001437749-24-020098 · rdgdoc.xml · derivative · entry 2

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,400

Underlying: Common Stock · 95,400 shares

Expires 2034-06-11

F2 · derivative.exercise_date: The shares subject to this option shall vest on the earlier of the date immediately prior of the 2025 annual meeting of stockholders of the Issuer and June 11, 2025, the first anniversary of the date of the grant.

SEC source: 0001437749-24-020098 · rdgdoc.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,750

F1 · shares: Grant of shares upon vesting of restricted stock units. The shares underlying the award shall vest on the earlier of the date immediately prior of the 2025 annual meeting of stockholders of the Issuer and June 11, 2025, the first anniversary date of the grant.

SEC source: 0000950170-24-066020 · ownership.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,780

F1 · shares: These securities consist of 20,089 Restricted Stock Units ("RSUs") that were granted on May 24, 2024, pursuant to the terms of an RSU agreement under the Sotera Health Company 2020 Omnibus Incentive Plan. Each RSU represents the Reporting Person's right to receive one share of Common Stock, subject to vesting conditions. The RSUs will vest in full on the earlier of (i) the first anniversary of the date of grant, or (ii) the date immediately prior to the Issuer's next regular annual shareholders meeting, subject to the Reporting Person's continued service as a non-employee director of the Issuer through such date.

F2 · balance_after: These securities consist of 20,089 RSUs and 35,691 shares of Common Stock.

SEC source: 0001140361-24-013935 · form4.xml · derivative · entry 5

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,904 shares

Expires 2033-06-19

F1 · kind: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. At the effective time of the Merger, each issued and outstanding share of the Issuer's common stock, $0.0001 par value per share (the "Common Stock") (other than certain excluded shares of Common Stock) automatically converted into the right to receive $330.00 per share in cash (the "Merger Consideration"), without interest and subject to applicable withholding tax.

F3 · kind: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option.

F3 · price: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option.

F5 · derivative.exercise_date: These Options originally provided for vesting upon the earlier of (i) June 20, 2024, and (ii) the 2024 annual meeting of the Issuer's stockholders, subject to continued service through such date.

SEC source: 0001140361-24-013935 · form4.xml · derivative · entry 4

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2032-06-14

F1 · kind: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. At the effective time of the Merger, each issued and outstanding share of the Issuer's common stock, $0.0001 par value per share (the "Common Stock") (other than certain excluded shares of Common Stock) automatically converted into the right to receive $330.00 per share in cash (the "Merger Consideration"), without interest and subject to applicable withholding tax.

F3 · kind: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option.

F3 · price: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option.

F4 · derivative.exercise_date: These Options are fully vested.

SEC source: 0001140361-24-013935 · form4.xml · derivative · entry 3

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,500 shares

Expires 2031-06-15

F1 · kind: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. At the effective time of the Merger, each issued and outstanding share of the Issuer's common stock, $0.0001 par value per share (the "Common Stock") (other than certain excluded shares of Common Stock) automatically converted into the right to receive $330.00 per share in cash (the "Merger Consideration"), without interest and subject to applicable withholding tax.

F3 · kind: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option.

F3 · price: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option.

F4 · derivative.exercise_date: These Options are fully vested.

SEC source: 0001140361-24-013935 · form4.xml · derivative · entry 2

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2030-12-02

F1 · kind: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. At the effective time of the Merger, each issued and outstanding share of the Issuer's common stock, $0.0001 par value per share (the "Common Stock") (other than certain excluded shares of Common Stock) automatically converted into the right to receive $330.00 per share in cash (the "Merger Consideration"), without interest and subject to applicable withholding tax.

F3 · kind: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option.

F3 · price: Pursuant to the Merger Agreement, outstanding and unexercised options to purchase shares of Common Stock (the "Options"), whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), were cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such Option multiplied by (ii) the excess, if any, of the Merger Consideration over the exercise price per share of Common Stock under such Option.

F4 · derivative.exercise_date: These Options are fully vested.

SEC source: 0001140361-24-013935 · form4.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On March 18, 2024, Bristol-Myers Squibb Company ("Bristol-Myers") acquired Karuna Therapeutics, Inc. (the "Issuer") pursuant to a certain Agreement and Plan of Merger, dated as of December 22, 2023 (the "Merger Agreement"), by and among the Issuer, Bristol-Myers and Miramar Merger Sub Inc., a wholly owned subsidiary of Bristol-Myers ("Merger Sub"). In accordance with the Merger Agreement, Merger Sub merged with and into the Issuer (the "Merger") with the Issuer surviving the Merger as a wholly owned subsidiary of Bristol-Myers. At the effective time of the Merger, each issued and outstanding share of the Issuer's common stock, $0.0001 par value per share (the "Common Stock") (other than certain excluded shares of Common Stock) automatically converted into the right to receive $330.00 per share in cash (the "Merger Consideration"), without interest and subject to applicable withholding tax.

F2 · kind: Represents restricted stock units ("RSUs"), each representing a contingent right to receive one share of Common Stock. Pursuant to the Merger Agreement, each outstanding RSU, whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), was cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such RSU immediately prior to the effective time of the Merger, multiplied by (ii) the Merger Consideration.

F2 · shares: Represents restricted stock units ("RSUs"), each representing a contingent right to receive one share of Common Stock. Pursuant to the Merger Agreement, each outstanding RSU, whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), was cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such RSU immediately prior to the effective time of the Merger, multiplied by (ii) the Merger Consideration.

F2 · price: Represents restricted stock units ("RSUs"), each representing a contingent right to receive one share of Common Stock. Pursuant to the Merger Agreement, each outstanding RSU, whether granted under an Issuer stock plan or otherwise, automatically vested (to the extent not previously vested), was cancelled and entitled the holder to receive a one-time lump sum payment in an amount in cash, without interest and subject to deduction for any required tax withholding, equal to (i) the total number of shares of Common Stock subject to such RSU immediately prior to the effective time of the Merger, multiplied by (ii) the Merger Consideration.

SEC source: 0001437749-23-021501 · rdgdoc.xml · derivative · entry 2

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,224

Underlying: Common Stock · 44,224 shares

Expires 2033-06-26

F2 · derivative.exercise_date: The shares subject to this option shall vest on the earlier of the date immediately prior of the 2024 annual meeting of stockholders of the Issuer and June 26, 2024, the first anniversary of the date of the grant.

SEC source: 0001437749-23-021501 · rdgdoc.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,750

F1 · shares: Grant of shares upon vesting of restricted stock units. The shares underlying the award shall vest on the earlier of the date immediately prior of the 2024 annual meeting of stockholders of the Issuer and June 26, 2024, the first anniversary date of the grant.

SEC source: 0000950170-23-029416 · ownership.xml · derivative · entry 2

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,904

Underlying: Common Stock · 1,904 shares

Expires 2033-06-19

F2 · derivative.exercise_date: This option shall vest in full upon the earlier of (i) June 20, 2024, and (ii) the 2024 annual meeting of the Issuer's stockholders, subject to continued service through such dates.

SEC source: 0000950170-23-029416 · ownership.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 990

F1 · shares: Comprised of restricted stock units ("RSUs"), each representing a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest in full upon the earlier of (i) June 20, 2024, and (ii) the 2024 annual meeting of the Issuer's stockholders, subject to continued service through such dates.

SEC source: 0001209191-23-033161 · doc4.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,691

F1 · shares: These securities consist of 15,712 Restricted Stock Units ("RSUs") that were granted on May 26, 2023, pursuant to the terms of an RSU agreement under the Sotera Health Company 2020 Omnibus Incentive Plan. Each RSU represents the Reporting Person's right to receive one share of Common Stock, subject to vesting conditions. The RSUs will vest in full on the earlier of (i) the first anniversary of the date of grant, or (ii) the date immediately prior to the Issuer's next regular annual shareholders meeting, subject to the Reporting Person's continued service as a non-employee director of the Issuer through such date.

F2 · balance_after: These securities consist of 15,712 RSUs and 19,979 shares of Common Stock.

SEC source: 0000899243-22-034069 · doc4.xml · derivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,274 shares

Expires not disclosed

F1 · derivative.exercise_price: Reflects the disposition of securities pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 3, 2022, among Amgen Inc. ("Parent"), Carnation Merger Sub, Inc. ("Merger Sub") and ChemoCentryx, Inc. (the "Company"), pursuant to which, on October 20, 2022, Merger Sub merged with and into the Company, with the Company surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger (the "Effective Time"), each restricted stock unit of the Company held by the Reporting Person that was outstanding immediately prior to the Effective Time and that was (A) granted prior to August 3, 2022 or granted after August 3, 2022 and specified in the disclosure schedules delivered by the Company to Parent in connection with the Merger Agreement and/or (B) granted to a non-employee member of the board of directors of the Company became fully vested and was cancelled and converted into the right to receive an amount in cash,

F2 · derivative.exercise_price: (Continued from Footnote 1) less applicable withholding taxes and without interest, equal to (x) the total number of shares of common stock, par value $0.001 per share, of the Company underlying such restricted stock unit multiplied by (y) $52.00. The restricted stock units did not have an expiration date.

F1 · price: Reflects the disposition of securities pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 3, 2022, among Amgen Inc. ("Parent"), Carnation Merger Sub, Inc. ("Merger Sub") and ChemoCentryx, Inc. (the "Company"), pursuant to which, on October 20, 2022, Merger Sub merged with and into the Company, with the Company surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger (the "Effective Time"), each restricted stock unit of the Company held by the Reporting Person that was outstanding immediately prior to the Effective Time and that was (A) granted prior to August 3, 2022 or granted after August 3, 2022 and specified in the disclosure schedules delivered by the Company to Parent in connection with the Merger Agreement and/or (B) granted to a non-employee member of the board of directors of the Company became fully vested and was cancelled and converted into the right to receive an amount in cash,

F2 · price: (Continued from Footnote 1) less applicable withholding taxes and without interest, equal to (x) the total number of shares of common stock, par value $0.001 per share, of the Company underlying such restricted stock unit multiplied by (y) $52.00. The restricted stock units did not have an expiration date.

F1 · derivative.exercise_date: Reflects the disposition of securities pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 3, 2022, among Amgen Inc. ("Parent"), Carnation Merger Sub, Inc. ("Merger Sub") and ChemoCentryx, Inc. (the "Company"), pursuant to which, on October 20, 2022, Merger Sub merged with and into the Company, with the Company surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger (the "Effective Time"), each restricted stock unit of the Company held by the Reporting Person that was outstanding immediately prior to the Effective Time and that was (A) granted prior to August 3, 2022 or granted after August 3, 2022 and specified in the disclosure schedules delivered by the Company to Parent in connection with the Merger Agreement and/or (B) granted to a non-employee member of the board of directors of the Company became fully vested and was cancelled and converted into the right to receive an amount in cash,

F2 · derivative.exercise_date: (Continued from Footnote 1) less applicable withholding taxes and without interest, equal to (x) the total number of shares of common stock, par value $0.001 per share, of the Company underlying such restricted stock unit multiplied by (y) $52.00. The restricted stock units did not have an expiration date.

F1 · derivative.expiration_date: Reflects the disposition of securities pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 3, 2022, among Amgen Inc. ("Parent"), Carnation Merger Sub, Inc. ("Merger Sub") and ChemoCentryx, Inc. (the "Company"), pursuant to which, on October 20, 2022, Merger Sub merged with and into the Company, with the Company surviving the merger as a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger (the "Effective Time"), each restricted stock unit of the Company held by the Reporting Person that was outstanding immediately prior to the Effective Time and that was (A) granted prior to August 3, 2022 or granted after August 3, 2022 and specified in the disclosure schedules delivered by the Company to Parent in connection with the Merger Agreement and/or (B) granted to a non-employee member of the board of directors of the Company became fully vested and was cancelled and converted into the right to receive an amount in cash,

F2 · derivative.expiration_date: (Continued from Footnote 1) less applicable withholding taxes and without interest, equal to (x) the total number of shares of common stock, par value $0.001 per share, of the Company underlying such restricted stock unit multiplied by (y) $52.00. The restricted stock units did not have an expiration date.

SEC source: 0001437749-22-019442 · rdgdoc.xml · derivative · entry 2

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,224

Underlying: Common Stock · 44,224 shares

Expires 2032-08-03

F2 · derivative.exercise_date: The shares subject to this option shall vest on the earlier of the date immediately prior of the 2023 annual meeting of stockholders of the Issuer and August 4, 2023, the first anniversary of the date of the grant.

SEC source: 0001437749-22-019442 · rdgdoc.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,375

F1 · shares: Grant of shares upon vesting of restricted stock units. The shares underlying the award shall vest on the earlier of the date immediately prior of the 2023 annual meeting of stockholders of the Issuer and August 4, 2023, the first anniversary of the date of the grant.

SEC source: 0001593968-22-001152 · primary_01.xml · derivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2032-06-14

F1 · derivative.exercise_date: This option shall vest in full upon the earlier of (i) June 15, 2023, and (ii) the 2023 annual meeting of the Issuer's stockholders.

SEC source: 0001822479-22-000038 · wf-form4_165403303735749.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,979

F1 · shares: These securities consist of 10,643 Restricted Stock Units ("RSUs") that were granted on May 27, 2022, pursuant to the terms of an RSU agreement under the Sotera Health Company 2020 Omnibus Incentive Plan. Each RSU represents the Reporting Person's right to receive one share of Common Stock, subject to vesting conditions. The RSUs will vest in full on the earlier of (i) the first anniversary of the date of grant, or (ii) the date immediately prior to the Issuer's next regular annual shareholders meeting, subject to the Reporting Person's continued service as a non-employee director of the Issuer through such date.

F2 · balance_after: These securities consist of 10,643 RSUs and 9,336 shares of Common Stock.

SEC source: 0001209191-22-033048 · doc4.xml · derivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,274

Underlying: Common Stock · 22,274 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of CCXI common stock.

F1 · price: Each restricted stock unit represents a contingent right to receive one share of CCXI common stock.

F2 · derivative.exercise_date: The restricted stock units awarded on May 26, 2022, vest in three equal installments on May 26, 2023, May 26, 2024, and May 26, 2025, subject to the Reporting Person's continued service to the Company on such date. Shares will be delivered to the Reporting Person within thirty (30) days following vest date.

F2 · derivative.expiration_date: The restricted stock units awarded on May 26, 2022, vest in three equal installments on May 26, 2023, May 26, 2024, and May 26, 2025, subject to the Reporting Person's continued service to the Company on such date. Shares will be delivered to the Reporting Person within thirty (30) days following vest date.

SEC source: 0001437749-21-015115 · rdgdoc.xml · derivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,700

Underlying: Common stock · 65,700 shares

Expires 2031-05-09

F1 · date: The option was granted by the board of directors of Vaxart, Inc. effective on May 10, 2021, subject to stockholder approval of an amendment to the Vaxart, Inc. 2019 Equity Incentive Plan, under which the stock option was granted. Vaxart, Inc.'s stockholders approved the plan amendment on June 16, 2021.

F2 · derivative.exercise_date: The shares subject to this option shall vest annually over three years from the vesting commencement date of April 21, 2021, the date of the grantee's appointment as a director of Vaxart, Inc.

SEC source: 0001593968-21-001684 · primary_01.xml · derivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2031-06-15

F1 · derivative.exercise_date: This option shall vest in full upon the earlier of (i) June 16, 2022, and (ii) the 2022 annual meeting of the Issuer's stockholders.

SEC source: 0001822479-21-000044 · wf-form4_162258884669979.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,336

F1 · shares: These securities consist of 9,336 Restricted Stock Units ("RSUs") that were granted on May 28, 2021, pursuant to the terms of an RSU agreement under the Sotera Health Company 2020 Omnibus Incentive Plan. Each RSU represents the Reporting Person's right to receive one share of Common Stock, subject to vesting conditions. The RSUs will vest in full on the earlier of (i) the first anniversary of the date of grant, or (ii) the date immediately prior to the Issuer's next regular annual shareholders meeting, subject to the Reporting Person's continued service as a non-employee director of the Issuer through such date.

SEC source: 0000899243-20-032688 · doc4.xml · derivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2030-12-02

F1 · derivative.exercise_date: This option shall vest and become exercisable in thirty-six equal monthly installments beginning on December 3, 2020.

SEC source: 0001808665-20-000046 · wf-form4_160141775412972.xml · derivative · entry 2

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,692

Underlying: Common Stock · 48,346 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of common stock. This transaction represents the settlement of vested restricted stock units in shares of common stock.

F3 · price: The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities.

F2 · derivative.exercise_date: One-third of these restricted stock units are scheduled to vest on each of September 28, 2020, 2021 and 2022, assuming continued service through the applicable vesting date.

F2 · derivative.expiration_date: One-third of these restricted stock units are scheduled to vest on each of September 28, 2020, 2021 and 2022, assuming continued service through the applicable vesting date.

SEC source: 0001808665-20-000046 · wf-form4_160141775412972.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,846

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.

SEC source: 0001808665-20-000013 · wf-form4_159010954936025.xml · nonDerivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,500

F1 · date: As a result of a holding company reorganization effective May 19, 2020, Assertio Holdings, Inc., is the successor issuer to Assertio Therapeutics, Inc., pursuant to 12g-3(a) of the Exchange Act.

F2 · shares: Restricted stock units that vest in full on the first anniversary of the grant date.

SEC source: 0001005201-19-000114 · wf-form4_156996453132692.xml · derivative · entry 1

Wheadon David E. · CIK 0001789507 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,038

Underlying: Common Stock · 145,038 shares

Expires not disclosed

F1 · security: Grant of restricted stock unit awards pursuant to the Company's Non-Employee Director Compensation and Grant Policy.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the registrant's common stock.

F4 · price: The derivative securities were granted to the reporting person, and were not sold to the reporting person. As such, the reporting person did not pay any consideration for the derivative securities.

F3 · derivative.exercise_date: One-third of these restricted stock units are scheduled to vest on each of September 28, 2020, 2021 and 2022, assuming continued service through the applicable vesting date.

F3 · derivative.expiration_date: One-third of these restricted stock units are scheduled to vest on each of September 28, 2020, 2021 and 2022, assuming continued service through the applicable vesting date.