Kamdar Kim P.

SEC source: 0001535065-26-000002 · ownership.xml · derivative · entry 4

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,263

Underlying: Class A Common Stock · 5,263 shares

Expires 2036-07-10

F4 · derivative.exercise_date: These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the grant date; provided, however, that the stock options shall be fully vested on the earlier of the first anniversary of the grant date or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer.

SEC source: 0001535065-26-000002 · ownership.xml · derivative · entry 3

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,494

Underlying: Class A Common Stock · 34,494 shares

Expires 2036-07-10

F3 · derivative.exercise_date: Consists of stock options granted pursuant to the issuer's Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the grant date; provided, however, that the stock options shall be fully vested on the earlier of the first anniversary of the grant date or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer.

SEC source: 0001535065-26-000002 · ownership.xml · nonDerivative · entry 2

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,420

F2 · shares: Each share is represented by an additional RSU granted by the Board of Directors. These RSUs vest on the earlier of July 10, 2027 or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer.

SEC source: 0001535065-26-000002 · ownership.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,999

F1 · shares: Each share is represented by a restricted stock unit ("RSU") granted pursuant to the issuer's Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These RSUs vest on the earlier of July 10, 2027 or the date of the issuer's next Annual Meeting of Stockholders, subject to the Reporting Person continuing to provide services to the issuer.

SEC source: 0001193125-26-037807 · ownership.xml · nonDerivative · entry 2

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,573

F2 · kind: Represents the pro rata distribution from Domain Associates, LLC, and not a purchase or sale, without additional consideration.

SEC source: 0001193125-26-037807 · ownership.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Held by Domain Associates, LLC

Disclosed balance after: 0

F1 · kind: Domain Associates, LLC distributed these shares to its members on a pro rata basis, for no consideration.

SEC source: 0000950170-25-083335 · ownership.xml · derivative · entry 2

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Class A Common Stock · 25,000 shares

Expires 2035-06-05

F2 · derivative.exercise_date: Consists of stock options granted pursuant to Sera Prognostics, Inc.'s Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 5, 2025.

SEC source: 0000950170-25-083335 · ownership.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,342

F1 · shares: Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 5, 2025, subject to the Reporting Person continuing to provide services to the issuer.

SEC source: 0000950170-25-027096 · ownership.xml · derivative · entry 7

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,466 shares

Expires 2034-05-29

F4 · price: Pursuant to the Merger Agreement, and after giving effect to the acceleration treatment set forth in footnote (4), each vested stock option was cancelled and automatically converted into the right to receive an amount in cash determined by multiplying (x) the excess, if any, of the Merger Consideration over the applicable exercise price of such option by (y) the number of vested shares subject to such option (the "Option Payment"), less all applicable deductions and withholdings; provided, however, that the Option Payment for each option with an exercise price equal to or greater than $20.00 was $0 and such option was cancelled for no consideration.

F3 · derivative.exercise_date: As of the Effective Time, each outstanding option, to the extent unvested, was accelerated and became fully vested and exercisable.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, and after giving effect to the acceleration treatment set forth in footnote (4), each vested stock option was cancelled and automatically converted into the right to receive an amount in cash determined by multiplying (x) the excess, if any, of the Merger Consideration over the applicable exercise price of such option by (y) the number of vested shares subject to such option (the "Option Payment"), less all applicable deductions and withholdings; provided, however, that the Option Payment for each option with an exercise price equal to or greater than $20.00 was $0 and such option was cancelled for no consideration.

SEC source: 0000950170-25-027096 · ownership.xml · derivative · entry 6

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,466 shares

Expires 2033-05-25

F4 · price: Pursuant to the Merger Agreement, and after giving effect to the acceleration treatment set forth in footnote (4), each vested stock option was cancelled and automatically converted into the right to receive an amount in cash determined by multiplying (x) the excess, if any, of the Merger Consideration over the applicable exercise price of such option by (y) the number of vested shares subject to such option (the "Option Payment"), less all applicable deductions and withholdings; provided, however, that the Option Payment for each option with an exercise price equal to or greater than $20.00 was $0 and such option was cancelled for no consideration.

F3 · derivative.exercise_date: As of the Effective Time, each outstanding option, to the extent unvested, was accelerated and became fully vested and exercisable.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, and after giving effect to the acceleration treatment set forth in footnote (4), each vested stock option was cancelled and automatically converted into the right to receive an amount in cash determined by multiplying (x) the excess, if any, of the Merger Consideration over the applicable exercise price of such option by (y) the number of vested shares subject to such option (the "Option Payment"), less all applicable deductions and withholdings; provided, however, that the Option Payment for each option with an exercise price equal to or greater than $20.00 was $0 and such option was cancelled for no consideration.

SEC source: 0000950170-25-027096 · ownership.xml · derivative · entry 5

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,541 shares

Expires 2032-05-26

F4 · price: Pursuant to the Merger Agreement, and after giving effect to the acceleration treatment set forth in footnote (4), each vested stock option was cancelled and automatically converted into the right to receive an amount in cash determined by multiplying (x) the excess, if any, of the Merger Consideration over the applicable exercise price of such option by (y) the number of vested shares subject to such option (the "Option Payment"), less all applicable deductions and withholdings; provided, however, that the Option Payment for each option with an exercise price equal to or greater than $20.00 was $0 and such option was cancelled for no consideration.

F3 · derivative.exercise_date: As of the Effective Time, each outstanding option, to the extent unvested, was accelerated and became fully vested and exercisable.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, and after giving effect to the acceleration treatment set forth in footnote (4), each vested stock option was cancelled and automatically converted into the right to receive an amount in cash determined by multiplying (x) the excess, if any, of the Merger Consideration over the applicable exercise price of such option by (y) the number of vested shares subject to such option (the "Option Payment"), less all applicable deductions and withholdings; provided, however, that the Option Payment for each option with an exercise price equal to or greater than $20.00 was $0 and such option was cancelled for no consideration.

SEC source: 0000950170-25-027096 · ownership.xml · derivative · entry 4

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 666 shares

Expires 2031-05-05

F4 · price: Pursuant to the Merger Agreement, and after giving effect to the acceleration treatment set forth in footnote (4), each vested stock option was cancelled and automatically converted into the right to receive an amount in cash determined by multiplying (x) the excess, if any, of the Merger Consideration over the applicable exercise price of such option by (y) the number of vested shares subject to such option (the "Option Payment"), less all applicable deductions and withholdings; provided, however, that the Option Payment for each option with an exercise price equal to or greater than $20.00 was $0 and such option was cancelled for no consideration.

F3 · derivative.exercise_date: As of the Effective Time, each outstanding option, to the extent unvested, was accelerated and became fully vested and exercisable.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, and after giving effect to the acceleration treatment set forth in footnote (4), each vested stock option was cancelled and automatically converted into the right to receive an amount in cash determined by multiplying (x) the excess, if any, of the Merger Consideration over the applicable exercise price of such option by (y) the number of vested shares subject to such option (the "Option Payment"), less all applicable deductions and withholdings; provided, however, that the Option Payment for each option with an exercise price equal to or greater than $20.00 was $0 and such option was cancelled for no consideration.

SEC source: 0000950170-25-027096 · ownership.xml · nonDerivative · entry 3

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Domain Associates, LLC

Disclosed balance after: 0

F1 · price: The shares were disposed of pursuant to the Agreement and Plan of Merger, dated as of December 22, 2024 (the "Merger Agreement"), by and among the Issuer, Singular Genomics Parent, LLC, a Delaware limited liability company, and Saturn Merger Sub, Inc., a Delaware corporation, whereby, at the effective time of the merger contemplated therein (the "Effective Time"), all issued and outstanding shares of Issuer common stock were cancelled and automatically converted into the right to receive $20.00 per share in cash, without interest, less all applicable deductions and withholdings (the "Merger Consideration").

F2 · ownership.nature: The Reporting Person is a managing member of Domain Associates, LLC and of One Partner Square Associates IX, LLC, the sole general partner of Domain Partners IX, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity; however, she disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed her pecuniary interest therein and/or that are not actually distributed to her.

SEC source: 0000950170-25-027096 · ownership.xml · nonDerivative · entry 2

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Domain Partners IX, L.P.

Disclosed balance after: 0

F1 · price: The shares were disposed of pursuant to the Agreement and Plan of Merger, dated as of December 22, 2024 (the "Merger Agreement"), by and among the Issuer, Singular Genomics Parent, LLC, a Delaware limited liability company, and Saturn Merger Sub, Inc., a Delaware corporation, whereby, at the effective time of the merger contemplated therein (the "Effective Time"), all issued and outstanding shares of Issuer common stock were cancelled and automatically converted into the right to receive $20.00 per share in cash, without interest, less all applicable deductions and withholdings (the "Merger Consideration").

F2 · ownership.nature: The Reporting Person is a managing member of Domain Associates, LLC and of One Partner Square Associates IX, LLC, the sole general partner of Domain Partners IX, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity; however, she disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed her pecuniary interest therein and/or that are not actually distributed to her.

SEC source: 0000950170-25-027096 · ownership.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: The shares were disposed of pursuant to the Agreement and Plan of Merger, dated as of December 22, 2024 (the "Merger Agreement"), by and among the Issuer, Singular Genomics Parent, LLC, a Delaware limited liability company, and Saturn Merger Sub, Inc., a Delaware corporation, whereby, at the effective time of the merger contemplated therein (the "Effective Time"), all issued and outstanding shares of Issuer common stock were cancelled and automatically converted into the right to receive $20.00 per share in cash, without interest, less all applicable deductions and withholdings (the "Merger Consideration").

SEC source: 0001534969-24-000133 · wk-form4_1717792311.xml · derivative · entry 2

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,549

Underlying: Class A Common Stock · 10,549 shares

Expires 2034-06-06

F2 · derivative.exercise_date: Consists of stock options granted pursuant to Sera Prognostics, Inc.'s Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 6, 2024, subject to the reporting person continuing to provide services to the issuer.

SEC source: 0001534969-24-000133 · wk-form4_1717792311.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,746

F1 · shares: Each share is represented by a restricted stock unit ("RSU"). These RSUs vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 6, 2024, subject to the reporting person continuing to provide services to the issuer.

SEC source: 0000950170-24-067532 · ownership.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,000

Underlying: Common Stock · 74,000 shares

Expires 2034-05-29

F1 · derivative.exercise_date: The option shares vest and become exercisable upon the earlier of the 2025 Annual Meeting of Stockholders or May 29, 2025.

SEC source: 0001493152-23-045912 · ownership.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-23-045925 · doc4.xml · nonDerivative · entry 3

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Domain Partners IX, L.P.

Disclosed balance after: 3,763,985

F1 · kind: Domain Partners IX, L.P. has been an investor in the Issuer since 2016 and continues to hold 3,763,985 shares of the Issuer's common stock.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.53 to $0.54, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the ranges set forth in this footnote 5 to this Form 4.

F3 · ownership.nature: The Reporting Person is a managing member of Domain Associates, LLC and of One Partner Square Associates IX, LLC, the sole general partner of Domain Partners IX, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity; however, she disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed her pecuniary interest therein and/or that are not actually distributed to her.

SEC source: 0001209191-23-045925 · doc4.xml · nonDerivative · entry 2

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Domain Partners IX, L.P.

Disclosed balance after: 3,963,985

F1 · kind: Domain Partners IX, L.P. has been an investor in the Issuer since 2016 and continues to hold 3,763,985 shares of the Issuer's common stock.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.55 to $0.5821, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the ranges set forth in this footnote 4 to this Form 4.

F3 · ownership.nature: The Reporting Person is a managing member of Domain Associates, LLC and of One Partner Square Associates IX, LLC, the sole general partner of Domain Partners IX, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity; however, she disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed her pecuniary interest therein and/or that are not actually distributed to her.

SEC source: 0001209191-23-045925 · doc4.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Domain Partners IX, L.P.

Disclosed balance after: 4,041,976

F1 · kind: Domain Partners IX, L.P. has been an investor in the Issuer since 2016 and continues to hold 3,763,985 shares of the Issuer's common stock.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.58 to $0.67, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of securities sold at each separate price within the ranges set forth in this footnote 2 to this Form 4.

F3 · ownership.nature: The Reporting Person is a managing member of Domain Associates, LLC and of One Partner Square Associates IX, LLC, the sole general partner of Domain Partners IX, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity; however, she disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed her pecuniary interest therein and/or that are not actually distributed to her.

SEC source: 0001534969-23-000081 · wk-form4_1688761482.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,265

Underlying: Class A Common Stock · 63,265 shares

Expires 2033-06-08

F1 · derivative.exercise_date: Consists of stock options granted pursuant to Sera Prognostics, Inc.'s Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 8, 2023.

SEC source: 0001209191-23-032609 · doc4.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,000

Underlying: Common Stock · 74,000 shares

Expires 2033-05-25

F1 · derivative.exercise_date: The option shares vest and become exercisable upon the earlier of the 2024 Stockholder Annual Meeting or May 25, 2024.

SEC source: 0001534969-22-000087 · wf-form4_165454910412913.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,675

Underlying: Class A Common Stock · 149,675 shares

Expires 2032-06-03

F1 · derivative.exercise_date: Consists of stock options granted pursuant to Sera Prognostics, Inc.'s Non-Employee Director Compensation Policy and its 2021 Equity Incentive Plan. These stock options vest over one year as follows: 1/12 of the original grant amount vests in monthly installments for one year following the vesting commencement date, which is June 3, 2022.

SEC source: 0001209191-22-033017 · doc4.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,250

Underlying: Common Stock · 46,250 shares

Expires 2032-05-26

F1 · derivative.exercise_date: The option shares vest and become exercisable upon the earlier of the 2023 Stockholder Annual Meeting or May 26, 2023.

SEC source: 0001618835-22-000106 · wf-form4_165186780339870.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2032-05-04

F1 · derivative.exercise_price: The figures reflected herein have been adjusted to take into account a 1 for 15 reverse split of the Company's common stock that was effected on May 5, 2022.

F1 · shares: The figures reflected herein have been adjusted to take into account a 1 for 15 reverse split of the Company's common stock that was effected on May 5, 2022.

F2 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in full upon completion of continuous service for the Issuer on the first anniversary of the vesting commencement date of May 4, 2022. The option was awarded in connection with Dr. Kamdar's board and committee services.

SEC source: 0001618835-21-000156 · wf-form4_162431053523492.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,287

SEC source: 0000904454-21-000498 · edgar.xml · derivative · entry 6

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Domain Partners IX, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 435,609 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: All outstanding shares of convertible preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The convertible preferred stock had no expiration date.

F2 · derivative.exercise_date: All outstanding shares of convertible preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The convertible preferred stock had no expiration date.

F2 · derivative.expiration_date: All outstanding shares of convertible preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The convertible preferred stock had no expiration date.

F1 · ownership.nature: The Reporting Person is a managing member of Domain Associates, LLC and of One Partner Square Associates IX, LLC, the sole general partner of Domain Partners IX, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity, however she disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed her pecuniary interest therein and/or that are not actually distributed to her.

SEC source: 0000904454-21-000498 · edgar.xml · derivative · entry 5

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Domain Partners IX, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,293,243 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: All outstanding shares of convertible preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The convertible preferred stock had no expiration date.

F2 · derivative.exercise_date: All outstanding shares of convertible preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The convertible preferred stock had no expiration date.

F2 · derivative.expiration_date: All outstanding shares of convertible preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The convertible preferred stock had no expiration date.

F1 · ownership.nature: The Reporting Person is a managing member of Domain Associates, LLC and of One Partner Square Associates IX, LLC, the sole general partner of Domain Partners IX, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity, however she disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed her pecuniary interest therein and/or that are not actually distributed to her.

SEC source: 0000904454-21-000498 · edgar.xml · derivative · entry 4

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Domain Partners IX, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 2,666,781 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: All outstanding shares of convertible preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The convertible preferred stock had no expiration date.

F2 · derivative.exercise_date: All outstanding shares of convertible preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The convertible preferred stock had no expiration date.

F2 · derivative.expiration_date: All outstanding shares of convertible preferred stock automatically converted into Common Stock upon the closing of the Issuer's initial public offering for no additional consideration. The convertible preferred stock had no expiration date.

F1 · ownership.nature: The Reporting Person is a managing member of Domain Associates, LLC and of One Partner Square Associates IX, LLC, the sole general partner of Domain Partners IX, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity, however she disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed her pecuniary interest therein and/or that are not actually distributed to her.

SEC source: 0000904454-21-000498 · edgar.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Domain Partners IX, L.P.

Disclosed balance after: 4,495,633

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

F1 · price: The Reporting Person is a managing member of Domain Associates, LLC and of One Partner Square Associates IX, LLC, the sole general partner of Domain Partners IX, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity, however she disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed her pecuniary interest therein and/or that are not actually distributed to her.

F1 · ownership.nature: The Reporting Person is a managing member of Domain Associates, LLC and of One Partner Square Associates IX, LLC, the sole general partner of Domain Partners IX, L.P. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by each such entity, however she disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed her pecuniary interest therein and/or that are not actually distributed to her.

SEC source: 0001618835-21-000110 · wf-form4_162093685845201.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2031-05-12

F1 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in full upon completion of continuous service for the Issuer on the first anniversary of the vesting commencement date of May 12, 2021. The option was awarded in connection with Dr. Kamdar's board and committee services.

SEC source: 0001214659-20-007965 · marketforms-49706.xml · derivative · entry 2

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001214659-20-007965 · marketforms-49706.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,250

Underlying: Common Stock · 27,250 shares

Expires 2030-09-16

F1 · derivative.exercise_price: Each share of Common Stock underlying the cash-settled Option represents the right to a cash payment equal to the excess, if any, of (i) the Fair Market Value of each such share on the date of exercise over (ii) the exercise price per share set forth in the Notice of Stock Option Grant ($0.77), and such Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date. This Option may not be exercised for shares of the Company's Common Stock.

F2 · derivative.exercise_date: The Option shall vest as to 1/36th of the shares of Common Stock underlying the Option on each monthly anniversary of the grant date, subject to the Grantee's continued service with the Company through the applicable vesting date.

SEC source: 0001618835-20-000196 · wf-form4_159233969119430.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,287

SEC source: 0001618835-20-000134 · wf-form4_158940234764353.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2030-05-12

F1 · derivative.exercise_date: The shares of common stock exercisable pursuant to the option will vest in full upon completion of continuous service for the Issuer on the first anniversary of the vesting commencement date of May 12, 2020. The option was awarded in connection with Dr. Kamdar's board and committee services.

SEC source: 0000904454-19-000602 · edgar.xml · derivative · entry 2

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,375

Underlying: Common Stock · 9,375 shares

Expires 2024-08-06

F1 · price: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit.

SEC source: 0000904454-19-000602 · edgar.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,148

F1 · price: The reported securities were purchased as Units, each Unit consisting of one share of Common Stock and a Warrant to purchase 0.75 of one share of Common Stock, at a purchase price of $4.00 per Unit.

F2 · balance_after: The reported ownership reflects the one-for-ten reverse split of the Common Stock effected on July 24, 2019

F3 · ownership.direct: Includes 1,340 shares held jointly with the Reporting Person's mother. The Reporting Person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest, if any, therein.

SEC source: 0000904454-19-000580 · edgar.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,470

F1 · shares: Represents restricted stock units that will vest in full on the earlier of (i) the first anniversary of the date of grant or (ii) the date of the Issuer's annual meeting of stockholders immediately following the date of grant, subject to the Reporting Person's continued service through the applicable date.

F2 · ownership.direct: Includes 13,400 shares held jointly with the Reporting Person's mother. The Reporting Person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest, if any, therein.

F3 · ownership.direct: Share amounts do not reflect the 1-for-10 reverse stock split that became effective after the grant date of the RSUs reported herein.

SEC source: 0000904454-19-000478 · edgar.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-06-05

SEC source: 0000904454-19-000430 · edgar.xml · nonDerivative · entry 2

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,287

F3 · kind: Distribution-in-kind of shares by One Palmer Square Associates VII, LLC, pro rata to its members.

F3 · price: Distribution-in-kind of shares by One Palmer Square Associates VII, LLC, pro rata to its members.

SEC source: 0000904454-19-000430 · edgar.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Domain Associates, LLC

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.073 to $5.074. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F2 · ownership.nature: The Reporting Person is a managing member of Domain Associates, LLC. Pursuant to Instruction 4(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly beneficially owned the entire number of securities owned by such entity, however, she disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed her pecuniary interest therein and/or that are not actually distributed to her.

SEC source: 0000904454-18-000528 · edgar.xml · nonDerivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,345

F1 · ownership.direct: Includes 13,400 shares held jointly with the Reporting Person's mother. The Reporting Person disclaims beneficial ownership of such shares except to the extent of her pecuniary interest, if any, therein.

SEC source: 0000904454-18-000426 · edgar.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,774

Underlying: Common Stock · 81,774 shares

Expires 2028-06-13

F1 · derivative.exercise_date: The option vests as to 100% of the total shares on June 13, 2019, or the date of the Issuer's 2019 Annual Meeting, if sooner.

SEC source: 0000904454-18-000341 · edgar.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,875

Underlying: Common Stock · 12,875 shares

Expires 2028-05-08

F1 · derivative.exercise_date: The option vests in full on May 8, 2019, subject to the Reporting Person's continuous service to the Issuer.

SEC source: 0000904454-17-000727 · edgar.xml · nonDerivative · entry 1

DOMAIN ASSOCIATES · CIK 0001020733 · 10% owner

BLAIR JAMES C · CIK 0001024000 · 10% owner

DOVEY BRIAN H · CIK 0001207786 · 10% owner

TREU JESSE I · CIK 0001013425 · 10% owner

VITULLO NICOLE · CIK 0001196863 · 10% owner

Halak Brian K · CIK 0001354718 · 10% owner

Kamdar Kim P. · CIK 0001535065 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger").

F2 · kind: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes.

F1 · price: Pursuant to an Agreement and Plan of Merger, dated November 1, 2017 (the "Merger Agreement"), by and between the Issuer, MAK LLC, a Delaware limited liability company ("Parent"), MEH Acquisition Co., a Delaware corporation and a direct wholly-owned subsidiary of Parent ("Purchaser"), and for limited purposes, Mallinckrodt plc, an Irish public limited company and the ultimate parent entity of Parent and Purchaser ("Mallinckrodt"), Purchaser was merged with and into the Issuer on December 11, 2017, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger").

F2 · price: (Continued from Footnote 1) Pursuant to the terms of the Merger Agreement, all shares Common Stock of the Issuer outstanding immediately prior to the effective time of the Merger were canceled and converted automatically into the right to receive (i) $1.52 per share in cash, plus (ii) one non-transferable contingent value right per Share (each, a "CVR"), which represents the contractual right under a contingent value rights agreement, by and among Parent, Continental Stock Transfer & Trust Company, and for limited purposes, Mallinckrodt, entered into on December 7, 2017, to receive one or more payments in cash currently estimated to be up to $2.58 per share, contingent upon the achievement of certain milestones, in each case, less any required withholding taxes.

F3 · ownership.direct: The securities reported as directly beneficially owned by the designated Reporting Person may be deemed to be indirectly beneficially owned by each of the Reporting Owners listed below, each of whom is a managing member of the designated Reporting Person. Pursuant to Instruction 4(b)(iv) of Form 4, each such individual has elected to report as indirectly beneficially owned the entire number of securities owned by the designated Reporting Person, however each of them disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his or her pecuniary interest therein and/or that are not actually distributed to him or her.

SEC source: 0000904454-17-000452 · edgar.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,450

Underlying: Common Stock · 12,450 shares

Expires 2027-06-20

F1 · derivative.exercise_date: Subject to the Reporting Person's continuous service to the Issuer, the option vests on the earlier of (i) June 20, 2018, (ii) the day preceding the Issuer's 2018 annual meeting of stockholders, or (iii) immediately prior to a change of control of the Issuer.

SEC source: 0000904454-17-000446 · edgar.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,554

Underlying: Common Stock · 36,554 shares

Expires 2027-06-06

F1 · derivative.exercise_date: The option vests as to 100% of the total shares on June 6, 2018, subject to the Reporting Person's continued service to the Issuer on such vesting date.

SEC source: 0000904454-17-000345 · edgar.xml · derivative · entry 1

Kamdar Kim P. · CIK 0001535065 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,500

Underlying: Common Stock · 63,500 shares

Expires 2027-05-11

F1 · derivative.exercise_date: The option vests monthly over a one-year period beginning on 2/15/2017, and will fully accelerate upon a change of control of the Issuer.