Dukes Iain D.

SEC source: 0001681955-26-000002 · form4-07152026_120715.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 274,000

Underlying: Common Stock · 274,000 shares

Expires 2036-07-09

F1 · derivative.exercise_date: Represents stock options awarded by the Issuer's compensation committee (comprised of independent directors) to the reporting person under the Issuer's 2021 Incentive Compensation Plan, as amended and/or restated through the date hereof. The stock options under this award will vest 100% on the first anniversary of the grant date.

SEC source: 0001104659-26-075861 · tm2618145-4_4seq1.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,632

Underlying: Common Stock · 180,632 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred restricted stock unit ("DRSU") represents a contingent right to receive one share of the Issuer's common stock and are granted pursuant to the Issuer's 2018 Equity Incentive Plan (as amended).

F2 · derivative.exercise_date: Provided the Reporting Person continues to be providing service to the Issuer on the following dates, the DRSUs shall vest on the earlier of: (i) the first anniversary of the Transaction Date; or (ii) the day prior to the Issuer's next annual shareholder meeting. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reporting Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.

F2 · derivative.expiration_date: Provided the Reporting Person continues to be providing service to the Issuer on the following dates, the DRSUs shall vest on the earlier of: (i) the first anniversary of the Transaction Date; or (ii) the day prior to the Issuer's next annual shareholder meeting. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reporting Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.

SEC source: 0001681955-26-000001 · form4-03102026_110302.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 231,336

Underlying: Common Stock · 231,336 shares

Expires 2036-03-08

F1 · derivative.exercise_date: Represents stock options awarded by the Issuer's compensation committee (comprised of independent directors) to the reporting person under the Issuer's 2021 Incentive Compensation Plan, as amended and/or restated through the date hereof. The stock options under this award will vest 100% on the first anniversary of the grant date.

SEC source: 0001681955-25-000004 · form4-12162025_111223.xml · derivative · entry 2

Dukes Iain D. · CIK 0001681955 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 147,771

Underlying: Common Stock · 147,771 shares

Expires 2035-12-12

F2 · derivative.exercise_date: The options vest 100% on the first anniversary of the grant date.

SEC source: 0001681955-25-000004 · form4-12162025_111223.xml · nonDerivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 171,130

F1 · shares: Represents an award of restricted stock units that will vest 100% on the first anniversary of the grant date. Each restricted stock unit will convert into shares of common stock on a one-for-one basis.

SEC source: 0001681955-25-000003 · form4-10162025_121051.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,839

Underlying: Common Stock · 64,839 shares

Expires 2035-10-12

F1 · derivative.exercise_date: The options vest 100% on the first anniversary of the grant date.

SEC source: 0001104659-25-060249 · tm2518181-2_4seq1.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,092

Underlying: Common Stock · 135,092 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred restricted stock unit ("DRSU") represents a contingent right to receive one share of the Issuer's common stock and are granted pursuant to the Issuer's 2018 Equity Incentive Plan (as amended).

F2 · derivative.exercise_date: Provided the Reporting Person continues to be providing service to the Issuer on the following dates, the DRSUs shall vest on the earlier of: (i) the first anniversary of the Transaction Date; or (2) the day prior to the Issuer's next annual shareholder meeting. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.

F2 · derivative.expiration_date: Provided the Reporting Person continues to be providing service to the Issuer on the following dates, the DRSUs shall vest on the earlier of: (i) the first anniversary of the Transaction Date; or (2) the day prior to the Issuer's next annual shareholder meeting. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.

SEC source: 0001213900-24-094663 · ownership.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director · CEO and Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,096,667

Underlying: Common Stock · 2,096,667 shares

Expires 2034-09-18

F1 · shares: The options are subject to a service-based vesting requirement, which shall be satisfied over a four-year period with 1/48th of the options vesting monthly after November 1, 2024, subject to the Reporting Person's continuous service with the Issuer through each such vesting date.

F1 · derivative.exercise_date: The options are subject to a service-based vesting requirement, which shall be satisfied over a four-year period with 1/48th of the options vesting monthly after November 1, 2024, subject to the Reporting Person's continuous service with the Issuer through each such vesting date.

SEC source: 0001104659-24-071368 · tm2417165-1_4seq1.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,607

Underlying: Common Stock · 98,607 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred restricted stock unit ("DRSU") represents a contingent right to receive one share of the Issuer's common stock and are granted pursuant to the Issuer's 2018 Equity Incentive Plan (as amended).

F2 · derivative.exercise_date: Provided the Reporting Person continues to be providing service to the Issuer on the following dates, the DRSUs shall vest on the earlier of: (i) the first anniversary of the Transaction Date; or (2) the day prior to the Issuer's next annual shareholder meeting. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.

F2 · derivative.expiration_date: Provided the Reporting Person continues to be providing service to the Issuer on the following dates, the DRSUs shall vest on the earlier of: (i) the first anniversary of the Transaction Date; or (2) the day prior to the Issuer's next annual shareholder meeting. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.

SEC source: 0000950170-24-071307 · ownership.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,520

Underlying: Common Stock · 17,520 shares

Expires 2034-06-06

F1 · derivative.exercise_date: This option shall vest in full upon the earlier of (i) June 7, 2025 or (ii) the date of the next annual meeting; provided, however, that all vesting shall cease if the director resigns from the Board or otherwise ceases to serve as a director.

SEC source: 0000929638-24-001358 · form4.xml · derivative · entry 6

Dukes Iain D. · CIK 0001681955 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Viriom, Inc.

Disclosed balance after: 4,801.1144

Underlying: Common Stock · 48,011,144 shares

Expires not disclosed

F5 · derivative.exercise_price: Following stockholder approval of the conversion of the Series C Preferred Stock into shares of Common Stock, each share of Series C Preferred Stock will automatically convert into 10,000 shares of Common Stock, subject to certain limitations.

F3 · shares: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

F5 · price: Following stockholder approval of the conversion of the Series C Preferred Stock into shares of Common Stock, each share of Series C Preferred Stock will automatically convert into 10,000 shares of Common Stock, subject to certain limitations.

F5 · derivative.exercise_date: Following stockholder approval of the conversion of the Series C Preferred Stock into shares of Common Stock, each share of Series C Preferred Stock will automatically convert into 10,000 shares of Common Stock, subject to certain limitations.

F5 · derivative.expiration_date: Following stockholder approval of the conversion of the Series C Preferred Stock into shares of Common Stock, each share of Series C Preferred Stock will automatically convert into 10,000 shares of Common Stock, subject to certain limitations.

F3 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000929638-24-001358 · form4.xml · derivative · entry 5

Dukes Iain D. · CIK 0001681955 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 194.6223

Underlying: Common Stock · 1,946,223 shares

Expires not disclosed

F5 · derivative.exercise_price: Following stockholder approval of the conversion of the Series C Preferred Stock into shares of Common Stock, each share of Series C Preferred Stock will automatically convert into 10,000 shares of Common Stock, subject to certain limitations.

F5 · price: Following stockholder approval of the conversion of the Series C Preferred Stock into shares of Common Stock, each share of Series C Preferred Stock will automatically convert into 10,000 shares of Common Stock, subject to certain limitations.

F5 · derivative.exercise_date: Following stockholder approval of the conversion of the Series C Preferred Stock into shares of Common Stock, each share of Series C Preferred Stock will automatically convert into 10,000 shares of Common Stock, subject to certain limitations.

F5 · derivative.expiration_date: Following stockholder approval of the conversion of the Series C Preferred Stock into shares of Common Stock, each share of Series C Preferred Stock will automatically convert into 10,000 shares of Common Stock, subject to certain limitations.

SEC source: 0000929638-24-001358 · form4.xml · derivative · entry 4

Dukes Iain D. · CIK 0001681955 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,802,890

Underlying: Common Stock · 3,802,890 shares

Expires 2033-10-31

F4 · price: Received in the Merger in exchange for stock options to acquire 188,925 shares of Trawsfynydd common stock with an exercise price of $1.38 per share.

SEC source: 0000929638-24-001358 · form4.xml · nonDerivative · entry 3

Dukes Iain D. · CIK 0001681955 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Indirect · By Viriom, Inc.

Disclosed balance after: 1,645,100

F4 · shares: Received in the Merger in exchange for stock options to acquire 188,925 shares of Trawsfynydd common stock with an exercise price of $1.38 per share.

F1 · price: Received in exchange for shares of common stock of Trawsfynydd Therapeutics, Inc. ("Trawsfynydd") in connection with the acquisition (the "Merger") by Traws Pharma, Inc. (f/k/a Onconova Therapeutics, Inc., the "Company") of Trawsfynydd in accordance with the terms of an Agreement and Plan of Merger, dated April 1, 2024 (the "Merger Agreement"), by and among the Company, Traws Merger Sub I, Inc., Traws Merger Sub II, LLC and Trawsfynydd. Upon consummation of the Merger, all of the outstanding shares Trawsfynydd common stock were converted into shares of common stock of the Company, par value $0.01 per share ("Common Stock"), on a 1:20.1291 basis pursuant to the terms of the Merger Agreement.

F3 · balance_after: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

F3 · ownership.nature: The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0000929638-24-001358 · form4.xml · nonDerivative · entry 2

Dukes Iain D. · CIK 0001681955 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,187

F2 · price: Represents an award of restricted stock units that will vest in four equal annual installments beginning April 1, 2025. Each restricted stock unit will convert into shares of Common Stock on a one-for-one basis.

SEC source: 0000929638-24-001358 · form4.xml · nonDerivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,687

F1 · price: Received in exchange for shares of common stock of Trawsfynydd Therapeutics, Inc. ("Trawsfynydd") in connection with the acquisition (the "Merger") by Traws Pharma, Inc. (f/k/a Onconova Therapeutics, Inc., the "Company") of Trawsfynydd in accordance with the terms of an Agreement and Plan of Merger, dated April 1, 2024 (the "Merger Agreement"), by and among the Company, Traws Merger Sub I, Inc., Traws Merger Sub II, LLC and Trawsfynydd. Upon consummation of the Merger, all of the outstanding shares Trawsfynydd common stock were converted into shares of common stock of the Company, par value $0.01 per share ("Common Stock"), on a 1:20.1291 basis pursuant to the terms of the Merger Agreement.

SEC source: 0000929638-24-002743 · form4.xml · nonDerivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,187

F1 · shares: On April 3, 2024, the reporting person filed a Form 4 that inadvertently reported the number of shares of common stock (the "Common Stock") of Traws Pharma, Inc. (f/k/a Onconova Therapeutics, Inc.) underlying a grant of restricted stock units as 67,550 instead of 67,500. Nevertheless, the number of shares of Common Stock beneficially owned following the reported transaction was correctly reported in the original Form 4 as 134,187.

F2 · price: Represents an award of restricted stock units that will vest in four equal annual installments beginning April 1, 2025. Each restricted stock unit will convert into shares of Common Stock on a one-for-one basis.

SEC source: 0001104659-24-031109 · tm248017-5_4seq1.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred restricted stock unit ("DRSU") represents a contingent right to receive one share of the Issuer's common stock and are granted pursuant to the Issuer's 2018 Equity Incentive Plan (as amended).

F2 · derivative.exercise_date: 50% of the RSUs will vest on the 6-month anniversary of the date of grant and the remaining RSUs will vest on the one-year anniversary of the date of grant. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.

F2 · derivative.expiration_date: 50% of the RSUs will vest on the 6-month anniversary of the date of grant and the remaining RSUs will vest on the one-year anniversary of the date of grant. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.

SEC source: 0001104659-24-025539 · tm246751-2_4seq1.xml · nonDerivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,000

F1 · shares: Such shares purchased pursuant to Issuer's underwritten offering, which priced on 02/20/2024.

SEC source: 0001104659-24-023556 · tm246087-2_4seq1.xml · derivative · entry 5

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 61,549 shares

Expires not disclosed

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. Pursuant to the terms of the Merger Agreement, at the Effective Time, each Issuer Stock Option with an exercise price that is less than the Cash Amount was cancelled and converted into the right to receive (i) a cash payment equal to the product of (A) the excess, if any, of the Cash Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time and (ii) one CVR for each Share underlying such Issuer Stock Option.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. Pursuant to the terms of the Merger Agreement, at the Effective Time, each Issuer Stock Option with an exercise price that is less than the Cash Amount was cancelled and converted into the right to receive (i) a cash payment equal to the product of (A) the excess, if any, of the Cash Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time and (ii) one CVR for each Share underlying such Issuer Stock Option.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. Pursuant to the terms of the Merger Agreement, at the Effective Time, each Issuer Stock Option with an exercise price that is less than the Cash Amount was cancelled and converted into the right to receive (i) a cash payment equal to the product of (A) the excess, if any, of the Cash Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time and (ii) one CVR for each Share underlying such Issuer Stock Option.

SEC source: 0001104659-24-023556 · tm246087-2_4seq1.xml · derivative · entry 4

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 36,066 shares

Expires not disclosed

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. Pursuant to the terms of the Merger Agreement, at the Effective Time, each Issuer Stock Option with an exercise price that is less than the Cash Amount was cancelled and converted into the right to receive (i) a cash payment equal to the product of (A) the excess, if any, of the Cash Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time and (ii) one CVR for each Share underlying such Issuer Stock Option.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. Pursuant to the terms of the Merger Agreement, at the Effective Time, each Issuer Stock Option with an exercise price that is less than the Cash Amount was cancelled and converted into the right to receive (i) a cash payment equal to the product of (A) the excess, if any, of the Cash Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time and (ii) one CVR for each Share underlying such Issuer Stock Option.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. Pursuant to the terms of the Merger Agreement, at the Effective Time, each Issuer Stock Option with an exercise price that is less than the Cash Amount was cancelled and converted into the right to receive (i) a cash payment equal to the product of (A) the excess, if any, of the Cash Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time and (ii) one CVR for each Share underlying such Issuer Stock Option.

SEC source: 0001104659-24-023556 · tm246087-2_4seq1.xml · derivative · entry 3

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 344,344 shares

Expires not disclosed

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. Pursuant to the terms of the Merger Agreement, at the Effective Time, each Issuer Stock Option with an exercise price that is less than the Cash Amount was cancelled and converted into the right to receive (i) a cash payment equal to the product of (A) the excess, if any, of the Cash Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time and (ii) one CVR for each Share underlying such Issuer Stock Option.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. Pursuant to the terms of the Merger Agreement, at the Effective Time, each Issuer Stock Option with an exercise price that is less than the Cash Amount was cancelled and converted into the right to receive (i) a cash payment equal to the product of (A) the excess, if any, of the Cash Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time and (ii) one CVR for each Share underlying such Issuer Stock Option.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding and unvested option to purchase Shares granted under an Issuer equity plan (each, an "Issuer Stock Option") vested in full. Pursuant to the terms of the Merger Agreement, at the Effective Time, each Issuer Stock Option with an exercise price that is less than the Cash Amount was cancelled and converted into the right to receive (i) a cash payment equal to the product of (A) the excess, if any, of the Cash Amount over the exercise price payable per Share with respect to such Issuer Stock Option, multiplied by (B) the total number of Shares subject to such Issuer Stock Option immediately prior to the Effective Time and (ii) one CVR for each Share underlying such Issuer Stock Option.

SEC source: 0001104659-24-023556 · tm246087-2_4seq1.xml · derivative · entry 2

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,250 shares

Expires not disclosed

F3 · derivative.exercise_price: Each Issuer restricted stock unit ("Issuer RSU") represents a contingent right to receive one Share.

F4 · price: Pursuant to the terms of the Merger Agreement, each outstanding Issuer RSU that was outstanding and unvested immediately prior to the Effective Time vested in full. At the Effective Time, each Issuer RSU then outstanding was cancelled and converted into (i) a cash payment equal to the product of (A) the total number of Shares then underlying such Issuer RSU multiplied by (B) the Cash Amount, without interest and subject to any withholding of taxes; and (ii) one CVR for each Share subject to such Issuer RSU.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each outstanding Issuer RSU that was outstanding and unvested immediately prior to the Effective Time vested in full. At the Effective Time, each Issuer RSU then outstanding was cancelled and converted into (i) a cash payment equal to the product of (A) the total number of Shares then underlying such Issuer RSU multiplied by (B) the Cash Amount, without interest and subject to any withholding of taxes; and (ii) one CVR for each Share subject to such Issuer RSU.

F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each outstanding Issuer RSU that was outstanding and unvested immediately prior to the Effective Time vested in full. At the Effective Time, each Issuer RSU then outstanding was cancelled and converted into (i) a cash payment equal to the product of (A) the total number of Shares then underlying such Issuer RSU multiplied by (B) the Cash Amount, without interest and subject to any withholding of taxes; and (ii) one CVR for each Share subject to such Issuer RSU.

SEC source: 0001104659-24-023556 · tm246087-2_4seq1.xml · nonDerivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: Pursuant to the terms of that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 22, 2023, by and among the Issuer, Concentra Biosciences, LLC, a Delaware limited liability company ("Parent") and Concentra Merger Sub II, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of February 14, 2024 (the "Effective Time") with the Issuer surviving the merger.

F2 · price: At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive (a) $4.05 per Share in cash (the "Cash Amount"), subject to any applicable withholding taxes and without interest, plus (b) one non-transferable contractual contingent value right per Share (each, a "CVR"), which represents the right to receive potential payments, in cash, subject to any applicable tax withholding and without interest, all upon the terms and subject to the conditions as set forth in the Offer to Purchase, as amended, and in the related Letter of Transmittal.

SEC source: 0001745020-23-000035 · wk-form4_1686691672.xml · derivative · entry 2

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,250

Underlying: Common Stock · 3,250 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive one share of Common Stock, par value $0.001 per share, when vested.

F3 · derivative.exercise_date: The RSUs are subject to a service-based vesting requirement, which shall be satisfied on the earlier of (i) June 9, 2024 or (ii) the day prior to the date of the issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service with the issuer on such vesting date. The RSUs have no expiration date.

F3 · derivative.expiration_date: The RSUs are subject to a service-based vesting requirement, which shall be satisfied on the earlier of (i) June 9, 2024 or (ii) the day prior to the date of the issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service with the issuer on such vesting date. The RSUs have no expiration date.

SEC source: 0001745020-23-000035 · wk-form4_1686691672.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,500

Underlying: Common Stock · 19,500 shares

Expires 2033-06-12

F1 · derivative.exercise_date: The options are subject to a service-based vesting requirement, which shall be satisfied on the earlier of (i) June 9, 2024 or (ii) the day prior to the date of the issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service with the issuer on such vesting date.

SEC source: 0000899243-23-015449 · doc4.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,520

Underlying: Common Stock · 17,520 shares

Expires 2033-06-09

F1 · derivative.exercise_date: This option shall vest in full upon the earlier of (i) June 9, 2024 or (ii) the date of the next annual meeting, all vesting shall cease if the director resigns from the Board or otherwise ceases to service as a director.

SEC source: 0001104659-23-069505 · tm2318216-2_4seq1.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,911

Underlying: Common Stock · 103,911 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred restricted stock unit ("DRSU") represents a contingent right to receive one share of the Issuer's common stock and are granted pursuant to the Issuer's 2018 Equity Incentive Plan (as amended).

F2 · derivative.exercise_date: Provided the Reporting Person continues to be providing service to the Issuer on the following dates, the DRSUs shall vest on the earlier of: (i) the first anniversary of the Transaction Date; or (2) the day prior to the Issuer's next annual shareholder meeting. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.

F2 · derivative.expiration_date: Provided the Reporting Person continues to be providing service to the Issuer on the following dates, the DRSUs shall vest on the earlier of: (i) the first anniversary of the Transaction Date; or (2) the day prior to the Issuer's next annual shareholder meeting. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.

SEC source: 0001104659-22-122554 · tm2231429-1_4seq1.xml · nonDerivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,000

SEC source: 0001104659-22-070661 · tm2218348-2_4seq1.xml · derivative · entry 2

Dukes Iain D. · CIK 0001681955 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2032-06-09

F2 · derivative.exercise_date: The options are subject to a service-based vesting requirement, which shall be satisfied over a four-year period with respect to 1/48th of the shares vesting monthly after June 10, 2022, subject to the Reporting Person's continuous service with the issuer on each such vesting date.

SEC source: 0001104659-22-070661 · tm2218348-2_4seq1.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2032-06-09

F1 · derivative.exercise_date: The options are subject to a service-based vesting requirement, which shall be satisfied on the earlier of (i) June 10, 2023 or (ii) the day prior to the date of the issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service with the issuer on such vesting date.

SEC source: 0001104659-22-071051 · tm2218366-3_4seq1.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,409

Underlying: Common Stock · 102,409 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred restricted stock unit ("DRSU") represents a contingent right to receive one share of the Issuer's common stock and are granted pursuant to the Issuer's 2018 Equity Incentive Plan (as amended).

F2 · derivative.exercise_date: Provided the Reporting Person continues to be providing service to the Issuer on the following dates, the DRSUs shall vest on the earlier of: (i) the first anniversary of the Transaction Date; or (2) the day prior to the Issuer's next annual shareholder meeting. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.

F2 · derivative.expiration_date: Provided the Reporting Person continues to be providing service to the Issuer on the following dates, the DRSUs shall vest on the earlier of: (i) the first anniversary of the Transaction Date; or (2) the day prior to the Issuer's next annual shareholder meeting. Notwithstanding the vesting, the issuance of the common stock will be deferred until the earlier of (i) three months after the Reported Person's resignation or removal from the Board of Directors or no longer providing service because of death or disability, (ii) a change in control (as defined in the DRSU agreement) or (iii) ten years from the Transaction Date.

SEC source: 0000899243-22-022241 · doc4.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,419

Underlying: Common Stock · 13,419 shares

Expires 2032-06-09

F1 · derivative.exercise_date: This option shall vest in full upon the earlier of (i) June 9, 2023 or (ii) the date of the next annual meeting, all vesting shall cease if the director resigns from the Board or otherwise ceases to service as a director.

SEC source: 0000899243-21-049690 · doc4.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,419

Underlying: Common Stock · 23,419 shares

Expires 2031-12-21

F1 · derivative.exercise_date: This option shall vest (1) 25% on December 21, 2022, and the remaining shall vest in equal monthly installments over the next 36 months.

SEC source: 0000899243-21-039760 · doc4.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director · Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,678

Underlying: Common Stock · 22,678 shares

Expires 2031-10-05

F1 · derivative.exercise_date: The options are subject to a service-based vesting requirement, which shall be satisfied over a four-year period with 1/36th of the options vesting monthly after October 6, 2021, subject to the Reporting Person's continuous service with the issuer.

SEC source: 0001104659-21-088249 · tm2121236-2_4seq1.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2031-06-29

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 17,500 each following the date of grant, such that the options will be fully vested and exercisable on June 29, 2022.

SEC source: 0001104659-20-072141 · tm2022303d5_4.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2030-06-07

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 17,500 each following the date of grant, such that the options will be fully vested and exercisable on June 8, 2021.

SEC source: 0001144204-19-030596 · tv523381_4.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2029-06-09

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 17,500 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service, unless the Reporting Person is terminated for cause, in which case the options shall terminate immediately.

SEC source: 0001144204-18-065763 · tv509621_form4.xml · nonDerivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

SEC source: 0001250853-18-000101 · primary_doc.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-07-16

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 17,500 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service, unless the Reporting Person is terminated for cause, in which case the options shall terminate immediately.

SEC source: 0001250853-17-000081 · primary_doc.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2027-09-07

F1 · derivative.exercise_date: The options are exercisable and vest quarterly over a three-year period, with 1/12th of the shares having vested on the date of grant. Vesting will accelerate and the entire option will become fully vested upon a significant licensing transaction, a material product acquisition, or a change of control transaction.

SEC source: 0001250853-17-000053 · primary_doc.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2027-05-31

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 17,500 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service unless the Reporting Person is terminated for cause, in which case the options are terminated.