Kosacz Barbara

SEC source: 0001193125-26-303726 · ownership.xml · derivative · entry 8

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,763 shares

Expires 2034-05-15

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger, dated April 27, 2026, as amended by Amendment No. 1 to the Agreement and Plan of Merger on May 16, 2026 (as amended, the "Merger Agreement"), by and among XOMA Royalty Corporation (the "Issuer"), Ligand Pharmaceuticals Incorporated ("Parent"), Flex Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), and XOMA Royalty Holdings Corporation ("HoldCo"). Pursuant to the Merger Agreement, on July 14, 2026, the Issuer effected a holding company reorganization, and Merger Sub merged with and into HoldCo (the "Merger"), with HoldCo surviving the Merger as a wholly-owned subsidiary of Parent. Unless context otherwise requires, all references in this Form 4 to the "Issuer" refer to HoldCo, which assumed all obligations of the Issuer under the Merger Agreement.

F4 · derivative.exercise_date: At the Effective Time, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, a "Company Stock Option") that had an exercise price per Share that was less than the sum of the Closing Amount and the fair market value of one CVR (each, a "Terminating Company Stock Option") became fully vested and was cancelled, and in exchange therefor, the holder received (i) an amount in cash, without interest, and subject to deduction for any required withholding taxes, equal to the product of (A) the excess of the Closing Amount over the exercise price per Share with respect to such Terminating Company Stock Option and (B) the number of Shares subject to such Terminating Company Stock Option, plus (ii) one CVR with respect to each Share subject to such Terminating Company Stock Option.

F5 · derivative.exercise_date: As of immediately prior to the Effective Time, each Company Stock Option that did not constitute a Terminating Company Stock Option was cancelled and no consideration was delivered in exchange therefor.

SEC source: 0001193125-26-303726 · ownership.xml · derivative · entry 7

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,967 shares

Expires 2033-05-17

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger, dated April 27, 2026, as amended by Amendment No. 1 to the Agreement and Plan of Merger on May 16, 2026 (as amended, the "Merger Agreement"), by and among XOMA Royalty Corporation (the "Issuer"), Ligand Pharmaceuticals Incorporated ("Parent"), Flex Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), and XOMA Royalty Holdings Corporation ("HoldCo"). Pursuant to the Merger Agreement, on July 14, 2026, the Issuer effected a holding company reorganization, and Merger Sub merged with and into HoldCo (the "Merger"), with HoldCo surviving the Merger as a wholly-owned subsidiary of Parent. Unless context otherwise requires, all references in this Form 4 to the "Issuer" refer to HoldCo, which assumed all obligations of the Issuer under the Merger Agreement.

F4 · derivative.exercise_date: At the Effective Time, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, a "Company Stock Option") that had an exercise price per Share that was less than the sum of the Closing Amount and the fair market value of one CVR (each, a "Terminating Company Stock Option") became fully vested and was cancelled, and in exchange therefor, the holder received (i) an amount in cash, without interest, and subject to deduction for any required withholding taxes, equal to the product of (A) the excess of the Closing Amount over the exercise price per Share with respect to such Terminating Company Stock Option and (B) the number of Shares subject to such Terminating Company Stock Option, plus (ii) one CVR with respect to each Share subject to such Terminating Company Stock Option.

F5 · derivative.exercise_date: As of immediately prior to the Effective Time, each Company Stock Option that did not constitute a Terminating Company Stock Option was cancelled and no consideration was delivered in exchange therefor.

SEC source: 0001193125-26-303726 · ownership.xml · derivative · entry 6

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,996 shares

Expires 2032-05-18

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger, dated April 27, 2026, as amended by Amendment No. 1 to the Agreement and Plan of Merger on May 16, 2026 (as amended, the "Merger Agreement"), by and among XOMA Royalty Corporation (the "Issuer"), Ligand Pharmaceuticals Incorporated ("Parent"), Flex Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), and XOMA Royalty Holdings Corporation ("HoldCo"). Pursuant to the Merger Agreement, on July 14, 2026, the Issuer effected a holding company reorganization, and Merger Sub merged with and into HoldCo (the "Merger"), with HoldCo surviving the Merger as a wholly-owned subsidiary of Parent. Unless context otherwise requires, all references in this Form 4 to the "Issuer" refer to HoldCo, which assumed all obligations of the Issuer under the Merger Agreement.

F4 · derivative.exercise_date: At the Effective Time, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, a "Company Stock Option") that had an exercise price per Share that was less than the sum of the Closing Amount and the fair market value of one CVR (each, a "Terminating Company Stock Option") became fully vested and was cancelled, and in exchange therefor, the holder received (i) an amount in cash, without interest, and subject to deduction for any required withholding taxes, equal to the product of (A) the excess of the Closing Amount over the exercise price per Share with respect to such Terminating Company Stock Option and (B) the number of Shares subject to such Terminating Company Stock Option, plus (ii) one CVR with respect to each Share subject to such Terminating Company Stock Option.

F5 · derivative.exercise_date: As of immediately prior to the Effective Time, each Company Stock Option that did not constitute a Terminating Company Stock Option was cancelled and no consideration was delivered in exchange therefor.

SEC source: 0001193125-26-303726 · ownership.xml · derivative · entry 5

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,101 shares

Expires 2031-05-19

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger, dated April 27, 2026, as amended by Amendment No. 1 to the Agreement and Plan of Merger on May 16, 2026 (as amended, the "Merger Agreement"), by and among XOMA Royalty Corporation (the "Issuer"), Ligand Pharmaceuticals Incorporated ("Parent"), Flex Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), and XOMA Royalty Holdings Corporation ("HoldCo"). Pursuant to the Merger Agreement, on July 14, 2026, the Issuer effected a holding company reorganization, and Merger Sub merged with and into HoldCo (the "Merger"), with HoldCo surviving the Merger as a wholly-owned subsidiary of Parent. Unless context otherwise requires, all references in this Form 4 to the "Issuer" refer to HoldCo, which assumed all obligations of the Issuer under the Merger Agreement.

F4 · derivative.exercise_date: At the Effective Time, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, a "Company Stock Option") that had an exercise price per Share that was less than the sum of the Closing Amount and the fair market value of one CVR (each, a "Terminating Company Stock Option") became fully vested and was cancelled, and in exchange therefor, the holder received (i) an amount in cash, without interest, and subject to deduction for any required withholding taxes, equal to the product of (A) the excess of the Closing Amount over the exercise price per Share with respect to such Terminating Company Stock Option and (B) the number of Shares subject to such Terminating Company Stock Option, plus (ii) one CVR with respect to each Share subject to such Terminating Company Stock Option.

F5 · derivative.exercise_date: As of immediately prior to the Effective Time, each Company Stock Option that did not constitute a Terminating Company Stock Option was cancelled and no consideration was delivered in exchange therefor.

SEC source: 0001193125-26-303726 · ownership.xml · derivative · entry 4

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,152 shares

Expires 2030-05-20

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger, dated April 27, 2026, as amended by Amendment No. 1 to the Agreement and Plan of Merger on May 16, 2026 (as amended, the "Merger Agreement"), by and among XOMA Royalty Corporation (the "Issuer"), Ligand Pharmaceuticals Incorporated ("Parent"), Flex Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), and XOMA Royalty Holdings Corporation ("HoldCo"). Pursuant to the Merger Agreement, on July 14, 2026, the Issuer effected a holding company reorganization, and Merger Sub merged with and into HoldCo (the "Merger"), with HoldCo surviving the Merger as a wholly-owned subsidiary of Parent. Unless context otherwise requires, all references in this Form 4 to the "Issuer" refer to HoldCo, which assumed all obligations of the Issuer under the Merger Agreement.

F4 · derivative.exercise_date: At the Effective Time, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, a "Company Stock Option") that had an exercise price per Share that was less than the sum of the Closing Amount and the fair market value of one CVR (each, a "Terminating Company Stock Option") became fully vested and was cancelled, and in exchange therefor, the holder received (i) an amount in cash, without interest, and subject to deduction for any required withholding taxes, equal to the product of (A) the excess of the Closing Amount over the exercise price per Share with respect to such Terminating Company Stock Option and (B) the number of Shares subject to such Terminating Company Stock Option, plus (ii) one CVR with respect to each Share subject to such Terminating Company Stock Option.

F5 · derivative.exercise_date: As of immediately prior to the Effective Time, each Company Stock Option that did not constitute a Terminating Company Stock Option was cancelled and no consideration was delivered in exchange therefor.

SEC source: 0001193125-26-303726 · ownership.xml · derivative · entry 3

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,167 shares

Expires 2029-05-16

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger, dated April 27, 2026, as amended by Amendment No. 1 to the Agreement and Plan of Merger on May 16, 2026 (as amended, the "Merger Agreement"), by and among XOMA Royalty Corporation (the "Issuer"), Ligand Pharmaceuticals Incorporated ("Parent"), Flex Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), and XOMA Royalty Holdings Corporation ("HoldCo"). Pursuant to the Merger Agreement, on July 14, 2026, the Issuer effected a holding company reorganization, and Merger Sub merged with and into HoldCo (the "Merger"), with HoldCo surviving the Merger as a wholly-owned subsidiary of Parent. Unless context otherwise requires, all references in this Form 4 to the "Issuer" refer to HoldCo, which assumed all obligations of the Issuer under the Merger Agreement.

F4 · derivative.exercise_date: At the Effective Time, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, a "Company Stock Option") that had an exercise price per Share that was less than the sum of the Closing Amount and the fair market value of one CVR (each, a "Terminating Company Stock Option") became fully vested and was cancelled, and in exchange therefor, the holder received (i) an amount in cash, without interest, and subject to deduction for any required withholding taxes, equal to the product of (A) the excess of the Closing Amount over the exercise price per Share with respect to such Terminating Company Stock Option and (B) the number of Shares subject to such Terminating Company Stock Option, plus (ii) one CVR with respect to each Share subject to such Terminating Company Stock Option.

F5 · derivative.exercise_date: As of immediately prior to the Effective Time, each Company Stock Option that did not constitute a Terminating Company Stock Option was cancelled and no consideration was delivered in exchange therefor.

SEC source: 0001193125-26-303726 · ownership.xml · derivative · entry 2

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,979 shares

Expires 2029-01-01

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger, dated April 27, 2026, as amended by Amendment No. 1 to the Agreement and Plan of Merger on May 16, 2026 (as amended, the "Merger Agreement"), by and among XOMA Royalty Corporation (the "Issuer"), Ligand Pharmaceuticals Incorporated ("Parent"), Flex Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), and XOMA Royalty Holdings Corporation ("HoldCo"). Pursuant to the Merger Agreement, on July 14, 2026, the Issuer effected a holding company reorganization, and Merger Sub merged with and into HoldCo (the "Merger"), with HoldCo surviving the Merger as a wholly-owned subsidiary of Parent. Unless context otherwise requires, all references in this Form 4 to the "Issuer" refer to HoldCo, which assumed all obligations of the Issuer under the Merger Agreement.

F4 · derivative.exercise_date: At the Effective Time, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, a "Company Stock Option") that had an exercise price per Share that was less than the sum of the Closing Amount and the fair market value of one CVR (each, a "Terminating Company Stock Option") became fully vested and was cancelled, and in exchange therefor, the holder received (i) an amount in cash, without interest, and subject to deduction for any required withholding taxes, equal to the product of (A) the excess of the Closing Amount over the exercise price per Share with respect to such Terminating Company Stock Option and (B) the number of Shares subject to such Terminating Company Stock Option, plus (ii) one CVR with respect to each Share subject to such Terminating Company Stock Option.

F5 · derivative.exercise_date: As of immediately prior to the Effective Time, each Company Stock Option that did not constitute a Terminating Company Stock Option was cancelled and no consideration was delivered in exchange therefor.

SEC source: 0001193125-26-303726 · ownership.xml · nonDerivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Disposed of pursuant to the Agreement and Plan of Merger, dated April 27, 2026, as amended by Amendment No. 1 to the Agreement and Plan of Merger on May 16, 2026 (as amended, the "Merger Agreement"), by and among XOMA Royalty Corporation (the "Issuer"), Ligand Pharmaceuticals Incorporated ("Parent"), Flex Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), and XOMA Royalty Holdings Corporation ("HoldCo"). Pursuant to the Merger Agreement, on July 14, 2026, the Issuer effected a holding company reorganization, and Merger Sub merged with and into HoldCo (the "Merger"), with HoldCo surviving the Merger as a wholly-owned subsidiary of Parent. Unless context otherwise requires, all references in this Form 4 to the "Issuer" refer to HoldCo, which assumed all obligations of the Issuer under the Merger Agreement.

F2 · shares: At the time the Merger became effective (the "Effective Time"), pursuant to the Merger Agreement, each issued and outstanding share of common stock, par value $0.0075 per share, of the Issuer (the "Shares") (other than certain Shares cancelled pursuant to the Merger Agreement and Dissenting Shares (as defined in the Merger Agreement)) automatically converted into the right to receive (i) $39.00 per Share in cash, without interest, and subject to deduction for any required withholding tax (the "Closing Amount"), plus (ii) an amount of contingent value rights (each, a "CVR") representing a right to receive certain contingent payments subject to and in accordance with the terms of the CVR Agreement (as defined in the Merger Agreement) (the Closing Amount plus CVR, the "Merger Consideration").

F3 · shares: At the Effective Time, pursuant to the Merger Agreement, each outstanding restricted stock unit ("RSU") became fully vested and cancelled and converted into the right to receive (A) an amount in cash, without interest, and subject to deduction for any required withholding tax, equal to the product of (i) the number of Shares subject to such RSU and (ii) the Closing Amount, plus (B) one CVR for each Share subject to such RSU.

F1 · price: Disposed of pursuant to the Agreement and Plan of Merger, dated April 27, 2026, as amended by Amendment No. 1 to the Agreement and Plan of Merger on May 16, 2026 (as amended, the "Merger Agreement"), by and among XOMA Royalty Corporation (the "Issuer"), Ligand Pharmaceuticals Incorporated ("Parent"), Flex Merger Sub, Inc., a wholly-owned subsidiary of Parent ("Merger Sub"), and XOMA Royalty Holdings Corporation ("HoldCo"). Pursuant to the Merger Agreement, on July 14, 2026, the Issuer effected a holding company reorganization, and Merger Sub merged with and into HoldCo (the "Merger"), with HoldCo surviving the Merger as a wholly-owned subsidiary of Parent. Unless context otherwise requires, all references in this Form 4 to the "Issuer" refer to HoldCo, which assumed all obligations of the Issuer under the Merger Agreement.

F2 · price: At the time the Merger became effective (the "Effective Time"), pursuant to the Merger Agreement, each issued and outstanding share of common stock, par value $0.0075 per share, of the Issuer (the "Shares") (other than certain Shares cancelled pursuant to the Merger Agreement and Dissenting Shares (as defined in the Merger Agreement)) automatically converted into the right to receive (i) $39.00 per Share in cash, without interest, and subject to deduction for any required withholding tax (the "Closing Amount"), plus (ii) an amount of contingent value rights (each, a "CVR") representing a right to receive certain contingent payments subject to and in accordance with the terms of the CVR Agreement (as defined in the Merger Agreement) (the Closing Amount plus CVR, the "Merger Consideration").

F3 · price: At the Effective Time, pursuant to the Merger Agreement, each outstanding restricted stock unit ("RSU") became fully vested and cancelled and converted into the right to receive (A) an amount in cash, without interest, and subject to deduction for any required withholding tax, equal to the product of (i) the number of Shares subject to such RSU and (ii) the Closing Amount, plus (B) one CVR for each Share subject to such RSU.

SEC source: 0001763316-26-000004 · form4-06242026_100627.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2036-06-22

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) June 23, 2027, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after June 22, 2026. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.

SEC source: 0001214659-26-006744 · marketforms-73266.xml · nonDerivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,557

F1 · shares: Consists of 3,586 restricted stock units ("RSUs"). Each RSU represents the right to receive, at settlement, one share of common stock of the Company and will vest in equal parts on a monthly basis, for 12 months from the date of grant, subject to the reporting person's continued service to the Company through such vesting date.

SEC source: 0001763316-26-000002 · form4-04132026_080453.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2036-04-08

F1 · derivative.exercise_date: The shares subject to the option shall be scheduled to vest monthly over a term of 24 months on the monthly anniversaries of the grant date, subject to the optionee continuing to be a Service Provider (as defined in the Issuer's 2026 Equity Incentive Plan) through the applicable vesting dates.

SEC source: 0001415889-25-015434 · form4-06032025_090644.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,900

Underlying: Common Stock · 20,900 shares

Expires 2035-05-29

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 30, 2026, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 30, 2025. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.

SEC source: 0001214659-25-008324 · marketforms-69624.xml · nonDerivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,971

F1 · shares: Consists of 5,971 restricted stock units ("RSUs"). Each RSU represents the right to receive, at settlement, one share of common stock of the Company and will vest on the first anniversary of the grant date, subject to the reporting person's continued service to the Company through such vesting date.

SEC source: 0001214659-25-008318 · marketforms-69671.xml · nonDerivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,971

F1 · shares: Consists of 5,971 restricted stock units ("RSUs"). Each RSU represents the right to receive, at settlement, one share of common stock of the Company and will vest on the first anniversary of the grant date, subject to the reporting person's continued service to the Company through such vesting date.

SEC source: 0001415889-24-014576 · form4-05242024_100520.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,900

Underlying: Common Stock · 20,900 shares

Expires 2034-05-23

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 24, 2025, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 24, 2024. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.

SEC source: 0001214659-24-009522 · marketforms-65897.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,763

Underlying: Common Shares · 9,763 shares

Expires 2034-05-15

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in equal monthly installments over the 12-month period following the date of grant (May 15, 2024), provided that the final installment will occur on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the reporting person's continued service to the Company through each vesting date.

SEC source: 0001213900-24-015032 · ownership.xml · nonDerivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,828

F1 · kind: Represents shares of Class A Common Stock distributed in-kind by Phoenix Biotech Sponsor, LLC (the "Sponsor") to its members, pro rata and without consideration.

F1 · price: Represents shares of Class A Common Stock distributed in-kind by Phoenix Biotech Sponsor, LLC (the "Sponsor") to its members, pro rata and without consideration.

SEC source: 0001209191-24-001065 · doc4.xml · nonDerivative · entry 1

Kosacz Barbara · CIK 0001763316 · COO & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 928,966

F1 · shares: Represents shares sold to satisfy estimated tax withholding obligations upon the settlement of restricted stock units.

F2 · price: The weighted average sale price for the transaction reported was $1.1836, and the range of prices were between $1.12 to $1.28. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

SEC source: 0001209191-23-031572 · doc4.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,900

Underlying: Common Stock · 20,900 shares

Expires 2033-05-18

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 19, 2024, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 19, 2023. The option reported was granted pursuant to the terms of the Issuer's Outside Director Compensation Policy.

SEC source: 0001214659-23-007560 · marketforms-61569.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,967

Underlying: Common Shares · 10,967 shares

Expires 2033-05-17

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in equal monthly installments over the 12-month period following the date of grant (May 17, 2023), provided that the final installment will occur on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option.

SEC source: 0001209191-23-010594 · doc4.xml · derivative · entry 2

Kosacz Barbara · CIK 0001763316 · COO & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,367

Underlying: Common Stock · 208,367 shares

Expires 2033-02-14

F2 · derivative.exercise_date: 1/48th of the shares subject to the option vest in equal monthly installments over a four year period following the date of grant.

SEC source: 0001209191-23-010594 · doc4.xml · nonDerivative · entry 1

Kosacz Barbara · CIK 0001763316 · COO & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 939,642

F1 · balance_after: Includes an aggregate of 9,107 shares acquired by the Reporting Person under the Issuer's 2020 Employee Stock Purchase Plan on the following dates: 1,878 shares on June 30, 2021, 753 shares on December 31, 2021 and 6,476 shares on December 30, 2022.

SEC source: 0001209191-22-043284 · doc4.xml · nonDerivative · entry 1

Kosacz Barbara · CIK 0001763316 · COO & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 791,624

SEC source: 0001209191-22-032693 · doc4.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,871

Underlying: Common Stock · 13,871 shares

Expires 2032-05-19

F1 · derivative.exercise_date: The shares subject to the option will vest on the earlier of (i) May 20, 2023, or (ii) the day immediately before the date of the next annual meeting of the Issuer's stockholders that occurs after May 20, 2022. The option reported was granted pursuant to the terms of the Issuer's outside director compensation policy.

SEC source: 0001214659-22-007240 · marketforms-56245.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,996

Underlying: Common Shares · 8,996 shares

Expires 2032-05-18

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in equal monthly installments over the 12-month period following the date of grant (May 18, 2022), provided that the final installment will occur on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option.

SEC source: 0001209191-22-010907 · doc4.xml · derivative · entry 2

Kosacz Barbara · CIK 0001763316 · COO & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2032-02-14

F1 · derivative.exercise_date: 1/48th of the shares subject to the option vest in equal monthly installments over a four year period following the date of grant.

SEC source: 0001209191-22-010907 · doc4.xml · nonDerivative · entry 1

Kosacz Barbara · CIK 0001763316 · COO & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 738,024

SEC source: 0000899243-21-039928 · doc4.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Phoenix Biotech Sponsor, LLC

Disclosed balance after: 17,500

Underlying: Class A Common Stock · 17,500 shares

Expires not disclosed

F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F2 · kind: Allocated to the reporting person as a member of Phoenix Biotech Sponsor, LLC, for service on the issuer's board of directors.

F3 · shares: The reporting person disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose.

F2 · price: Allocated to the reporting person as a member of Phoenix Biotech Sponsor, LLC, for service on the issuer's board of directors.

F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

SEC source: 0001214659-21-005810 · marketforms-52859.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,101

Underlying: Common Shares · 5,101 shares

Expires 2031-05-19

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in equal monthly installments over the 12-month period following the date of grant (May 19, 2021), provided that the final installment will occur on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option.

SEC source: 0001209191-21-018569 · doc4.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,742

Underlying: Common Stock · 27,742 shares

Expires 2031-03-03

F1 · derivative.exercise_date: One thirty-sixth of the shares subject to the option will vest on April 4, 2021 and one thirty-sixth of the shares subject to the option will vest each month thereafter.

SEC source: 0000899243-21-002112 · doc4.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By LWAC D&O LLC

Disclosed balance after: 17,500

Underlying: Class A Common Stock · 17,500 shares

Expires not disclosed

F1 · derivative.exercise_price: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F2 · kind: Allocated to the reporting person as a member of LWAC D&O LLC, a member of Locust Walk Sponsor, LLC, for service on the issuer's board of directors.

F3 · shares: The reporting person disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for any other purpose.

F2 · price: Allocated to the reporting person as a member of LWAC D&O LLC, a member of Locust Walk Sponsor, LLC, for service on the issuer's board of directors.

F1 · derivative.exercise_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

F1 · derivative.expiration_date: The shares of Class B common stock will automatically convert into shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to certain adjustments described in the issuer's charter documents and have no expiration date.

SEC source: 0001209191-20-062947 · doc4.xml · derivative · entry 2

Kosacz Barbara · CIK 0001763316 · COO & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,736

Underlying: Common Stock · 104,736 shares

Expires 2030-12-08

F1 · derivative.exercise_date: 1/48th of the shares subject to the option vest in equal monthly installments over a four year period following the date of grant.

SEC source: 0001209191-20-062947 · doc4.xml · nonDerivative · entry 1

Kosacz Barbara · CIK 0001763316 · COO & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 684,424

SEC source: 0001209191-20-055036 · doc4.xml · nonDerivative · entry 1

Kosacz Barbara · CIK 0001763316 · COO & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 614,600

SEC source: 0001214659-20-005063 · marketforms-48895.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,152

Underlying: Common Shares · 6,152 shares

Expires 2030-05-20

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable in equal monthly installments over the 12-month period following the date of grant (May 20, 2020), provided that the final installment will occur on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option.

SEC source: 0001190725-19-000017 · edgardoc.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,167

Underlying: Common Shares · 8,167 shares

Expires 2029-05-16

F1 · derivative.exercise_date: All of the shares subject to this option shall vest and become exercisable monthly over one-year of the Vesting Commencement Date (May 16, 2019).

SEC source: 0001190725-19-000005 · edgardoc.xml · derivative · entry 1

Kosacz Barbara · CIK 0001763316 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,979

Underlying: Common Shares · 19,979 shares

Expires 2029-01-01

F1 · derivative.exercise_date: Shares subject to this option shall vest in equal monthly installments over three years from the grant date.