Manning Paul B

SEC source: 0001209191-18-030124 · doc4.xml · derivative · entry 8

Manning Paul B · CIK 0001494695 · Director · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 0

Underlying: Class B-2 Common Stock · 103,478 shares

Expires 2024-03-07

F1 · kind: On April 6, 2018, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Novartis AG, a company organized under the laws of Switzerland ("Parent"), and Novartis AM Merger Corporation, a Delaware corporation and an indirect wholly-owned subsidiary of the Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $218.00 per share (the "Offer Price") in cash.

F8 · shares: The amount reported reflects a pro rata distribution to members of PBM on August 15, 2016. In prior reports, the Reporting Person reported beneficial ownership of 130,623 shares of common stock underlying the Warrant.

F9 · derivative.exercise_date: Immediately exercisable.

F8 · derivative.underlying_shares: The amount reported reflects a pro rata distribution to members of PBM on August 15, 2016. In prior reports, the Reporting Person reported beneficial ownership of 130,623 shares of common stock underlying the Warrant.

F7 · ownership.nature: The Warrant is held by PBM. Mr. Manning has the sole voting and investment power with respect to the shares issuable upon exercise of the Warrant held by PBM. Mr. Manning disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-18-030124 · doc4.xml · derivative · entry 7

Manning Paul B · CIK 0001494695 · Director · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 0

Underlying: Class B-2 Common Stock · 137,154 shares

Expires 2025-05-04

F1 · kind: On April 6, 2018, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Novartis AG, a company organized under the laws of Switzerland ("Parent"), and Novartis AM Merger Corporation, a Delaware corporation and an indirect wholly-owned subsidiary of the Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $218.00 per share (the "Offer Price") in cash.

F6 · derivative.exercise_date: In connection with the transactions contemplated by the Merger Agreement, the Warrant was canceled in exchange for a lump sum cash payment equal to (i) the excess of (A) the Offer Price minus (B) the Exercise Price, multiplied by (ii) the number of shares of Common Stock underlying the Warrant.

F7 · ownership.nature: The Warrant is held by PBM. Mr. Manning has the sole voting and investment power with respect to the shares issuable upon exercise of the Warrant held by PBM. Mr. Manning disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-18-030124 · doc4.xml · derivative · entry 6

Manning Paul B · CIK 0001494695 · Director · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,905 shares

Expires 2028-03-13

F1 · kind: On April 6, 2018, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Novartis AG, a company organized under the laws of Switzerland ("Parent"), and Novartis AM Merger Corporation, a Delaware corporation and an indirect wholly-owned subsidiary of the Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $218.00 per share (the "Offer Price") in cash.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, each outstanding stock option was canceled in exchange for a lump sum cash payment equal the excess of (A) the Offer Price minus (B) the Exercise Price, multiplied by the number of shares of Common Stock underlying the option.

SEC source: 0001209191-18-030124 · doc4.xml · derivative · entry 5

Manning Paul B · CIK 0001494695 · Director · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,454 shares

Expires 2027-05-30

F1 · kind: On April 6, 2018, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Novartis AG, a company organized under the laws of Switzerland ("Parent"), and Novartis AM Merger Corporation, a Delaware corporation and an indirect wholly-owned subsidiary of the Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $218.00 per share (the "Offer Price") in cash.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, each outstanding stock option was canceled in exchange for a lump sum cash payment equal the excess of (A) the Offer Price minus (B) the Exercise Price, multiplied by the number of shares of Common Stock underlying the option.

SEC source: 0001209191-18-030124 · doc4.xml · derivative · entry 4

Manning Paul B · CIK 0001494695 · Director · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,496 shares

Expires 2026-02-10

F1 · kind: On April 6, 2018, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Novartis AG, a company organized under the laws of Switzerland ("Parent"), and Novartis AM Merger Corporation, a Delaware corporation and an indirect wholly-owned subsidiary of the Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $218.00 per share (the "Offer Price") in cash.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, each outstanding stock option was canceled in exchange for a lump sum cash payment equal the excess of (A) the Offer Price minus (B) the Exercise Price, multiplied by the number of shares of Common Stock underlying the option.

SEC source: 0001209191-18-030124 · doc4.xml · nonDerivative · entry 3

Manning Paul B · CIK 0001494695 · Director · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 0

F1 · kind: On April 6, 2018, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Novartis AG, a company organized under the laws of Switzerland ("Parent"), and Novartis AM Merger Corporation, a Delaware corporation and an indirect wholly-owned subsidiary of the Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $218.00 per share (the "Offer Price") in cash.

F1 · price: On April 6, 2018, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Novartis AG, a company organized under the laws of Switzerland ("Parent"), and Novartis AM Merger Corporation, a Delaware corporation and an indirect wholly-owned subsidiary of the Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $218.00 per share (the "Offer Price") in cash.

F4 · ownership.nature: These shares are held by BKB Growth Investments, LLC ("BKB"). The Reporting Person is a co-manager of BKB and, as such, has unilateral voting and investment power with respect to the shares held by BKB. The Reporting Person disclaims beneficial ownership of the shares held by BKB except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-18-030124 · doc4.xml · nonDerivative · entry 2

Manning Paul B · CIK 0001494695 · Director · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 0

F1 · kind: On April 6, 2018, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Novartis AG, a company organized under the laws of Switzerland ("Parent"), and Novartis AM Merger Corporation, a Delaware corporation and an indirect wholly-owned subsidiary of the Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $218.00 per share (the "Offer Price") in cash.

F1 · price: On April 6, 2018, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Novartis AG, a company organized under the laws of Switzerland ("Parent"), and Novartis AM Merger Corporation, a Delaware corporation and an indirect wholly-owned subsidiary of the Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $218.00 per share (the "Offer Price") in cash.

F3 · ownership.nature: These shares are held by PBM Capital Investments, LLC ("PBM"). The Reporting Person has the sole voting and investment power with respect to the shares held by the PBM. The Reporting Person disclaims beneficial ownership of the shares held by PBM except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-18-030124 · doc4.xml · nonDerivative · entry 1

Manning Paul B · CIK 0001494695 · Director · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On April 6, 2018, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Novartis AG, a company organized under the laws of Switzerland ("Parent"), and Novartis AM Merger Corporation, a Delaware corporation and an indirect wholly-owned subsidiary of the Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $218.00 per share (the "Offer Price") in cash.

F2 · shares: Includes 1,106 shares underlying Restricted Stock Units (the "RSUs"). Pursuant to the Merger Agreement, each outstanding RSU was canceled in exchange for a lump sum cash payment equal to (i) the Offer Price multiplied by (ii) the number of shares of Common Stock underlying the RSU.

F1 · price: On April 6, 2018, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement") with Novartis AG, a company organized under the laws of Switzerland ("Parent"), and Novartis AM Merger Corporation, a Delaware corporation and an indirect wholly-owned subsidiary of the Parent ("Purchaser"). Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of the Issuer's common stock (the "Common Stock") held by the Reporting Person was acquired, subject to adjustment, at a purchase price of $218.00 per share (the "Offer Price") in cash.

SEC source: 0001209191-18-022241 · doc4.xml · derivative · entry 4

Manning Paul B · CIK 0001494695 · Director · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,905

Underlying: Common Stock · 2,905 shares

Expires 2028-03-13

F4 · derivative.exercise_date: This option shall vest and become exercisable on March 13, 2019, subject to the Reporting Person's continuous service with the Issuer on such date.

SEC source: 0001209191-18-022241 · doc4.xml · nonDerivative · entry 1

Manning Paul B · CIK 0001494695 · Director · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,752

F1 · shares: These shares are represented by restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer. The shares underlying this restricted stock award will vest on March 13, 2019, subject to the Reporting Person's continuous service with the Issuer on such date.

F1 · price: These shares are represented by restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer. The shares underlying this restricted stock award will vest on March 13, 2019, subject to the Reporting Person's continuous service with the Issuer on such date.

SEC source: 0001209191-17-060434 · doc4.xml · nonDerivative · entry 2

Manning Paul B · CIK 0001494695 · Director · 10% owner

PBM Capital Investments, LLC · CIK 0001665309 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,340,823

F3 · kind: Represents the receipt by Manning of 12,214,953 shares of Common Stock from PBM in a distribution for no consideration.

F3 · shares: Represents the receipt by Manning of 12,214,953 shares of Common Stock from PBM in a distribution for no consideration.

F3 · price: Represents the receipt by Manning of 12,214,953 shares of Common Stock from PBM in a distribution for no consideration.

F4 · ownership.direct: Consists of (i) 12,214,953 shares held directly by Manning, and (ii) 125,870 shares held by Manning together with his spouse as Joint Tenants with Right of Survivorship. The shares distributed to Manning will remain subject to a lock-up agreement for a period of 180 days following June 28, 2017, as required pursuant to a lock-up agreement PBM entered into with the underwriters in connection with the Issuer's initial public offering.

SEC source: 0001209191-17-060434 · doc4.xml · nonDerivative · entry 1

Manning Paul B · CIK 0001494695 · Director · 10% owner

PBM Capital Investments, LLC · CIK 0001665309 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 0

F1 · kind: Represents the disposition of 12,214,953 shares of Common Stock held by PBM Capital Investments, LLC ("PBM") in a distribution to Paul Manning ("Manning") for no consideration.

F1 · shares: Represents the disposition of 12,214,953 shares of Common Stock held by PBM Capital Investments, LLC ("PBM") in a distribution to Paul Manning ("Manning") for no consideration.

F1 · price: Represents the disposition of 12,214,953 shares of Common Stock held by PBM Capital Investments, LLC ("PBM") in a distribution to Paul Manning ("Manning") for no consideration.

F2 · ownership.nature: Prior to the distribution these shares were held by PBM. Manning had the sole voting and investment power with respect to the shares held by PBM.

SEC source: 0001209191-17-049511 · doc4.xml · nonDerivative · entry 5

Manning Paul B · CIK 0001494695 · Director · 10% owner

PBM Capital Investments, LLC · CIK 0001665309 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,870

F2 · ownership.direct: These shares are held by the Reporting Person together with his spouse as Joint Tenants with Right of Survivorship.

SEC source: 0001209191-17-049511 · doc4.xml · nonDerivative · entry 4

Manning Paul B · CIK 0001494695 · Director · 10% owner

PBM Capital Investments, LLC · CIK 0001665309 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,770

F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $25.41 - $26.20, 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 shares sold at each separate price within the range set forth in footnote (5) to this Form 4.

F2 · ownership.direct: These shares are held by the Reporting Person together with his spouse as Joint Tenants with Right of Survivorship.

SEC source: 0001209191-17-049511 · doc4.xml · nonDerivative · entry 3

Manning Paul B · CIK 0001494695 · Director · 10% owner

PBM Capital Investments, LLC · CIK 0001665309 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,391

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $24.41 - $25.40, 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 shares sold at each separate price within the range set forth in footnote (4) to this Form 4.

F2 · ownership.direct: These shares are held by the Reporting Person together with his spouse as Joint Tenants with Right of Survivorship.

SEC source: 0001209191-17-049511 · doc4.xml · nonDerivative · entry 2

Manning Paul B · CIK 0001494695 · Director · 10% owner

PBM Capital Investments, LLC · CIK 0001665309 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,870

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $22.00 - $22.945, 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 shares sold at each separate price within the range set forth in footnote (3) to this Form 4.

F2 · ownership.direct: These shares are held by the Reporting Person together with his spouse as Joint Tenants with Right of Survivorship.

SEC source: 0001209191-17-049511 · doc4.xml · nonDerivative · entry 1

Manning Paul B · CIK 0001494695 · Director · 10% owner

PBM Capital Investments, LLC · CIK 0001665309 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $20.96 - $21.90, 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 shares sold at each separate price within the range set forth in footnote (1) to this Form 4.

F2 · ownership.direct: These shares are held by the Reporting Person together with his spouse as Joint Tenants with Right of Survivorship.

SEC source: 0001209191-17-044266 · doc4.xml · nonDerivative · entry 2

Manning Paul B · CIK 0001494695 · Director · 10% owner

PBM Capital Investments, LLC · CIK 0001665309 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 1,783,226

F2 · ownership.nature: These shares are held by BKB Growth Investments, LLC ("BKB"). The Reporting Person is a co-manager of BKB and, as such, has unilateral voting and investment power with respect to the shares held by BKB. The Reporting Person disclaims beneficial ownership of the shares held by BKB except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-17-044266 · doc4.xml · nonDerivative · entry 1

Manning Paul B · CIK 0001494695 · Director · 10% owner

PBM Capital Investments, LLC · CIK 0001665309 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

F1 · ownership.direct: These shares are held by the Reporting Person together with his spouse as Joint Tenants with Right of Survivorship.

SEC source: 0001209191-17-036895 · doc4.xml · derivative · entry 1

Manning Paul B · CIK 0001494695 · Director · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,454

Underlying: Common Stock · 2,454 shares

Expires 2027-05-30

F1 · derivative.exercise_date: The option shall vest and become exercisable (i) in twelve equal monthly installments beginning on June 30, 2017, or (ii) on the date of the Issuer's next annual stockholder meeting, whichever comes first, in each case subject to the Reporting Person's Continuous Service (as that term is defined in the Issuer's 2016 Equity Incentive Plan) through each such date.

SEC source: 0001209191-16-141492 · doc4.xml · nonDerivative · entry 1

Manning Paul B · CIK 0001494695 · Director · Former 10% Owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By LLC

Disclosed balance after: 1,201,160

F1 · balance_after: The number of shares reported as indirectly held by the Reporting Person through PBM Capital Investments, LLC ("PBM") reflects a distribution in kind of an aggregate of 168,222 shares previously reported by the Reporting Person as held by PBM. Such shares were distributed exclusively to the limited partners of PBM, and did not result in any change in the Reporting Person's pecuniary interest in the shares held by PBM. Accordingly, such distribution was not reportable by the Reporting Person on Form 4.

F2 · ownership.nature: These shares are held by PBM. The Reporting Person has the sole voting and investment power with respect to the shares held by the PBM. The Reporting Person disclaims beneficial ownership of the shares held by PBM except to the extent of his pecuniary interest therein, and the inclusion of the securities in this report shall not be deemed an admission of beneficial ownership of all of the reported securities for purposes of Section 16 or for any other purpose.