Casdin Alexander W.

SEC source: 0001193125-26-288905 · ownership.xml · derivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,888

Underlying: Common Stock · 29,888 shares

Expires 2036-06-26

F1 · derivative.exercise_date: 100% of the options to purchase shares vest on June 26, 2027, subject to the Reporting Person's continuous service to the Issuer on such vesting date.

SEC source: 0001193125-26-001606 · ownership.xml · derivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,872

Underlying: Common Stock · 23,872 shares

Expires 2036-01-01

F1 · security: At the election of the filing person the option grant was issued in lieu of the cash compensation payable to such person in 2026 in connection with each position on the issuer's board of directors and its committees for which such person is anticipated to serve in 2026.

F2 · derivative.exercise_date: The option will vest and become exercisable in monthly, cumulative 1/12 increments beginning one month from the date of grant, subject to such person continuing to serve on the issuer's board of directors through the applicable vesting date.

SEC source: 0000950170-25-090415 · ownership.xml · derivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2035-06-23

F1 · derivative.exercise_date: 100% of the options to purchase shares vest on June 24, 2026, subject to the Reporting Person's continuous service to the Issuer on such vesting date.

SEC source: 0000950170-25-000639 · ownership.xml · derivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,877

Underlying: Common Stock · 28,877 shares

Expires 2035-01-01

F1 · security: At the election of the filing person the option grant was issued in lieu of the cash compensation payable to such person in 2025 in connection with each position on the issuer's board of directors and its committees for which such person is anticipated to serve in 2025.

F2 · derivative.exercise_date: The option will vest and become exercisable in monthly, cumulative 1/12 increments beginning one month from the date of grant, subject to such person continuing to serve on the issuer's board of directors through the applicable vesting date.

SEC source: 0001209191-24-005921 · doc4.xml · derivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2034-06-19

F1 · derivative.exercise_date: 100% of the options to purchase shares vest on June 20, 2025, subject to the Reporting Person's continuous service to the Issuer on such vesting date.

SEC source: 0001209191-24-005689 · doc4.xml · nonDerivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 573,974

F1 · shares: The open market purchase was completed by the Alexander W. Casdin Inheritance IRA. Mr. Casdin exercises voting and dispositive control over the securities held by such IRA and is therefore deemed to be a beneficial owner of securities owned by such IRA.

F2 · ownership.direct: Includes 80,000 shares held by Alexander W. Casdin Inheritance IRA. Mr. Casdin exercises voting and dispositive control over the securities held by such IRA and is therefore deemed to be a beneficial owner of securities owned by such IRA.

SEC source: 0001209191-24-000268 · doc4.xml · derivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,084

Underlying: Common Stock · 41,084 shares

Expires 2034-01-01

F1 · derivative.exercise_date: The option will vest and become exercisable in monthly, cumulative 1/12th increments beginning one month from the date of grant, subject to such person's continuing in service on the board through the applicable vesting date.

F2 · derivative.underlying_shares: At the election of the filing person, the option grant was issued in lieu of direct cash compensation payable to such person in 2024 in connection with each position on the board and its committees for which such person is anticipated to serve in 2024.

SEC source: 0001209191-23-057297 · doc4.xml · nonDerivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 493,974

SEC source: 0001209191-23-039583 · doc4.xml · derivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: 100% of the options to purchase shares vest on June 22, 2024, subject to the Reporting Person's continuous service to the Issuer on such vesting date.

SEC source: 0001209191-23-038640 · doc4.xml · nonDerivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 252,099

F1 · shares: Subject to the reporting person's continued employment, these shares will vest in three (3) equal installments, with the first vesting date being June 15, 2024 and vesting annually thereafter.

SEC source: 0001209191-23-023955 · doc4.xml · nonDerivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 463,974

SEC source: 0001209191-22-061461 · doc4.xml · nonDerivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 443,974

SEC source: 0001209191-22-041388 · doc4.xml · nonDerivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Reneo SPV IV LP

Disclosed balance after: 0

F1 · kind: Represents a pro rata distribution in-kind to the partners of Reneo Capital SPV IV LP (Reneo SPV) for no value.

F2 · ownership.nature: Alexander W. Casdin serves as the managing member of Reneo GP LLC, which is the general partner of Reneo SPV. Mr. Casdin exercises voting and dispositive control over the securities held by Reneo SPV and is therefore deemed to be a beneficial owner of securities owned by Reneo SPV. Mr. Casdin disclaims beneficial ownership of the reported securities held by Reneo SPV, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-22-039102 · doc4.xml · derivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-06-22

F1 · derivative.exercise_date: 100% of the options to purchase shares vest on June 22, 2023, subject to the Reporting Person's continuous service to the Issuer on such vesting date.

SEC source: 0000899243-21-029082 · doc4.xml · derivative · entry 4

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Reneo SPV IV LP

Disclosed balance after: 0

Underlying: Common Stock · 750,000 shares

Expires not disclosed

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

F1 · price: The shares of the Issuer's Series A Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of the Issuer's Series A Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.expiration_date: The shares of the Issuer's Series A Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2 · ownership.nature: Alexander Casdin serves as the managing member of Reneo GP LLC, which is the general partner of Reneo Capital SPV IV LP (Reneo SPV). Mr. Casdin exercises voting and dispositive control over the securities held by Reneo SPV and is therefore deemed to be a beneficial owner of securities owned by Reneo SPV. Mr. Casdin disclaims beneficial ownership of the reported securities held by Reneo SPV, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-21-029082 · doc4.xml · derivative · entry 3

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,000 shares

Expires not disclosed

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

F1 · price: The shares of the Issuer's Series A Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.exercise_date: The shares of the Issuer's Series A Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F1 · derivative.expiration_date: The shares of the Issuer's Series A Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

SEC source: 0000899243-21-029082 · doc4.xml · nonDerivative · entry 2

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Reneo SPV IV LP

Disclosed balance after: 750,000

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

F1 · price: The shares of the Issuer's Series A Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

F2 · ownership.nature: Alexander Casdin serves as the managing member of Reneo GP LLC, which is the general partner of Reneo Capital SPV IV LP (Reneo SPV). Mr. Casdin exercises voting and dispositive control over the securities held by Reneo SPV and is therefore deemed to be a beneficial owner of securities owned by Reneo SPV. Mr. Casdin disclaims beneficial ownership of the reported securities held by Reneo SPV, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-21-029082 · doc4.xml · nonDerivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,500

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

F1 · price: The shares of the Issuer's Series A Preferred Stock automatically converted into shares of the Issuer's Common Stock, for no additional consideration, at a ratio of 1.2-for-1 share, immediately prior to the consummation of the Issuer's initial public offering.

SEC source: 0001209191-18-009138 · doc4.xml · derivative · entry 8

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2027-06-12

F3 · derivative.exercise_date: In connection with the Merger described in footnote (1), this option became fully vested and was automatically canceled and terminated and the holder became entitled to receive an amount in cash, without interest and less the amount of any tax withholding, equal to the product of (1) the number of shares of Common Stock of the Issuer underlying such option multiplied by (2) the excess, if any, of $27.00 over the exercise price per share of such option.

SEC source: 0001209191-18-009138 · doc4.xml · derivative · entry 7

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2026-06-12

F3 · derivative.exercise_date: In connection with the Merger described in footnote (1), this option became fully vested and was automatically canceled and terminated and the holder became entitled to receive an amount in cash, without interest and less the amount of any tax withholding, equal to the product of (1) the number of shares of Common Stock of the Issuer underlying such option multiplied by (2) the excess, if any, of $27.00 over the exercise price per share of such option.

SEC source: 0001209191-18-009138 · doc4.xml · derivative · entry 6

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2026-03-09

F3 · derivative.exercise_date: In connection with the Merger described in footnote (1), this option became fully vested and was automatically canceled and terminated and the holder became entitled to receive an amount in cash, without interest and less the amount of any tax withholding, equal to the product of (1) the number of shares of Common Stock of the Issuer underlying such option multiplied by (2) the excess, if any, of $27.00 over the exercise price per share of such option.

SEC source: 0001209191-18-009138 · doc4.xml · derivative · entry 5

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,000 shares

Expires 2023-12-16

F3 · derivative.exercise_date: In connection with the Merger described in footnote (1), this option became fully vested and was automatically canceled and terminated and the holder became entitled to receive an amount in cash, without interest and less the amount of any tax withholding, equal to the product of (1) the number of shares of Common Stock of the Issuer underlying such option multiplied by (2) the excess, if any, of $27.00 over the exercise price per share of such option.

SEC source: 0001209191-18-009138 · doc4.xml · derivative · entry 4

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2023-09-09

F3 · derivative.exercise_date: In connection with the Merger described in footnote (1), this option became fully vested and was automatically canceled and terminated and the holder became entitled to receive an amount in cash, without interest and less the amount of any tax withholding, equal to the product of (1) the number of shares of Common Stock of the Issuer underlying such option multiplied by (2) the excess, if any, of $27.00 over the exercise price per share of such option.

SEC source: 0001209191-18-009138 · doc4.xml · derivative · entry 3

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,666 shares

Expires 2022-12-19

F3 · derivative.exercise_date: In connection with the Merger described in footnote (1), this option became fully vested and was automatically canceled and terminated and the holder became entitled to receive an amount in cash, without interest and less the amount of any tax withholding, equal to the product of (1) the number of shares of Common Stock of the Issuer underlying such option multiplied by (2) the excess, if any, of $27.00 over the exercise price per share of such option.

SEC source: 0001209191-18-009138 · doc4.xml · nonDerivative · entry 2

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: In connection with the acquisition of the Issuer by Roche Holdings, Inc. ("Parent") on February 8, 2018, and pursuant to the terms of the Agreement and Plan of Merger by and among the Issuer, Parent and Abingdon Acquisition Corp. ("Merger Sub") dated December 21, 2017, Merger Sub acquired all of the issued and outstanding shares of Common Stock (the "Shares") for a purchase price of $27.00 per Share (the "Merger").

SEC source: 0001209191-18-009138 · doc4.xml · nonDerivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Reneo Capital SPV I LP

Disclosed balance after: 0

F1 · price: In connection with the acquisition of the Issuer by Roche Holdings, Inc. ("Parent") on February 8, 2018, and pursuant to the terms of the Agreement and Plan of Merger by and among the Issuer, Parent and Abingdon Acquisition Corp. ("Merger Sub") dated December 21, 2017, Merger Sub acquired all of the issued and outstanding shares of Common Stock (the "Shares") for a purchase price of $27.00 per Share (the "Merger").

F2 · ownership.nature: The Reporting Person is the Managing Member of Reneo GP, LLC, which is the General Partner of Reneo Capital SPV I LP, and as such the Reporting Person and Reneo GP, LLC have the power to vote or dispose of the securities held of record by the Reporting Person and may be deemed to beneficially own those securities. The Reporting Person disclaims beneficial ownership of the securities held of record by Reneo Capital SPV I LP except to the extent of his pecuniary interest therein.

SEC source: 0001209191-17-040961 · doc4.xml · derivative · entry 1

Casdin Alexander W. · CIK 0001455228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-06-12

F1 · derivative.exercise_date: The total number of shares of common stock subject to the option vests on the one-year anniversary of the date of grant (6/13/2018), or the next annual meeting of the stockholders, if earlier, subject to the reporting person's continued service to the Issuer through such vesting date.