Walker Luke Nathaniel

SEC source: 0001628280-26-045775 · wk-form4_1782505176.xml · derivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2036-06-23

F1 · derivative.exercise_date: The option vests and becomes exercisable on the earlier of (i) June 24, 2027 (the one-year anniversary of the date of grant) or (ii) the Issuer's 2027 annual meeting of stockholders, subject to continued service with the Issuer.

SEC source: 0001701440-26-000004 · wk-form4_1781813274.xml · nonDerivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 201,384

F1 · shares: Represents restricted stock units granted pursuant to the Issuer's Non-Employee Director Compensation Program, each of which represents a contingent right to receive one share of common stock, and which will vest on the first to occur of (a) June 16, 2027 or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such vesting date.

SEC source: 0001725160-25-000137 · wk-form4_1750277940.xml · nonDerivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 144,284

F1 · shares: Represents restricted stock units granted pursuant to the Issuer's Non-Employee Director Compensation Program, each of which represents a contingent right to receive one share of common stock, and which will vest on the first to occur of (a) June 17, 2026 or (b) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such vesting date.

SEC source: 0001842952-25-000074 · wk-form4_1749763486.xml · derivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 123,500

Underlying: Common Stock · 123,500 shares

Expires 2035-06-11

F1 · derivative.exercise_date: The option vests and becomes exercisable on the earlier of (i) June 12, 2026 (the one-year anniversary of the date of grant) or (ii) the Issuer's 2026 annual meeting of stockholders, subject to continued service with the Issuer.

SEC source: 0001725160-25-000029 · wk-form4_1738705431.xml · nonDerivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,681

SEC source: 0001842952-24-000077 · wk-form4_1725537887.xml · derivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,315

Underlying: Common Stock · 19,315 shares

Expires 2034-09-03

F1 · derivative.exercise_date: The option vests and becomes exercisable on the earlier of (i) June 13, 2025 or (ii) the Issuer's 2025 annual meeting of stockholders, subject to continued service with the Issuer.

SEC source: 0001725160-24-000123 · wk-form4_1716982442.xml · nonDerivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,481

F1 · shares: The restricted stock units ("RSUs") were granted by the Issuer pursuant to the Issuer's Non-Employee Director Compensation Program. One third of the RSUs will vest on each of the first, second and third anniversaries of the grant date, subject to the reporting person's continued service with the Issuer on each vesting date.

SEC source: 0000950170-24-029445 · ownership.xml · derivative · entry 3

Walker Luke Nathaniel · CIK 0001701440 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F6 · price: (Continued from footnote 5) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F6 · derivative.exercise_date: (Continued from footnote 5) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F6 · derivative.expiration_date: (Continued from footnote 5) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

SEC source: 0000950170-24-029445 · ownership.xml · derivative · entry 2

Walker Luke Nathaniel · CIK 0001701440 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,500 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F6 · price: (Continued from footnote 5) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F6 · derivative.exercise_date: (Continued from footnote 5) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F6 · derivative.expiration_date: (Continued from footnote 5) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

SEC source: 0000950170-24-029445 · ownership.xml · nonDerivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F2 · shares: Includes 135,000 restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock, par value $0.0001 per share ("Common Stock").

F3 · price: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding RSU was cancelled and automatically converted into the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (i) the Common Stock Merger Consideration (as defined below) payable with respect to such RSU multiplied by (ii) the total number of shares of Common Stock subject to such RSU immediately prior to the Effective Time, with the number of shares of Company Common Stock subject to any such Company RSU that vests based on the achievement of performance goals determined in accordance with the applicable award agreement.

F4 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration").

F1 · acquired: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

SEC source: 0000950170-24-003369 · ownership.xml · nonDerivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 135,000

F1 · shares: The grant of restricted stock units ("RSUs") to the Reporting Person as reported herein was approved by the Issuer's Compensation Committee on January 7, 2024 ("Grant Date") as part of the Issuer's annual grant of equity awards in the ordinary course. Each RSU represents a contingent right to receive one share of the Issuer's common stock, issuable upon the vesting and settlement of RSUs.

F2 · shares: The RSUs vest quarterly over four years from the Grant Date, subject to acceleration and vesting in full upon a Change in Control (as defined in the Issuer's 2019 Equity Incentive Plan) of the Issuer, and subject to the continuing service of the Reporting Person on each vesting date.

SEC source: 0001209191-23-056810 · doc4.xml · nonDerivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock, issuable upon the vesting and settlement of RSUs.

F2 · shares: 25% of the RSUs will vest on each May 26th and November 26th of 2024 and 2025, subject to acceleration and vesting in full upon a Change in Control (as defined in the Issuer's 2019 Equity Incentive Plan) of the Issuer, and subject to the continuing employment of the Reporting Person on each vesting date.

SEC source: 0001209191-23-005038 · doc4.xml · derivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-01-23

F1 · derivative.exercise_date: 25% of the total stock option will vest and become exercisable every six months following the vesting commencement date of January 24, 2023, subject to the continuing employment of the Reporting Person on each vesting date.

SEC source: 0001209191-22-052200 · doc4.xml · derivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305,000

Underlying: Common Stock · 305,000 shares

Expires 2032-10-02

F1 · kind: The stock option was granted pursuant to the Issuer's 2022 Inducement Plan.

F2 · derivative.exercise_date: 1/4th of the total stock option will vest and become exercisable on the first anniversary of the vesting commencement date of October 3, 2022 ("VCD"), and 1/36th of the remaining stock option will vest and become exercisable monthly on the same day of each month following the VCD, subject to the continued service of the Reporting Person on each vesting date.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 14

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 130,000 shares

Expires not disclosed

F21 · derivative.exercise_price: Pursuant to the Merger Agreement, the restricted stock units were cancelled in exchange for a cash payment of $1,300,000.00, which is the product of the total number of shares subject to such restricted stock unit grant multiplied by the Offer Price.

F20 · price: The restricted stock units were granted on September 18, 2017 and 25% of the shares vest on each anniversary of the grant date for four years.

F22 · derivative.exercise_date: The restricted stock units were granted on January 31, 2018 and 25% of the shares vest on each anniversary of the grant date for four years.

F18 · derivative.expiration_date: The restricted stock units expire upon the earlier of the settlement of the units and the unitholder's termination of service.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 13

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires not disclosed

F19 · derivative.exercise_price: Pursuant to the Merger Agreement, the restricted stock units were cancelled in exchange for a cash payment of $120,000.00, which is the product of the total number of shares subject to such restricted stock unit grant multiplied by the Offer Price.

F19 · price: Pursuant to the Merger Agreement, the restricted stock units were cancelled in exchange for a cash payment of $120,000.00, which is the product of the total number of shares subject to such restricted stock unit grant multiplied by the Offer Price.

F20 · derivative.exercise_date: The restricted stock units were granted on September 18, 2017 and 25% of the shares vest on each anniversary of the grant date for four years.

F18 · derivative.expiration_date: The restricted stock units expire upon the earlier of the settlement of the units and the unitholder's termination of service.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 12

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,800 shares

Expires not disclosed

F16 · derivative.exercise_price: Pursuant to the Merger Agreement, the restricted stock units were cancelled in exchange for a cash payment of $78,000.00, which is the product of the total number of shares subject to such restricted stock unit grant multiplied by the Offer Price.

F16 · price: Pursuant to the Merger Agreement, the restricted stock units were cancelled in exchange for a cash payment of $78,000.00, which is the product of the total number of shares subject to such restricted stock unit grant multiplied by the Offer Price.

F17 · derivative.exercise_date: The restricted stock units were granted on January 11, 2017 and 25% of the shares vest on each anniversary of the grant date for four years.

F18 · derivative.expiration_date: The restricted stock units expire upon the earlier of the settlement of the units and the unitholder's termination of service.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 11

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2027-09-18

F15 · price: Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $300,500.00, which represents the product of (a) the difference between $10.00 and the exercise price of the option per share, multiplied by (b) the number of shares subject to the option.

F14 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary of the grant date of September 18, 2017, and the remainder vest monthly thereafter for 36 months.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 10

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,100 shares

Expires 2027-01-11

F13 · price: Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $188,136.00, which represents the product of (a) the difference between $10.00 and the exercise price of the option per share, multiplied by (b) the number of shares subject to the option.

F12 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary of the grant date of January 11, 2017, and the remainder vest monthly thereafter for 36 months.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 9

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,834 shares

Expires 2024-05-17

F11 · price: Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $64,585.40, which represents the product of (a) the difference between $10.00 and the exercise price of the option per share, multiplied by (b) the number of shares subject to the option.

F9 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary of the grant date of May 17, 2016, and the remainder vest monthly thereafter for 36 months.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 8

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,334 shares

Expires 2024-05-17

F10 · price: Pursuant to the Merger Agreement, the option was cancelled in exchange for a cash payment of $25,835.40, which represents the product of (a) the difference between $10.00 and the exercise price of the option per share, multiplied by (b) the number of shares subject to the option.

F9 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary of the grant date of May 17, 2016, and the remainder vest monthly thereafter for 36 months.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 7

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,834 shares

Expires 2023-09-24

F3 · price: Pursuant to the Merger Agreement, the option was cancelled and terminated without payment because the exercise price exceeded the Offer Price.

F8 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary of the grant date of September 24, 2015, and the remainder vest monthly thereafter for 36 months.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 6

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,250 shares

Expires 2022-12-16

F3 · price: Pursuant to the Merger Agreement, the option was cancelled and terminated without payment because the exercise price exceeded the Offer Price.

F7 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary of the grant date of December 16, 2014, and the remainder vest monthly thereafter for 36 months.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 5

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2021-12-12

F3 · price: Pursuant to the Merger Agreement, the option was cancelled and terminated without payment because the exercise price exceeded the Offer Price.

F6 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary of the grant date of December 12, 2013, and the remainder vest monthly thereafter for 36 months.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 4

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,250 shares

Expires 2020-12-12

F3 · price: Pursuant to the Merger Agreement, the option was cancelled and terminated without payment because the exercise price exceeded the Offer Price.

F5 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary of the grant date of December 12, 2012, and the remainder vest monthly thereafter for 36 months.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 3

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 334 shares

Expires 2019-12-01

F3 · price: Pursuant to the Merger Agreement, the option was cancelled and terminated without payment because the exercise price exceeded the Offer Price.

F4 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary of the grant date of December 1, 2011, and the remainder vest monthly thereafter for 36 months.

SEC source: 0000899243-18-007310 · doc4.xml · derivative · entry 2

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2019-09-30

F3 · price: Pursuant to the Merger Agreement, the option was cancelled and terminated without payment because the exercise price exceeded the Offer Price.

F2 · derivative.exercise_date: 25% of the shares subject to the option vest on the first anniversary of the grant date of September 30, 2011, and the remainder vest monthly thereafter for 36 months.

SEC source: 0000899243-18-007310 · doc4.xml · nonDerivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Shares of Common Stock tendered in the tender offer launched by Valley Acquisition Sub, Inc. on February 8, 2018 pursuant to that certain Agreement and Plan of Merger, dated January 30, 2018, among Seattle Genetics, Inc., Valley Acquisition Sub, Inc., and Cascadian Therapeutics, Inc. (the "Merger Agreement"), to acquire all of the outstanding shares of common stock of Cascadian Therapeutics, Inc., par value $0.0001 per share, at a purchase price of $10.00 per share ("Offer Price"), net to the seller in cash, without interest and less any required withholding taxes.

SEC source: 0001209191-18-007137 · doc4.xml · derivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2022-02-01

F1 · derivative.exercise_price: Approximately 70% of each RSU represents a contingent right to receive approximately 0.70 share of the issuer's Common Stock upon vesting and approximately 30% represents a contingent right to receive cash upon vesting, which cash will be used to facilitate the holder's satisfaction of U.S. federal tax obligations in connection with the vesting of the RSUs.

F2 · derivative.exercise_date: Twenty-five percent of the shares underlying the RSU vest on each of February 1, 2019, February 1, 2020, February 1, 2021 and February 1, 2022, subject to the holder's continued employment with the issuer on each vesting date.

SEC source: 0001209191-18-003648 · doc4.xml · derivative · entry 3

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,850

Underlying: Common Stock · 1,950 shares

Expires 2027-01-11

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

F2 · derivative.exercise_price: Approximately 67% of each RSU represents a contingent right to receive approximately 0.67 share of the issuer's Common Stock upon vesting and approximately 33% represents a contingent right to receive cash upon vesting, which cash will be used to facilitate the holder's satisfaction of U.S. federal tax obligations in connection with the vesting of the RSUs.

F3 · derivative.exercise_date: Twenty-five percent of the shares underlying the RSU vest on each of January 11, 2018, January 11, 2019, January 11, 2020 and January 11, 2021, subject to the holder's continued employment with the issuer on each vesting date.

SEC source: 0001209191-18-003648 · doc4.xml · nonDerivative · entry 2

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,303

F1 · shares: 637 shares of the restricted share unit ("RSU") grant, which represent approximately 33% of the shares underlying the RSU grant that vested on January 11, 2018, were not issued to the reporting holder; instead the reporting holder received an amount in cash from the issuer equal to the value of such shares based on the closing price of the issuer's Common Stock on January 11, 2018 to facilitate such holder's satisfaction of U.S. federal income tax obligations in connection with the vesting of the RSUs, which transaction does not represent a sale by the reporting person.

F1 · price: 637 shares of the restricted share unit ("RSU") grant, which represent approximately 33% of the shares underlying the RSU grant that vested on January 11, 2018, were not issued to the reporting holder; instead the reporting holder received an amount in cash from the issuer equal to the value of such shares based on the closing price of the issuer's Common Stock on January 11, 2018 to facilitate such holder's satisfaction of U.S. federal income tax obligations in connection with the vesting of the RSUs, which transaction does not represent a sale by the reporting person.

SEC source: 0001209191-18-003648 · doc4.xml · nonDerivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,940

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.

SEC source: 0001209191-17-053538 · doc4.xml · derivative · entry 2

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2021-09-18

F2 · derivative.exercise_price: Approximately 67% of each RSU represents a contingent right to receive approximately 0.67 share of the issuer's Common Stock upon vesting and approximately 33% represents a contingent right to receive cash upon vesting, which cash will be used to facilitate the holder's satisfaction of U.S. federal tax obligations in connection with the vesting of the RSUs.

F3 · derivative.exercise_date: Twenty-five percent of the shares underlying the RSU vest on each of September 18, 2018, September 18, 2019, September 18, 2020 and September 18, 2021, subject to the holder's continued employment with the issuer on each vesting date.

SEC source: 0001209191-17-053538 · doc4.xml · derivative · entry 1

Walker Luke Nathaniel · CIK 0001701440 · SVP, Clinical Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-09-18

F1 · derivative.exercise_date: The option vests and is exercisable at the rate of 1/4th of the total shares on September 18, 2018 and then 1/48th of the total shares vest and are exercisable monthly thereafter, with 100% vested and exercisable on September 18, 2021, subject to the holder's continued employment with the issuer on each vesting date.