Garland J. Scott

SEC source: 0001533228-26-000009 · form4-10052026_081059.xml · derivative · entry 3

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,372

Underlying: Common Stock · 13,000 shares

Expires 2036-01-07

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_date: The option, originally for 59,372 shares, vests as to 1/36th of the shares on February 7, 2026 and each month thereafter, subject to the Reporting Person continuing as an outside director through each such date.

SEC source: 0001533228-26-000009 · form4-10052026_081059.xml · nonDerivative · entry 2

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: This transaction was executed in multiple trades at prices ranging from $46.62 to $46.87. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

SEC source: 0001533228-26-000009 · form4-10052026_081059.xml · nonDerivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,000

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.

SEC source: 0001533228-26-000008 · form4-06232026_090620.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,500

Underlying: Common Stock · 29,500 shares

Expires 2036-06-18

F1 · derivative.exercise_date: The shares subject to the option vest in a series of 12 successive equal monthly installments measured from June 18, 2026, subject to the Reporting Person's continuous service through each applicable vesting date. Such shares vest in full on the date of the Issuer's next annual meeting of stockholders if such stock option is not otherwise fully vested by such date, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001533228-26-000006 · form4-06052026_090631.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2036-06-02

F1 · derivative.exercise_date: 100% of the shares underlying the option vest on the earlier of (i) June 3, 2027 or (ii) the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001533228-26-000004 · form4-04232026_080429.xml · derivative · entry 6

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F6 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.

F2 · price: On March 6, 2026, Servier Pharmaceuticals LLC, a Delaware limited liability company ("Parent"), Servier Detroit Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Day One Biopharmaceuticals, Inc., a Delaware corporation (the "Company"), and Servier S.A.S., a French societe par actions simplifiee, solely as a guarantor, entered into an Agreement and Plan of Merger (the "Merger Agreement"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (such merger and the other transactions contemplated by the Merger Agreement, the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent.

F3 · price: Upon the closing of the Merger on April 23, 2026, each issued and outstanding share of the Company's Common Stock, par value $0.0001 per share, was either (x) purchased for $21.50 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to applicable withholding taxes, on the terms and conditions set forth in the Merger Agreement, or (y) automatically converted into the right to receive the Offer Price (the "Merger Consideration"), net to the seller in cash, without interest, and subject to applicable withholding taxes, on the terms and conditions set forth in the Merger Agreement.

F4 · price: Immediately prior to the effective time of the Merger, all outstanding unvested stock options and unvested restricted stock units became fully vested. At the effective time of the Merger, each stock option and restricted stock unit was canceled and converted into the right to receive an amount in cash equal to the Merger Consideration (or, in the case of stock options, the difference between the Merger Consideration and the applicable per share exercise price), less any applicable withholding taxes.

F7 · derivative.exercise_date: The RSUs will vest as to 100% of the award on the earlier of (i) June 2, 2026 and (ii) the date of the Issuer's 2026 annual meeting of stockholders (in each case, the "RSU Vesting Date"), subject to the Reporting Person's provision of services to the Issuer on each RSU Vesting Date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person following vesting.

F8 · derivative.expiration_date: RSUs do not expire; they either vest or are canceled prior to the RSU Vesting Date.

SEC source: 0001533228-26-000004 · form4-04232026_080429.xml · derivative · entry 5

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,500 shares

Expires 2035-06-01

F2 · price: On March 6, 2026, Servier Pharmaceuticals LLC, a Delaware limited liability company ("Parent"), Servier Detroit Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Day One Biopharmaceuticals, Inc., a Delaware corporation (the "Company"), and Servier S.A.S., a French societe par actions simplifiee, solely as a guarantor, entered into an Agreement and Plan of Merger (the "Merger Agreement"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (such merger and the other transactions contemplated by the Merger Agreement, the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent.

F3 · price: Upon the closing of the Merger on April 23, 2026, each issued and outstanding share of the Company's Common Stock, par value $0.0001 per share, was either (x) purchased for $21.50 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to applicable withholding taxes, on the terms and conditions set forth in the Merger Agreement, or (y) automatically converted into the right to receive the Offer Price (the "Merger Consideration"), net to the seller in cash, without interest, and subject to applicable withholding taxes, on the terms and conditions set forth in the Merger Agreement.

F4 · price: Immediately prior to the effective time of the Merger, all outstanding unvested stock options and unvested restricted stock units became fully vested. At the effective time of the Merger, each stock option and restricted stock unit was canceled and converted into the right to receive an amount in cash equal to the Merger Consideration (or, in the case of stock options, the difference between the Merger Consideration and the applicable per share exercise price), less any applicable withholding taxes.

F5 · derivative.exercise_date: The option vests as to 1/12th of the total grant on each monthly anniversary, beginning on July 2, 2025, subject to the Reporting Person's provision of service to the Issuer on each option vesting date.

SEC source: 0001533228-26-000004 · form4-04232026_080429.xml · derivative · entry 4

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,335 shares

Expires 2034-05-22

F2 · price: On March 6, 2026, Servier Pharmaceuticals LLC, a Delaware limited liability company ("Parent"), Servier Detroit Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Day One Biopharmaceuticals, Inc., a Delaware corporation (the "Company"), and Servier S.A.S., a French societe par actions simplifiee, solely as a guarantor, entered into an Agreement and Plan of Merger (the "Merger Agreement"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (such merger and the other transactions contemplated by the Merger Agreement, the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent.

F3 · price: Upon the closing of the Merger on April 23, 2026, each issued and outstanding share of the Company's Common Stock, par value $0.0001 per share, was either (x) purchased for $21.50 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to applicable withholding taxes, on the terms and conditions set forth in the Merger Agreement, or (y) automatically converted into the right to receive the Offer Price (the "Merger Consideration"), net to the seller in cash, without interest, and subject to applicable withholding taxes, on the terms and conditions set forth in the Merger Agreement.

F4 · price: Immediately prior to the effective time of the Merger, all outstanding unvested stock options and unvested restricted stock units became fully vested. At the effective time of the Merger, each stock option and restricted stock unit was canceled and converted into the right to receive an amount in cash equal to the Merger Consideration (or, in the case of stock options, the difference between the Merger Consideration and the applicable per share exercise price), less any applicable withholding taxes.

F1 · derivative.exercise_date: The options are fully vested.

SEC source: 0001533228-26-000004 · form4-04232026_080429.xml · derivative · entry 3

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2033-06-21

F2 · price: On March 6, 2026, Servier Pharmaceuticals LLC, a Delaware limited liability company ("Parent"), Servier Detroit Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Day One Biopharmaceuticals, Inc., a Delaware corporation (the "Company"), and Servier S.A.S., a French societe par actions simplifiee, solely as a guarantor, entered into an Agreement and Plan of Merger (the "Merger Agreement"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (such merger and the other transactions contemplated by the Merger Agreement, the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent.

F3 · price: Upon the closing of the Merger on April 23, 2026, each issued and outstanding share of the Company's Common Stock, par value $0.0001 per share, was either (x) purchased for $21.50 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to applicable withholding taxes, on the terms and conditions set forth in the Merger Agreement, or (y) automatically converted into the right to receive the Offer Price (the "Merger Consideration"), net to the seller in cash, without interest, and subject to applicable withholding taxes, on the terms and conditions set forth in the Merger Agreement.

F4 · price: Immediately prior to the effective time of the Merger, all outstanding unvested stock options and unvested restricted stock units became fully vested. At the effective time of the Merger, each stock option and restricted stock unit was canceled and converted into the right to receive an amount in cash equal to the Merger Consideration (or, in the case of stock options, the difference between the Merger Consideration and the applicable per share exercise price), less any applicable withholding taxes.

F1 · derivative.exercise_date: The options are fully vested.

SEC source: 0001533228-26-000004 · form4-04232026_080429.xml · derivative · entry 2

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,700 shares

Expires 2032-06-20

F2 · price: On March 6, 2026, Servier Pharmaceuticals LLC, a Delaware limited liability company ("Parent"), Servier Detroit Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Day One Biopharmaceuticals, Inc., a Delaware corporation (the "Company"), and Servier S.A.S., a French societe par actions simplifiee, solely as a guarantor, entered into an Agreement and Plan of Merger (the "Merger Agreement"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (such merger and the other transactions contemplated by the Merger Agreement, the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent.

F3 · price: Upon the closing of the Merger on April 23, 2026, each issued and outstanding share of the Company's Common Stock, par value $0.0001 per share, was either (x) purchased for $21.50 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to applicable withholding taxes, on the terms and conditions set forth in the Merger Agreement, or (y) automatically converted into the right to receive the Offer Price (the "Merger Consideration"), net to the seller in cash, without interest, and subject to applicable withholding taxes, on the terms and conditions set forth in the Merger Agreement.

F4 · price: Immediately prior to the effective time of the Merger, all outstanding unvested stock options and unvested restricted stock units became fully vested. At the effective time of the Merger, each stock option and restricted stock unit was canceled and converted into the right to receive an amount in cash equal to the Merger Consideration (or, in the case of stock options, the difference between the Merger Consideration and the applicable per share exercise price), less any applicable withholding taxes.

F1 · derivative.exercise_date: The options are fully vested.

SEC source: 0001533228-26-000004 · form4-04232026_080429.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 48,072 shares

Expires 2031-08-15

F2 · price: On March 6, 2026, Servier Pharmaceuticals LLC, a Delaware limited liability company ("Parent"), Servier Detroit Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Day One Biopharmaceuticals, Inc., a Delaware corporation (the "Company"), and Servier S.A.S., a French societe par actions simplifiee, solely as a guarantor, entered into an Agreement and Plan of Merger (the "Merger Agreement"). Pursuant to the Merger Agreement, the Merger Sub merged with and into the Company (such merger and the other transactions contemplated by the Merger Agreement, the "Merger") with the Company surviving the Merger as a wholly owned subsidiary of the Parent.

F3 · price: Upon the closing of the Merger on April 23, 2026, each issued and outstanding share of the Company's Common Stock, par value $0.0001 per share, was either (x) purchased for $21.50 per share (the "Offer Price"), net to the seller in cash, without interest, and subject to applicable withholding taxes, on the terms and conditions set forth in the Merger Agreement, or (y) automatically converted into the right to receive the Offer Price (the "Merger Consideration"), net to the seller in cash, without interest, and subject to applicable withholding taxes, on the terms and conditions set forth in the Merger Agreement.

F4 · price: Immediately prior to the effective time of the Merger, all outstanding unvested stock options and unvested restricted stock units became fully vested. At the effective time of the Merger, each stock option and restricted stock unit was canceled and converted into the right to receive an amount in cash equal to the Merger Consideration (or, in the case of stock options, the difference between the Merger Consideration and the applicable per share exercise price), less any applicable withholding taxes.

F1 · derivative.exercise_date: The options are fully vested.

SEC source: 0001533228-26-000003 · form4-02182026_120252.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,427

Underlying: Common Stock · 1,427 shares

Expires 2036-02-12

F1 · derivative.exercise_date: 100% of the shares subject to the option will vest on the earlier of (i) the first anniversary of the 2026 annual meeting of the Issuer's stockholders or (ii) the date of the 2027 annual meeting of the Issuer's stockholders, subject to the Reporting Person continuing as a non-employee director through the applicable vesting date.

SEC source: 0001193125-26-018037 · ownership.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,400

Underlying: Common Stock · 40,400 shares

Expires 2036-01-19

F1 · derivative.exercise_date: Shares subject to the option vest in 12 equal monthly installments beginning on February 20, 2026.

SEC source: 0001533228-26-000002 · form4-01092026_110126.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,372

Underlying: Common Stock · 59,372 shares

Expires 2036-01-07

F1 · derivative.exercise_date: 1/36th of the shares subject to the option will vest on February 7, 2026 and each month thereafter, subject to the Reporting Person continuing as an outside director through each such date.

SEC source: 0001533228-25-000004 · form4-11072025_111128.xml · derivative · entry 8

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,335

Underlying: Common Stock · 32,335 shares

Expires 2034-05-22

F1 · kind: On October 7, 2025, the Issuer's Board of Directors approved an option repricing (the "Repricing") whereby the Reporting Person's options were repriced on November 6, 2025 (the "Effective Date") with a new exercise price of $8.99 (if lower than the original exercise price), the closing price on Nasdaq as of the Effective Date. In order to exercise the repriced options at the new exercise price, the Reporting Person is required to remain in service with the Issuer through the Retention Period; provided that the additional premium payment will not be required if the Reporting Person's service to the Issuer is terminated by reason of death or Disability (as defined in the Company's 2021 Equity Incentive Plan ("the Plan")).

F2 · kind: (Continued from Footnote 1) The "Retention Period" commenced on the Effective Date and ends upon the earliest of (i) the 12-month anniversary of the Effective Date and (ii) a Corporate Transaction (as defined in the Plan). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: The options are fully vested.

SEC source: 0001533228-25-000004 · form4-11072025_111128.xml · derivative · entry 7

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,335 shares

Expires 2034-05-22

F1 · kind: On October 7, 2025, the Issuer's Board of Directors approved an option repricing (the "Repricing") whereby the Reporting Person's options were repriced on November 6, 2025 (the "Effective Date") with a new exercise price of $8.99 (if lower than the original exercise price), the closing price on Nasdaq as of the Effective Date. In order to exercise the repriced options at the new exercise price, the Reporting Person is required to remain in service with the Issuer through the Retention Period; provided that the additional premium payment will not be required if the Reporting Person's service to the Issuer is terminated by reason of death or Disability (as defined in the Company's 2021 Equity Incentive Plan ("the Plan")).

F2 · kind: (Continued from Footnote 1) The "Retention Period" commenced on the Effective Date and ends upon the earliest of (i) the 12-month anniversary of the Effective Date and (ii) a Corporate Transaction (as defined in the Plan). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: The options are fully vested.

SEC source: 0001533228-25-000004 · form4-11072025_111128.xml · derivative · entry 6

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2033-06-21

F1 · kind: On October 7, 2025, the Issuer's Board of Directors approved an option repricing (the "Repricing") whereby the Reporting Person's options were repriced on November 6, 2025 (the "Effective Date") with a new exercise price of $8.99 (if lower than the original exercise price), the closing price on Nasdaq as of the Effective Date. In order to exercise the repriced options at the new exercise price, the Reporting Person is required to remain in service with the Issuer through the Retention Period; provided that the additional premium payment will not be required if the Reporting Person's service to the Issuer is terminated by reason of death or Disability (as defined in the Company's 2021 Equity Incentive Plan ("the Plan")).

F2 · kind: (Continued from Footnote 1) The "Retention Period" commenced on the Effective Date and ends upon the earliest of (i) the 12-month anniversary of the Effective Date and (ii) a Corporate Transaction (as defined in the Plan). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: The options are fully vested.

SEC source: 0001533228-25-000004 · form4-11072025_111128.xml · derivative · entry 5

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2033-06-21

F1 · kind: On October 7, 2025, the Issuer's Board of Directors approved an option repricing (the "Repricing") whereby the Reporting Person's options were repriced on November 6, 2025 (the "Effective Date") with a new exercise price of $8.99 (if lower than the original exercise price), the closing price on Nasdaq as of the Effective Date. In order to exercise the repriced options at the new exercise price, the Reporting Person is required to remain in service with the Issuer through the Retention Period; provided that the additional premium payment will not be required if the Reporting Person's service to the Issuer is terminated by reason of death or Disability (as defined in the Company's 2021 Equity Incentive Plan ("the Plan")).

F2 · kind: (Continued from Footnote 1) The "Retention Period" commenced on the Effective Date and ends upon the earliest of (i) the 12-month anniversary of the Effective Date and (ii) a Corporate Transaction (as defined in the Plan). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: The options are fully vested.

SEC source: 0001533228-25-000004 · form4-11072025_111128.xml · derivative · entry 4

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,700

Underlying: Common Stock · 28,700 shares

Expires 2032-06-20

F1 · kind: On October 7, 2025, the Issuer's Board of Directors approved an option repricing (the "Repricing") whereby the Reporting Person's options were repriced on November 6, 2025 (the "Effective Date") with a new exercise price of $8.99 (if lower than the original exercise price), the closing price on Nasdaq as of the Effective Date. In order to exercise the repriced options at the new exercise price, the Reporting Person is required to remain in service with the Issuer through the Retention Period; provided that the additional premium payment will not be required if the Reporting Person's service to the Issuer is terminated by reason of death or Disability (as defined in the Company's 2021 Equity Incentive Plan ("the Plan")).

F2 · kind: (Continued from Footnote 1) The "Retention Period" commenced on the Effective Date and ends upon the earliest of (i) the 12-month anniversary of the Effective Date and (ii) a Corporate Transaction (as defined in the Plan). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: The options are fully vested.

SEC source: 0001533228-25-000004 · form4-11072025_111128.xml · derivative · entry 3

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 28,700 shares

Expires 2032-06-20

F1 · kind: On October 7, 2025, the Issuer's Board of Directors approved an option repricing (the "Repricing") whereby the Reporting Person's options were repriced on November 6, 2025 (the "Effective Date") with a new exercise price of $8.99 (if lower than the original exercise price), the closing price on Nasdaq as of the Effective Date. In order to exercise the repriced options at the new exercise price, the Reporting Person is required to remain in service with the Issuer through the Retention Period; provided that the additional premium payment will not be required if the Reporting Person's service to the Issuer is terminated by reason of death or Disability (as defined in the Company's 2021 Equity Incentive Plan ("the Plan")).

F2 · kind: (Continued from Footnote 1) The "Retention Period" commenced on the Effective Date and ends upon the earliest of (i) the 12-month anniversary of the Effective Date and (ii) a Corporate Transaction (as defined in the Plan). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: The options are fully vested.

SEC source: 0001533228-25-000004 · form4-11072025_111128.xml · derivative · entry 2

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,072

Underlying: Common Stock · 48,072 shares

Expires 2031-08-15

F1 · kind: On October 7, 2025, the Issuer's Board of Directors approved an option repricing (the "Repricing") whereby the Reporting Person's options were repriced on November 6, 2025 (the "Effective Date") with a new exercise price of $8.99 (if lower than the original exercise price), the closing price on Nasdaq as of the Effective Date. In order to exercise the repriced options at the new exercise price, the Reporting Person is required to remain in service with the Issuer through the Retention Period; provided that the additional premium payment will not be required if the Reporting Person's service to the Issuer is terminated by reason of death or Disability (as defined in the Company's 2021 Equity Incentive Plan ("the Plan")).

F2 · kind: (Continued from Footnote 1) The "Retention Period" commenced on the Effective Date and ends upon the earliest of (i) the 12-month anniversary of the Effective Date and (ii) a Corporate Transaction (as defined in the Plan). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: The options are fully vested.

SEC source: 0001533228-25-000004 · form4-11072025_111128.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 48,072 shares

Expires 2031-08-15

F1 · kind: On October 7, 2025, the Issuer's Board of Directors approved an option repricing (the "Repricing") whereby the Reporting Person's options were repriced on November 6, 2025 (the "Effective Date") with a new exercise price of $8.99 (if lower than the original exercise price), the closing price on Nasdaq as of the Effective Date. In order to exercise the repriced options at the new exercise price, the Reporting Person is required to remain in service with the Issuer through the Retention Period; provided that the additional premium payment will not be required if the Reporting Person's service to the Issuer is terminated by reason of death or Disability (as defined in the Company's 2021 Equity Incentive Plan ("the Plan")).

F2 · kind: (Continued from Footnote 1) The "Retention Period" commenced on the Effective Date and ends upon the earliest of (i) the 12-month anniversary of the Effective Date and (ii) a Corporate Transaction (as defined in the Plan). All of the other terms of the options remain unchanged. Such transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act, as applicable.

F3 · derivative.exercise_date: The options are fully vested.

SEC source: 0001415889-25-024446 · form4-09122025_060909.xml · derivative · entry 5

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,449

Underlying: Common Stock · 22,449 shares

Expires 2035-09-09

F4 · derivative.exercise_date: The option award shall vest in three (3) equal annual installments on September 10, 2026, September 10, 2027 and September 10, 2028, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001415889-25-024446 · form4-09122025_060909.xml · derivative · entry 4

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,585

Underlying: Common Stock · 3,585 shares

Expires 2034-06-05

F2 · price: The transactions reported herein reflect a one-time stock option repricing, effective on September 10, 2025, which reduced the per share exercise price of each repriced option to $15, representing the initial public offering price of the Issuer's common stock (the "Option Repricing"). Except as modified by the Option Repricing, all other terms and conditions of the repriced options, including, without limitation, any provisions with respect to vesting, remain in full force and effect.

F3 · derivative.exercise_date: One fourth (1/4) of the shares subject to the option award vested on January 31, 2025 and the remaining shares subject to the option vested or shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001415889-25-024446 · form4-09122025_060909.xml · derivative · entry 3

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,585 shares

Expires 2034-06-05

F2 · price: The transactions reported herein reflect a one-time stock option repricing, effective on September 10, 2025, which reduced the per share exercise price of each repriced option to $15, representing the initial public offering price of the Issuer's common stock (the "Option Repricing"). Except as modified by the Option Repricing, all other terms and conditions of the repriced options, including, without limitation, any provisions with respect to vesting, remain in full force and effect.

F3 · derivative.exercise_date: One fourth (1/4) of the shares subject to the option award vested on January 31, 2025 and the remaining shares subject to the option vested or shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001415889-25-024446 · form4-09122025_060909.xml · derivative · entry 2

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,929

Underlying: Common Stock · 17,929 shares

Expires 2034-03-03

F2 · price: The transactions reported herein reflect a one-time stock option repricing, effective on September 10, 2025, which reduced the per share exercise price of each repriced option to $15, representing the initial public offering price of the Issuer's common stock (the "Option Repricing"). Except as modified by the Option Repricing, all other terms and conditions of the repriced options, including, without limitation, any provisions with respect to vesting, remain in full force and effect.

F1 · derivative.exercise_date: One fourth (1/4) of the shares subject to the option award vested on March 4, 2025 and the remaining shares subject to the option vested or shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001415889-25-024446 · form4-09122025_060909.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,929 shares

Expires 2034-03-03

F2 · price: The transactions reported herein reflect a one-time stock option repricing, effective on September 10, 2025, which reduced the per share exercise price of each repriced option to $15, representing the initial public offering price of the Issuer's common stock (the "Option Repricing"). Except as modified by the Option Repricing, all other terms and conditions of the repriced options, including, without limitation, any provisions with respect to vesting, remain in full force and effect.

F1 · derivative.exercise_date: One fourth (1/4) of the shares subject to the option award vested on March 4, 2025 and the remaining shares subject to the option vested or shall vest in thirty-six (36) equal monthly installments thereafter, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001415889-25-017239 · form4-06132025_050626.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,150

Underlying: Common Stock · 24,150 shares

Expires 2035-06-11

F1 · derivative.exercise_date: The shares subject to the option vest in a series of 12 successive equal monthly installments measured from June 11, 2025, subject to the Reporting Person's continuous service through each applicable vesting date. Such shares vest in full on the date of the Issuer's next annual meeting of stockholders if such stock option is not otherwise fully vested by such date, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001415889-25-015624 · form4-06042025_090626.xml · derivative · entry 2

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock upon settlement for no consideration.

F3 · derivative.exercise_date: The RSUs will vest as to 100% of the award on the earlier of (i) June 2, 2026 and (ii) the date of the Issuer's 2026 annual meeting of stockholders (in each case, the "RSU Vesting Date"), subject to the Reporting Person's provision of services to the Issuer on each vesting date. On the RSU Vesting Date, pursuant to the Reporting Person's election, the RSUs will automatically convert into an equal number of deferred stock units, which will be settled for an equal number of shares of the Issuer's Common Stock on the earlier of the calendar year 2030 or the Reporting Person's separation with the Issuer. Notwithstanding the aforementioned deferral period, from and after the RSU Vesting Date, the deferred stock units may settle earlier upon the Reporting Person's death, disability, or separation from service with the Issuer, or upon the occurrence of an "unforeseeable emergency," as that term is defined under the Issuer's deferred compensation plan.

F4 · derivative.expiration_date: RSUs do not expire; they either vest or are canceled prior to the RSU Vesting Date.

SEC source: 0001415889-25-015624 · form4-06042025_090626.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2035-06-01

F1 · derivative.exercise_date: The option vests as to 1/12th of the total grant on each monthly anniversary, beginning on July 2, 2025, subject to the Reporting Person's provision of service to the Issuer on each option vesting date.

SEC source: 0001415889-25-001981 · form4-01232025_110148.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,400

Underlying: Common Stock · 40,400 shares

Expires 2035-01-20

F1 · derivative.exercise_date: Shares subject to the option vest in 12 equal monthly installments beginning on February 21, 2025.

SEC source: 0001415889-24-017442 · form4-06182024_050607.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2034-06-14

F1 · derivative.exercise_date: The shares subject to the option vest in a series of 12 successive equal monthly installments measured from June 14, 2024, subject to the Reporting Person's continuous service through each applicable vesting date. Such shares vest in full on the date of the Issuer's next annual meeting of stockholders if such stock option is not otherwise fully vested by such date, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001415889-24-016952 · form4-06142024_080642.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,200

Underlying: Common Stock · 20,200 shares

Expires 2034-06-12

F1 · derivative.exercise_date: Shares subject to the option vest in 12 equal monthly installments on the 13th day of the month, or if earlier, the day immediately before the day of the next annual meeting of stockholders.

SEC source: 0001415889-24-014732 · form4-05282024_100503.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,335

Underlying: Common Stock · 32,335 shares

Expires 2034-05-22

F1 · derivative.exercise_date: The option vests as to 1/12th of the total grant on each monthly anniversary, beginning on June 23, 2024, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001415889-23-014345 · form4-10172023_081046.xml · derivative · entry 2

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,347

Underlying: Common Stock · 14,347 shares

Expires 2033-10-15

F2 · derivative.exercise_date: The shares subject to the option vest in equal monthly installments measured from October 16, 2023, subject to the Reporting Person's continuous service through each applicable vesting date. Such shares will vest in full on the earlier of June 16, 2024 and the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0001415889-23-014345 · form4-10172023_081046.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,520

Underlying: Common Stock · 21,520 shares

Expires 2033-10-15

F1 · derivative.exercise_date: The shares subject to the option vest in a series of 36 successive equal monthly installments measured from October 16, 2023, subject to the Reporting Person's continuous service through each applicable vesting date.

SEC source: 0001209191-23-039804 · doc4.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The option vests as to 1/12th of the total grant on each monthly anniversary, beginning on July 22, 2023, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001209191-23-039072 · doc4.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,100

Underlying: Common Stock · 10,100 shares

Expires 2033-06-19

F1 · derivative.exercise_date: Shares subject to the option vest in 12 equal monthly installments on the 20th day of the month, or if earlier, the day immediately before the day of the next annual meeting of stockholders.

SEC source: 0001209191-22-058946 · doc4.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,009

Underlying: Common Stock · 24,009 shares

Expires 2032-11-28

F1 · derivative.exercise_date: Shares subject to the option vest in 36 equal monthly installments beginning on December 28, 2022.

SEC source: 0001209191-22-039048 · doc4.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,700

Underlying: Common Stock · 28,700 shares

Expires 2032-06-20

F1 · derivative.exercise_date: The option vests as to 1/12th of the total shares on each monthly anniversary, beginning on July 21, 2022, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0000899243-22-020932 · doc4.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-05-31

F1 · derivative.exercise_date: 1/12 of the Option vests in each monthly installment as measured from June 01, 2022, until the earlier of the Option's full vesting or the reporting person ceasing to provide continuous service to the issuer. In addition, in the event of a Change in Control or a Corporate Transaction (each as defined in the plan pursuant to which the Option was granted), any unvested portion of the Option will fully vest and become exercisable as of immediately prior to the effective time of such Change in Control or Corporate Transaction, subject to the reporting person's continuous service on the effective date of such transaction.

SEC source: 0001209191-21-052394 · doc4.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,072

Underlying: Common Stock · 48,072 shares

Expires 2031-08-15

F1 · derivative.exercise_date: The option vests as to 1/36th of the total shares on each monthly anniversary, beginning on August 16, 2021, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0000899243-21-023537 · doc4.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2031-06-10

F1 · derivative.exercise_date: 1/12 of the Option vests in each monthly installment as measured from June 11, 2021, until the earlier of the Option's full vesting or the reporting person ceasing to provide continuous service to the issuer. In addition, in the event of a Change in Control or a Corporate Transaction (each as defined in the plan pursuant to which the Option was granted), any unvested portion of the Option will fully vest and become exercisable as of immediately prior to the effective time of such Change in Control or Corporate Transaction, subject to the reporting person's continuous service on the effective date of such transaction.

SEC source: 0000899243-20-021137 · doc4.xml · derivative · entry 1

Garland J. Scott · CIK 0001533228 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2030-07-30

F1 · derivative.exercise_date: 100% of the Option is initially subject to vesting pursuant to the Company's 2014 Equity Incentive Plan. The Option will vest in monthly installments as measured from 07/10/2020 over three years, until the earlier of the Option's full vesting or the reporting person ceasing to provide continuous service to the issuer. In addition, in the event of a Change in Control or a Corporate Transaction (each as defined in the plan pursuant to which the Option was granted), any unvested portion of the Option will fully vest and become exercisable as of immediately prior to the effective time of such Change in Control or Corporate Transaction, subject to the reporting person's continuous service on the effective date of such transaction.

SEC source: 0001209191-20-040317 · doc4.xml · derivative · entry 9

Garland J. Scott · CIK 0001533228 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 153,399 shares

Expires not disclosed

F8 · derivative.exercise_price: At the Effective Time, each restricted stock unit ("Issuer RSU") was converted into a restricted stock unit, subject to substantially the same terms and conditions as were applicable to such Issuer RSU, with respect to the number of shares of Alexion common stock determined by multiplying (i) the total number of shares subject to such Issuer RSU by (ii) the Exchange Ratio.

F8 · derivative.exercise_date: At the Effective Time, each restricted stock unit ("Issuer RSU") was converted into a restricted stock unit, subject to substantially the same terms and conditions as were applicable to such Issuer RSU, with respect to the number of shares of Alexion common stock determined by multiplying (i) the total number of shares subject to such Issuer RSU by (ii) the Exchange Ratio.

F8 · derivative.expiration_date: At the Effective Time, each restricted stock unit ("Issuer RSU") was converted into a restricted stock unit, subject to substantially the same terms and conditions as were applicable to such Issuer RSU, with respect to the number of shares of Alexion common stock determined by multiplying (i) the total number of shares subject to such Issuer RSU by (ii) the Exchange Ratio.

SEC source: 0001209191-20-040317 · doc4.xml · derivative · entry 8

Garland J. Scott · CIK 0001533228 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 370,400 shares

Expires not disclosed

F7 · derivative.exercise_price: In connection with the Merger, these options were accelerated and canceled without payment.

F7 · price: In connection with the Merger, these options were accelerated and canceled without payment.

F7 · derivative.exercise_date: In connection with the Merger, these options were accelerated and canceled without payment.

F7 · derivative.expiration_date: In connection with the Merger, these options were accelerated and canceled without payment.

SEC source: 0001209191-20-040317 · doc4.xml · derivative · entry 7

Garland J. Scott · CIK 0001533228 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires 2030-01-30

F6 · price: At the Effective Time, each of these unvested and outstanding options became fully vested (assuming performance at target), canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that were subject to such options and (ii) $18.00 less the applicable exercise price per share of such options, subject to any applicable withholding or other taxes required by applicable law.

F6 · derivative.exercise_date: At the Effective Time, each of these unvested and outstanding options became fully vested (assuming performance at target), canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that were subject to such options and (ii) $18.00 less the applicable exercise price per share of such options, subject to any applicable withholding or other taxes required by applicable law.

SEC source: 0001209191-20-040317 · doc4.xml · derivative · entry 6

Garland J. Scott · CIK 0001533228 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 shares

Expires 2030-01-30

F5 · price: At the Effective Time, each of these unvested and outstanding options was accelerated, canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options and (ii) $18.00 less the applicable exercise price per share of such options, subject to any applicable withholding or other taxes required by applicable law.

F5 · derivative.exercise_date: At the Effective Time, each of these unvested and outstanding options was accelerated, canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options and (ii) $18.00 less the applicable exercise price per share of such options, subject to any applicable withholding or other taxes required by applicable law.

SEC source: 0001209191-20-040317 · doc4.xml · derivative · entry 5

Garland J. Scott · CIK 0001533228 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F4 · derivative.exercise_price: In connection with the Merger, these performance restricted stock units were canceled without payment immediately prior to the Effective Time.

F4 · price: In connection with the Merger, these performance restricted stock units were canceled without payment immediately prior to the Effective Time.

F4 · derivative.exercise_date: In connection with the Merger, these performance restricted stock units were canceled without payment immediately prior to the Effective Time.

F4 · derivative.expiration_date: In connection with the Merger, these performance restricted stock units were canceled without payment immediately prior to the Effective Time.

SEC source: 0001209191-20-040317 · doc4.xml · derivative · entry 4

Garland J. Scott · CIK 0001533228 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Immediately prior to the Effective Time, each performance restricted stock unit ("Issuer PSU") was converted into a restricted stock unit with respect to the number of shares of Alexion common stock determined by multiplying (i) the total number of shares subject to such Issuer PSU by (ii) an exchange ratio equal to $18.00 divided by $112.39 (the "Exchange Ratio").

F3 · derivative.exercise_date: Immediately prior to the Effective Time, each performance restricted stock unit ("Issuer PSU") was converted into a restricted stock unit with respect to the number of shares of Alexion common stock determined by multiplying (i) the total number of shares subject to such Issuer PSU by (ii) an exchange ratio equal to $18.00 divided by $112.39 (the "Exchange Ratio").

F3 · derivative.expiration_date: Immediately prior to the Effective Time, each performance restricted stock unit ("Issuer PSU") was converted into a restricted stock unit with respect to the number of shares of Alexion common stock determined by multiplying (i) the total number of shares subject to such Issuer PSU by (ii) an exchange ratio equal to $18.00 divided by $112.39 (the "Exchange Ratio").