person · Reporting owner

BERGER FRANKLIN M

Disclosed activity across 10 companies

Tapewire entity: 35943
SEC CIK: 0001273885

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
Atea Pharmaceuticals, Inc.AVIR · Entity 5580	Director	June 18, 2026	June 23, 2026
Atreca, Inc.BCEL · Entity 91940	Director	June 13, 2023	June 15, 2023
ESSA Pharma Inc.EPIX · Entity 15763	Director	October 09, 2025	October 15, 2025
Forte Biosciences, Inc.TOCA · Entity 9529	Director	October 04, 2019	October 05, 2019
IMMUNE DESIGN CORP.IMDZ · Entity 158527	Director	April 02, 2019	April 04, 2019
KINETA, INC./DEPTI · Entity 77778	Director	June 29, 2020	July 01, 2020
Rain Oncology Inc.RAIN · Entity 94695	Director	January 26, 2024	January 26, 2024
Retension Pharmaceuticals, Inc.RTSN · Entity 184313	Director	October 13, 2026	October 13, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

Atea Pharmaceuticals, Inc.

Report date June 18, 2026 · Filed June 23, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	536,097	Reported balance After 2026-06-18 transaction · row 1 1 source row Row 1 · 2026-06-18 · Exercise / conversion · Acquired 29,600 · Balance 536,097 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2026-06-18 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-06-18 · Exercise / conversion · Disposed 29,600 · Balance 0 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F2: The RSUs vested in full on June 18, 2026.
Restricted Stock UnitsSEC Table II · derivative / convertible security	Direct	26,700	Reported balance After 2026-06-18 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2026-06-18 · Grant · Acquired 26,700 · Balance 26,700 F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock. F3: The RSUs vest in a single installment on the earlier of (i) the date of the next annual meeting of the Issuer's stockholders occurring after June 18, 2026 or (ii) June 18, 2027, in each case, subject to the Reporting Person's continued service through the applicable vesting date.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.36 · Expires 2036-06-17	Direct	37,700	Reported balance After 2026-06-18 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2026-06-18 · Grant · Acquired 37,700 · Balance 37,700 F4: The option vests and becomes exercisable in twelve (12) substantially equal monthly installments following June 18, 2026, such that the option shall be fully vested on June 18, 2027, subject to the Reporting Person's continued service through each such vesting date.

Filing footnotes · ownership attribution and instrument terms

F1: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.

F2: The RSUs vested in full on June 18, 2026.

F3: The RSUs vest in a single installment on the earlier of (i) the date of the next annual meeting of the Issuer's stockholders occurring after June 18, 2026 or (ii) June 18, 2027, in each case, subject to the Reporting Person's continued service through the applicable vesting date.

F4: The option vests and becomes exercisable in twelve (12) substantially equal monthly installments following June 18, 2026, such that the option shall be fully vested on June 18, 2027, subject to the Reporting Person's continued service through each such vesting date.

Atreca, Inc.

Report date June 13, 2023 · Filed June 15, 2023

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.18 · Expires 2023-06-12	Direct	12,000	Reported balance After 2023-06-13 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2023-06-13 · Grant · Acquired 12,000 · Balance 12,000 F1: The option vests upon the earlier of the one-year anniversary of the date of grant or the day prior to the next Annual Meeting of Stockholders occurring after the grant date, subject to the non-employee director's continuous service on each applicable vesting date. All unvested options will vest in full immediately prior to a change in control (as defined in the Company's 2019 Equity Incentive Plan), subject to the non-employee director's continuous service as of immediately prior to the closing of such change in control.

Filing footnotes · ownership attribution and instrument terms

F1: The option vests upon the earlier of the one-year anniversary of the date of grant or the day prior to the next Annual Meeting of Stockholders occurring after the grant date, subject to the non-employee director's continuous service on each applicable vesting date. All unvested options will vest in full immediately prior to a change in control (as defined in the Company's 2019 Equity Incentive Plan), subject to the non-employee director's continuous service as of immediately prior to the closing of such change in control.

ESSA Pharma Inc.

Report date October 09, 2025 · Filed October 15, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common SharesSEC Table I · non-derivative	Direct	0	Reported balance After 2025-10-09 transaction · row 1 1 source row Row 1 · 2025-10-09 · Disposition to issuer · Disposed 784,404 · Balance 0 F1: On October 9, 2025, pursuant to that certain Business Combination Agreement, dated July 13, 2025 (as amended by the Amendment Agreement, dated September 23, 2025, the "Agreement"), by and among the Issuer, XenoTherapeutics, Inc., Xeno Acquisition Corp. ("Purchaser") and XOMA Royalty Corporation, the Purchaser acquired all of the issued and outstanding common shares of the Issuer for (i) cash consideration of approximately US$0.12 per share and (ii) one contingent value right ("CVR") for each common share entitling its holder to receive up to approximately US$0.14 per CVR and payable within specified periods following the close of the transactions contemplated by the Agreement.

Filing footnotes · ownership attribution and instrument terms

F1: On October 9, 2025, pursuant to that certain Business Combination Agreement, dated July 13, 2025 (as amended by the Amendment Agreement, dated September 23, 2025, the "Agreement"), by and among the Issuer, XenoTherapeutics, Inc., Xeno Acquisition Corp. ("Purchaser") and XOMA Royalty Corporation, the Purchaser acquired all of the issued and outstanding common shares of the Issuer for (i) cash consideration of approximately US$0.12 per share and (ii) one contingent value right ("CVR") for each common share entitling its holder to receive up to approximately US$0.14 per CVR and payable within specified periods following the close of the transactions contemplated by the Agreement.

Forte Biosciences, Inc.

Report date October 04, 2019 · Filed October 05, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.64 · Expires 2029-10-03	Direct	7,500	Reported balance After 2019-10-04 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2019-10-04 · Grant · Acquired 7,500 · Balance 7,500 F1: The shares vest in a series of twelve (12) successive equal monthly installments measured from October 3, 2019.

Filing footnotes · ownership attribution and instrument terms

F1: The shares vest in a series of twelve (12) successive equal monthly installments measured from October 3, 2019.

IMMUNE DESIGN CORP.

Report date April 02, 2019 · Filed April 04, 2019

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2019-04-02 transaction · row 1 1 source row Row 1 · 2019-04-02 · Disposition to issuer · Disposed 75,000 · Balance 0 F1: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated February 20, 2019, by and among the Immune Design Corp. (the "Issuer"), Merck Sharp & Dohme Corp., a New Jersey corporation ("Parent") and Cascade Merger Sub Inc., a Delaware corporation ("Purchaser"), on April 2, 2019, Purchaser merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent. In connection with the Merger, the Issuer's common stock were cancelled and converted into the right to receive $5.85 in cash per share, less any required withholding, subject to the terms and conditions of the Merger Agreement ("Merger Consideration").
Stock Option (Rt to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $5.60	Direct	Reported balance After 2019-04-02 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-04-02 · Disposition to issuer · Disposed 10,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these stock options accelerated and became fully vested and converted into the right to receive cash in the amount equal to the product of (i) the total number of Shares subject to the such stock option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Merger Consideration over (y) the exercise price payable per share. F3: Not Applicable.
Stock Option (Rt to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.05	Direct	Reported balance After 2019-04-02 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2019-04-02 · Disposition to issuer · Disposed 12,500 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these stock options accelerated and became fully vested and converted into the right to receive cash in the amount equal to the product of (i) the total number of Shares subject to the such stock option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Merger Consideration over (y) the exercise price payable per share. F3: Not Applicable.
Stock Option (Rt to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.31	Direct	Reported balance After 2019-04-02 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2019-04-02 · Disposition to issuer · Disposed 12,500 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these stock options accelerated and became fully vested and converted into the right to receive cash in the amount equal to the product of (i) the total number of Shares subject to the such stock option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Merger Consideration over (y) the exercise price payable per share. F3: Not Applicable.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated February 20, 2019, by and among the Immune Design Corp. (the "Issuer"), Merck Sharp & Dohme Corp., a New Jersey corporation ("Parent") and Cascade Merger Sub Inc., a Delaware corporation ("Purchaser"), on April 2, 2019, Purchaser merged with and into the Issuer (the "Merger"), with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent. In connection with the Merger, the Issuer's common stock were cancelled and converted into the right to receive $5.85 in cash per share, less any required withholding, subject to the terms and conditions of the Merger Agreement ("Merger Consideration").

F2: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger, each of these stock options accelerated and became fully vested and converted into the right to receive cash in the amount equal to the product of (i) the total number of Shares subject to the such stock option immediately prior to the Effective Time, multiplied by (ii) the excess, if any, of (x) the Merger Consideration over (y) the exercise price payable per share.

F3: Not Applicable.

KINETA, INC./DE

Report date June 29, 2020 · Filed July 01, 2020

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.39 · Expires 2030-06-29	Direct	17,400	Reported balance After 2020-06-29 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2020-06-29 · Grant · Acquired 17,400 · Balance 17,400 F1: These securities shall vest and become exercisable in equal quarterly installments starting on September 29, 2020 until the option is fully vested and exercisable on June 29, 2021, subject to the Reporting Person continuing to provide services to the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: These securities shall vest and become exercisable in equal quarterly installments starting on September 29, 2020 until the option is fully vested and exercisable on June 29, 2021, subject to the Reporting Person continuing to provide services to the Issuer.

Rain Oncology Inc.

Report date January 26, 2024 · Filed January 26, 2024

Security / award	Ownership account	Disclosure context
Common Stock, par value $0.001 per shareSEC Table I · non-derivative	Direct	Reported balance After 2024-01-26 transaction · row 1 1 source row Row 1 · 2024-01-26 · Other · Disposed 1,005,207 · Balance 0 F1: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive (i) $1.16 in cash without interest, plus (ii) one contingent value right.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.21	Direct	Reported balance After 2024-01-26 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2024-01-26 · Disposition to issuer · Disposed 35,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.91	Direct	Reported balance After 2024-01-26 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2024-01-26 · Disposition to issuer · Disposed 24,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.44	Direct	Reported balance After 2024-01-26 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2024-01-26 · Disposition to issuer · Disposed 20,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive (i) $1.16 in cash without interest, plus (ii) one contingent value right.

F2: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

Retension Pharmaceuticals, Inc.

Report date October 13, 2026 · Filed October 13, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	12,517	Reported balance After 2026-10-13 transaction · row 1 1 source row Row 1 · 2026-10-13 · Conversion · Acquired 12,517 · Balance 12,517 F1: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") converted automatically into one share of Common Stock immediately prior to the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock had no expiration date.
Common StockSEC Table I · non-derivative	IndirectBy FMB Research	10,000	Reported balance After 2026-10-13 transaction · row 2 Account identity is unresolved; indirect or unspecified ownership is not merged. 1 source row Row 2 · 2026-10-13 · Purchase · Acquired 10,000 · Balance 10,000
Series B Convertible Preferred StockSEC Table II · derivative / convertible security	Direct	0	Reported balance After 2026-10-13 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2026-10-13 · Conversion · Disposed 12,517 · Balance 0 F1: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") converted automatically into one share of Common Stock immediately prior to the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock had no expiration date.

Filing footnotes · ownership attribution and instrument terms

F1: Each share of Series B Convertible Preferred Stock (the "Series B Preferred Stock") converted automatically into one share of Common Stock immediately prior to the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock had no expiration date.

Past disclosures · reporting ended (2)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

FIVE PRIME THERAPEUTICS, INC.

Report date April 16, 2021 · Filed April 19, 2021

Section 16 reporting ended · disclosed 2021-04-19. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2021-04-16 transaction · row 1 1 source row Row 1 · 2021-04-16 · Disposition to issuer · Disposed 5,000 · Balance 0 F1: Pursuant to the Agreement and Plan of Merger, dated March 4, 2021 (the "Merger Agreement"), by and among the Five Prime Therapeutics, Inc. (the "Company"), Amgen Inc. ("Parent") and Franklin Acquisition Sub, Inc., a wholly owned subsidiary of Parent ("Purchaser"), Purchaser merged with and into the Company, with the Company surviving as a wholly owned subsidiary of Parent (the "Merger"), effective as of April 16, 2021. Pursuant to the Merger Agreement, each issued and outstanding share of common stock of the Company, par value $0.001 per share ("Common Stock"), was converted into the right to receive $38.00 per share (the "Offer Price") in cash, without interest, minus any applicable withholding taxes.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.15	Direct	Reported balance After 2021-04-16 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2021-04-16 · Disposition to issuer · Disposed 12,500 · Balance 0 F2: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3: Not applicable.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.80	Direct	Reported balance After 2021-04-16 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2021-04-16 · Disposition to issuer · Disposed 10,000 · Balance 0 F2: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3: Not applicable.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $17.27	Direct	Reported balance After 2021-04-16 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2021-04-16 · Disposition to issuer · Disposed 10,000 · Balance 0 F2: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3: Not applicable.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.09	Direct	Reported balance After 2021-04-16 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2021-04-16 · Disposition to issuer · Disposed 15,000 · Balance 0 F2: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3: Not applicable.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.14	Direct	Reported balance After 2021-04-16 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2021-04-16 · Disposition to issuer · Disposed 20,000 · Balance 0 F2: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3: Not applicable.

Filing footnotes · ownership attribution and instrument terms

F1: Pursuant to the Agreement and Plan of Merger, dated March 4, 2021 (the "Merger Agreement"), by and among the Five Prime Therapeutics, Inc. (the "Company"), Amgen Inc. ("Parent") and Franklin Acquisition Sub, Inc., a wholly owned subsidiary of Parent ("Purchaser"), Purchaser merged with and into the Company, with the Company surviving as a wholly owned subsidiary of Parent (the "Merger"), effective as of April 16, 2021. Pursuant to the Merger Agreement, each issued and outstanding share of common stock of the Company, par value $0.001 per share ("Common Stock"), was converted into the right to receive $38.00 per share (the "Offer Price") in cash, without interest, minus any applicable withholding taxes.

F2: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option.

F3: Not applicable.

Kezar Life Sciences, Inc.

Report date May 11, 2026 · Filed May 11, 2026

Section 16 reporting ended · disclosed 2026-05-11. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2026-05-11 transaction · row 1 1 source row Row 1 · 2026-05-11 · Other · Disposed 89,069 · Balance 0 F1: In connection with the terms of an Agreement and Plan of Merger, dated as of March 30, 2026 (the "Merger Agreement"), by and among the Issuer, Aurinia Pharma U.S., Inc. ("Parent") and Parent's direct wholly owned subsidiary, Aurinia Merger Sub, Inc., ("Purchaser"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. In exchange for each share, tendering stockholders received: (i) $6.955 per share in cash, without interest and less any applicable tax withholding (the "Cash Consideration"); plus (ii) one non-tradable contingent value right (each, a "CVR"), which represents the right to receive certain payments in cash in accordance with the terms and subject to the conditions of a contingent value rights agreement (the "CVR Agreement") F2: (continued from footnote 1) without interest and less any applicable tax withholding, upon the achievement of specified milestones in accordance with the terms and subject to the conditions of a CVR Agreement with Broadridge Corporate Issuer Solutions, LLC, as the rights agent. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer (the "Merger"), effective as of May 11, 2026, with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent (the "Effective Time").
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $26.40 · Expires 2033-06-14	Direct	Reported balance After 2026-05-11 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-05-11 · Disposition to issuer · Disposed 3,500 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, each option to acquire shares of Issuer common stock (the "Company Stock Options") that had a per share exercise price equal to or greater than the Cash Amount (an "Out-of-the-Money Option"), was automatically cancelled and ceased to exist at the Effective Time, and no consideration was delivered in exchange for such Out-of-the-Money Option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $6.70 · Expires 2034-06-19	Direct	Reported balance After 2026-05-11 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2026-05-11 · Disposition to issuer · Disposed 5,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each Company Stock Option that had a per share exercise price less than the Cash Amount (an "In-the-Money Option") was automatically cancelled and converted at the Effective Time into the right to receive (A) an amount in cash, without interest, equal to the product obtained by multiplying (x) the excess of the Cash Amount over the exercise price per share underlying such Company Stock Option at the Effective Time by (y) the number of shares underlying such In-the-Money Option, subject to the terms and conditions specified in the Merger Agreement and (B) one CVR in respect of each share underlying such In-the-Money Option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $4.46 · Expires 2035-06-17	Direct	Reported balance After 2026-05-11 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2026-05-11 · Disposition to issuer · Disposed 5,000 · Balance 0 F4: Pursuant to the terms of the Merger Agreement, each Company Stock Option that had a per share exercise price less than the Cash Amount (an "In-the-Money Option") was automatically cancelled and converted at the Effective Time into the right to receive (A) an amount in cash, without interest, equal to the product obtained by multiplying (x) the excess of the Cash Amount over the exercise price per share underlying such Company Stock Option at the Effective Time by (y) the number of shares underlying such In-the-Money Option, subject to the terms and conditions specified in the Merger Agreement and (B) one CVR in respect of each share underlying such In-the-Money Option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.80 · Expires 2031-06-27	Direct	Reported balance After 2026-05-11 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2026-05-11 · Disposition to issuer · Disposed 2,600 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, each option to acquire shares of Issuer common stock (the "Company Stock Options") that had a per share exercise price equal to or greater than the Cash Amount (an "Out-of-the-Money Option"), was automatically cancelled and ceased to exist at the Effective Time, and no consideration was delivered in exchange for such Out-of-the-Money Option.
Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $22.80 · Expires 2032-06-15	Direct	Reported balance After 2026-05-11 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2026-05-11 · Disposition to issuer · Disposed 2,600 · Balance 0 F3: Pursuant to the terms of the Merger Agreement, each option to acquire shares of Issuer common stock (the "Company Stock Options") that had a per share exercise price equal to or greater than the Cash Amount (an "Out-of-the-Money Option"), was automatically cancelled and ceased to exist at the Effective Time, and no consideration was delivered in exchange for such Out-of-the-Money Option.

Filing footnotes · ownership attribution and instrument terms

F1: In connection with the terms of an Agreement and Plan of Merger, dated as of March 30, 2026 (the "Merger Agreement"), by and among the Issuer, Aurinia Pharma U.S., Inc. ("Parent") and Parent's direct wholly owned subsidiary, Aurinia Merger Sub, Inc., ("Purchaser"), Purchaser completed a tender offer for shares of the Issuer's Common Stock. In exchange for each share, tendering stockholders received: (i) $6.955 per share in cash, without interest and less any applicable tax withholding (the "Cash Consideration"); plus (ii) one non-tradable contingent value right (each, a "CVR"), which represents the right to receive certain payments in cash in accordance with the terms and subject to the conditions of a contingent value rights agreement (the "CVR Agreement")

F2: (continued from footnote 1) without interest and less any applicable tax withholding, upon the achievement of specified milestones in accordance with the terms and subject to the conditions of a CVR Agreement with Broadridge Corporate Issuer Solutions, LLC, as the rights agent. After completion of the tender offer, pursuant to the terms of the Merger Agreement, Purchaser merged with and into the Issuer (the "Merger"), effective as of May 11, 2026, with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent (the "Effective Time").

F3: Pursuant to the terms of the Merger Agreement, each option to acquire shares of Issuer common stock (the "Company Stock Options") that had a per share exercise price equal to or greater than the Cash Amount (an "Out-of-the-Money Option"), was automatically cancelled and ceased to exist at the Effective Time, and no consideration was delivered in exchange for such Out-of-the-Money Option.

F4: Pursuant to the terms of the Merger Agreement, each Company Stock Option that had a per share exercise price less than the Cash Amount (an "In-the-Money Option") was automatically cancelled and converted at the Effective Time into the right to receive (A) an amount in cash, without interest, equal to the product obtained by multiplying (x) the excess of the Cash Amount over the exercise price per share underlying such Company Stock Option at the Effective Time by (y) the number of shares underlying such In-the-Money Option, subject to the terms and conditions specified in the Merger Agreement and (B) one CVR in respect of each share underlying such In-the-Money Option.

Transaction history

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
December 16, 2022 Filed Jan 5, 2023 15:41 UTC	ESSA Pharma Inc. EPIX · Entity 15763	SaleCommon Shares	50,000	$2.67	$133,500.00	Disclosure SEC source: 0000899243-23-000914 · doc4.xml · nonDerivative · entry 4 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800,244 Read SEC document
December 15, 2022 Filed Jan 5, 2023 15:41 UTC	ESSA Pharma Inc. EPIX · Entity 15763	SaleCommon Shares	50,000	$2.86	$143,000.00	Disclosure SEC source: 0000899243-23-000914 · doc4.xml · nonDerivative · entry 3 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 850,244 Read SEC document
December 15, 2022 Filed Jan 5, 2023 15:41 UTC	ESSA Pharma Inc. EPIX · Entity 15763	SaleCommon Shares	32,000	$2.90	$92,800.00	Disclosure SEC source: 0000899243-23-000914 · doc4.xml · nonDerivative · entry 2 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 900,244 Read SEC document
December 14, 2022 Filed Jan 5, 2023 15:41 UTC	ESSA Pharma Inc. EPIX · Entity 15763	SaleCommon Shares	25,000	$3.00	$75,000.00	Disclosure SEC source: 0000899243-23-000914 · doc4.xml · nonDerivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 932,244 Read SEC document
November 22, 2022 Filed Nov 23, 2022 17:45 UTC	Rain Oncology Inc. RAIN · Entity 94695	PurchaseCommon Stock	77,000	$8.27	$636,790.00	Disclosure SEC source: 0001104659-22-121849 · tm2231304-1_4seq1.xml · nonDerivative · entry 2 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,005,207 F2 · price: This transaction was executed in multiple trades at prices ranging from $7.91 to $8.4947. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document
November 21, 2022 Filed Nov 23, 2022 17:45 UTC	Rain Oncology Inc. RAIN · Entity 94695	PurchaseCommon Stock	45,000	$7.80	$351,000.00	Disclosure SEC source: 0001104659-22-121849 · tm2231304-1_4seq1.xml · nonDerivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 928,207 F1 · price: This transaction was executed in multiple trades at prices ranging from $7.4181 to $8.0295. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected. Read SEC document
November 14, 2022 Filed Nov 16, 2022 01:00 UTC	Atea Pharmaceuticals, Inc. AVIR · Entity 5580	SaleCommon Stock	16,166	$5.16	$83,351.90	Disclosure SEC source: 0000899243-22-035942 · doc4.xml · nonDerivative · entry 2 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 778,353 F2 · price: The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.1000 to $5.2242, inclusive. Read SEC document
November 11, 2022 Filed Nov 16, 2022 01:00 UTC	Atea Pharmaceuticals, Inc. AVIR · Entity 5580	SaleCommon Stock	25,500	$5.15	$131,332.65	Disclosure SEC source: 0000899243-22-035942 · doc4.xml · nonDerivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 794,519 F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.1200 to $5.1947, inclusive. F2 · price: The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document
November 08, 2022 Filed Nov 14, 2022 16:17 UTC	Rain Oncology Inc. RAIN · Entity 94695	PurchaseCommon Stock	42,881	$5.83	$249,996.23	Disclosure SEC source: 0000899243-22-035691 · doc4.xml · nonDerivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 883,207 Read SEC document
June 29, 2022 Filed Nov 1, 2022 11:04 UTC	ESSA Pharma Inc. EPIX · Entity 15763	GrantStock Option (Right to Buy) · Derivative	22,500	$0.00 Strike: $3.60	$0.00	Disclosure SEC source: 0001209191-22-054966 · doc4.xml · derivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,500 Underlying: Common Shares · 22,500 shares Expires 2032-06-29 F1 · derivative.exercise_date: 100% of the options vest after 12 months from the date of grant. Read SEC document
June 17, 2022 Filed Jun 21, 2022 23:48 UTC	Atea Pharmaceuticals, Inc. AVIR · Entity 5580	GrantStock Option (Right to Buy) · Derivative	61,264	$0.00 Strike: $6.50	$0.00	Disclosure SEC source: 0000899243-22-023504 · doc4.xml · derivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,264 Underlying: Common Stock · 61,264 shares Expires 2032-06-16 F1 · derivative.exercise_date: The option vests and becomes exercisable in twelve (12) equal monthly installments following June 17, 2022, such that the option shall be fully vested on the first anniversary of the date of grant, subject to the Reporting Person's continued service through each such vesting date. Read SEC document
June 16, 2022 Filed Jun 17, 2022 22:01 UTC	Kezar Life Sciences, Inc. KZR · Entity 12111	GrantStock Option (right to buy) · Derivative	26,000	$0.00 Strike: $4.80	$0.00	Disclosure SEC source: 0001209191-22-038043 · doc4.xml · derivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,000 Underlying: Common Stock · 26,000 shares Expires 2032-06-15 F1 · derivative.exercise_date: One-hundred percent (100%) of the shares subject to the option shall vest on 6/16/2023, subject to Reporting Person continuing to provide service through such date. Read SEC document
June 08, 2022 Filed Jun 10, 2022 22:40 UTC	Atreca, Inc. BCEL · Entity 91940	GrantStock Option (right to buy) · Derivative	12,000	$0.00 Strike: $2.09	$0.00	Disclosure SEC source: 0001209191-22-036096 · doc4.xml · derivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Class A Common Stock · 12,000 shares Expires 2032-06-07 F1 · derivative.exercise_date: The option vests upon the earlier of the one-year anniversary of the date of grant or the day prior to the next Annual Meeting of Stockholders occurring after the grant date, subject to the non-employee director's continuous service on each applicable vesting date. All unvested options will vest in full immediately prior to a change in control (as defined in the Company's 2019 Equity Incentive Plan), subject to the non-employee director's continuous service as of immediately prior to the closing of such change in control. Read SEC document
June 01, 2022 Filed Aug 19, 2022 17:43 UTC	Rain Oncology Inc. RAIN · Entity 94695	GrantStock Option (Right to Buy) · Derivative	20,000	$0.00 Strike: $2.44	$0.00	Disclosure SEC source: 0000899243-22-029323 · doc4.xml · derivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2032-06-01 F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's common stock, which will vest in full on June 1, 2023, subject to the Reporting Person's continued service to the Issuer. Read SEC document
March 21, 2022 Filed Mar 22, 2022 21:45 UTC	Kezar Life Sciences, Inc. KZR · Entity 12111	PurchaseCommon Stock	20,000	$14.77	$295,400.00	Disclosure SEC source: 0001209191-22-020584 · doc4.xml · nonDerivative · entry 3 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 890,691 F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.44 to $15.00 inclusive. Read SEC document
March 18, 2022 Filed Mar 22, 2022 21:45 UTC	Kezar Life Sciences, Inc. KZR · Entity 12111	PurchaseCommon Stock	45,000	$17.00	$765,000.00	Disclosure SEC source: 0001209191-22-020584 · doc4.xml · nonDerivative · entry 2 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 870,691 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.885 to $17.01 inclusive. Read SEC document
March 18, 2022 Filed Mar 22, 2022 21:45 UTC	Kezar Life Sciences, Inc. KZR · Entity 12111	PurchaseCommon Stock	15,000	$15.96	$239,400.00	Disclosure SEC source: 0001209191-22-020584 · doc4.xml · nonDerivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 825,691 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.47 to $16.36 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes (1), (2) and (3). Read SEC document
September 22, 2021 Filed Sep 23, 2021 20:26 UTC	Kezar Life Sciences, Inc. KZR · Entity 12111	Exercise / conversionStock Option (Right to Buy) · Derivative	8,896	$0.00 Strike: $5.60	$0.00	Disclosure SEC source: 0001209191-21-057418 · doc4.xml · derivative · entry 6 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,896 shares Expires 2030-06-24 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. F3 · derivative.exercise_date: One-hundred percent (100%) of the shares subject to the option vested on 6/24/2021. Read SEC document
September 22, 2021 Filed Sep 23, 2021 20:26 UTC	Kezar Life Sciences, Inc. KZR · Entity 12111	Exercise / conversionCommon Stock	8,896	$5.60	$49,817.60	Disclosure SEC source: 0001209191-21-057418 · doc4.xml · nonDerivative · entry 3 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 810,691 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. Read SEC document
September 21, 2021 Filed Sep 23, 2021 17:21 UTC	Rain Oncology Inc. RAIN · Entity 94695	PurchaseCommon Stock	3,786	$14.30	$54,139.80	Disclosure SEC source: 0000899243-21-037351 · doc4.xml · nonDerivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 840,326 Read SEC document
September 21, 2021 Filed Sep 23, 2021 20:26 UTC	Kezar Life Sciences, Inc. KZR · Entity 12111	Exercise / conversionStock Option (Right to Buy) · Derivative	8,896	$0.00 Strike: $7.63	$0.00	Disclosure SEC source: 0001209191-21-057418 · doc4.xml · derivative · entry 5 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,896 shares Expires 2029-06-25 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: One-hundred percent (100%) of the shares subject to the option vested on 6/25/2020. Read SEC document
September 21, 2021 Filed Sep 23, 2021 20:26 UTC	Kezar Life Sciences, Inc. KZR · Entity 12111	Exercise / conversionStock Option (Right to Buy) · Derivative	8,896	$0.00 Strike: $5.91	$0.00	Disclosure SEC source: 0001209191-21-057418 · doc4.xml · derivative · entry 4 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,896 shares Expires 2028-04-16 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 · derivative.exercise_date: One-hundred percent (100%) of the shares subject to the option vested on 1/1/2019. Read SEC document
September 21, 2021 Filed Sep 23, 2021 20:26 UTC	Kezar Life Sciences, Inc. KZR · Entity 12111	Exercise / conversionCommon Stock	8,896	$7.63	$67,876.48	Disclosure SEC source: 0001209191-21-057418 · doc4.xml · nonDerivative · entry 2 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 801,795 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. Read SEC document
September 21, 2021 Filed Sep 23, 2021 20:26 UTC	Kezar Life Sciences, Inc. KZR · Entity 12111	Exercise / conversionCommon Stock	8,896	$5.91	$52,575.36	Disclosure SEC source: 0001209191-21-057418 · doc4.xml · nonDerivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 792,899 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. Read SEC document
June 28, 2021 Filed Jun 30, 2021 22:45 UTC	Kezar Life Sciences, Inc. KZR · Entity 12111	GrantStock Option (Right to Buy) · Derivative	26,000	$0.00 Strike: $5.59	$0.00	Disclosure SEC source: 0001209191-21-044078 · doc4.xml · derivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,000 Underlying: Common Stock · 26,000 shares Expires 2031-06-27 F1 · derivative.exercise_date: One-hundred percent (100%) of the shares subject to the option shall vest on 6/28/2022, subject to Reporting Person continuing to provide service through such date. Read SEC document
June 18, 2021 Filed Jun 21, 2021 21:34 UTC	Atea Pharmaceuticals, Inc. AVIR · Entity 5580	GrantStock Option (Right to Buy) · Derivative	34,025	$0.00 Strike: $23.39	$0.00	Disclosure SEC source: 0000899243-21-025044 · doc4.xml · derivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,025 Underlying: Common Stock · 34,025 shares Expires 2031-06-17 F1 · derivative.exercise_date: The option vests and becomes exercisable in twelve (12) equal monthly installments following June 18, 2021, such that the option shall be fully vested on the first anniversary of the date of grant, subject to the Reporting Person's continued service through each such vesting date. Read SEC document
June 09, 2021 Filed Jun 11, 2021 20:34 UTC	Atreca, Inc. BCEL · Entity 91940	GrantStock Option (right to buy) · Derivative	12,000	$0.00 Strike: $10.27	$0.00	Disclosure SEC source: 0001209191-21-039847 · doc4.xml · derivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,000 Underlying: Class A Common Stock · 12,000 shares Expires 2031-06-08 F1 · derivative.exercise_date: The option vests upon the earlier of the one-year anniversary of the date of grant or the day prior to the next Annual Meeting of Stockholders occurring after the grant date, subject to the non-employee director's continuous service on each applicable vesting date. All unvested options will vest in full immediately prior to a change in control (as defined in the Company's 2019 Equity Incentive Plan), subject to the non-employee director's continuous service as of immediately prior to the closing of such change in control. Read SEC document
May 14, 2021 Filed May 18, 2021 17:46 UTC	Rain Oncology Inc. RAIN · Entity 94695	GrantStock Option (Right to Buy) · Derivative	24,000	$0.00 Strike: $15.33	$0.00	Disclosure SEC source: 0000899243-21-019789 · doc4.xml · derivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,000 Underlying: Common Stock · 24,000 shares Expires 2031-05-14 F1 · derivative.exercise_date: This option represents a right to purchase a total of 24,000 shares of the Issuer's common stock, which will vest in equal monthly installments through May 14, 2024, subject to the Reporting Person's continued service to the Issuer. Read SEC document
April 27, 2021 Filed Apr 27, 2021 17:05 UTC	Rain Oncology Inc. RAIN · Entity 94695	ConversionSeries B Preferred Stock · Derivative	578,397	$0.00	$0.00	Disclosure SEC source: 0000899243-21-017113 · doc4.xml · derivative · entry 6 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 535,601 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. F2 · derivative.exercise_price: The Series B Preferred Stock automatically converted into shares of the Issuer's common stock on a one-for-1.0799 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · derivative.exercise_date: The Series B Preferred Stock automatically converted into shares of the Issuer's common stock on a one-for-1.0799 basis upon the closing of the Issuer's initial public offering and had no expiration date. F2 · derivative.expiration_date: The Series B Preferred Stock automatically converted into shares of the Issuer's common stock on a one-for-1.0799 basis upon the closing of the Issuer's initial public offering and had no expiration date. Read SEC document
April 27, 2021 Filed Apr 27, 2021 17:05 UTC	Rain Oncology Inc. RAIN · Entity 94695	ConversionSeries A Preferred Stock · Derivative	189,998	$0.00	$0.00	Disclosure SEC source: 0000899243-21-017113 · doc4.xml · derivative · entry 5 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 175,939 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 · derivative.exercise_price: The Series A Preferred Stock automatically converted into shares of the Issuer's common stock on a one-for-1.0799 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.exercise_date: The Series A Preferred Stock automatically converted into shares of the Issuer's common stock on a one-for-1.0799 basis upon the closing of the Issuer's initial public offering and had no expiration date. F1 · derivative.expiration_date: The Series A Preferred Stock automatically converted into shares of the Issuer's common stock on a one-for-1.0799 basis upon the closing of the Issuer's initial public offering and had no expiration date. Read SEC document
April 27, 2021 Filed Apr 27, 2021 17:05 UTC	Rain Oncology Inc. RAIN · Entity 94695	ConversionCommon Stock	535,601	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-017113 · doc4.xml · nonDerivative · entry 4 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 836,540 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 · price: The Series B Preferred Stock automatically converted into shares of the Issuer's common stock on a one-for-1.0799 basis upon the closing of the Issuer's initial public offering and had no expiration date. Read SEC document
April 27, 2021 Filed Apr 27, 2021 17:05 UTC	Rain Oncology Inc. RAIN · Entity 94695	ConversionCommon Stock	175,939	Not disclosed	Not disclosed	Disclosure SEC source: 0000899243-21-017113 · doc4.xml · nonDerivative · entry 3 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,939 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 Series A Preferred Stock automatically converted into shares of the Issuer's common stock on a one-for-1.0799 basis upon the closing of the Issuer's initial public offering and had no expiration date. Read SEC document
April 23, 2021 Filed Apr 27, 2021 17:05 UTC	Rain Oncology Inc. RAIN · Entity 94695	PurchaseCommon Stock	5,000	$15.78	$78,900.00	Disclosure SEC source: 0000899243-21-017113 · doc4.xml · nonDerivative · entry 2 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 125,000 Read SEC document
April 23, 2021 Filed Apr 27, 2021 17:05 UTC	Rain Oncology Inc. RAIN · Entity 94695	PurchaseCommon Stock	120,000	$17.00	$2,040,000.00	Disclosure SEC source: 0000899243-21-017113 · doc4.xml · nonDerivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 120,000 Read SEC document
April 16, 2021 Filed Apr 19, 2021 19:42 UTC	FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595	Disposition to issuerStock Option (right to buy) · Derivative	20,000	Not disclosed Strike: $4.14	Not disclosed	Disclosure SEC source: 0001209191-21-027415 · doc4.xml · derivative · entry 6 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 20,000 shares Expires not disclosed F2 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F2 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3 · derivative.expiration_date: Not applicable. Read SEC document
April 16, 2021 Filed Apr 19, 2021 19:42 UTC	FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595	Disposition to issuerStock Option (right to buy) · Derivative	15,000	Not disclosed Strike: $6.09	Not disclosed	Disclosure SEC source: 0001209191-21-027415 · doc4.xml · derivative · entry 5 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,000 shares Expires not disclosed F2 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F2 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3 · derivative.expiration_date: Not applicable. Read SEC document
April 16, 2021 Filed Apr 19, 2021 19:42 UTC	FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595	Disposition to issuerStock Option (right to buy) · Derivative	10,000	Not disclosed Strike: $17.27	Not disclosed	Disclosure SEC source: 0001209191-21-027415 · doc4.xml · derivative · entry 4 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires not disclosed F2 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F2 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3 · derivative.expiration_date: Not applicable. Read SEC document
April 16, 2021 Filed Apr 19, 2021 19:42 UTC	FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595	Disposition to issuerStock Option (right to buy) · Derivative	10,000	Not disclosed Strike: $29.80	Not disclosed	Disclosure SEC source: 0001209191-21-027415 · doc4.xml · derivative · entry 3 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires not disclosed F2 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F2 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3 · derivative.expiration_date: Not applicable. Read SEC document
April 16, 2021 Filed Apr 19, 2021 19:42 UTC	FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595	Disposition to issuerStock Option (right to buy) · Derivative	12,500	Not disclosed Strike: $22.15	Not disclosed	Disclosure SEC source: 0001209191-21-027415 · doc4.xml · derivative · entry 2 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,500 shares Expires not disclosed F2 · price: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F2 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the effective time of the Merger, each option to purchase shares of Common Stock granted by the Company that was then outstanding and unexercised was cancelled and converted into the right to receive an amount in cash equal to the product of (x) the total number of shares of Common Stock subject to such option multiplied by (y) the excess, if any, of (A) the Offer Price minus (B) the exercise price payable per share under such option. F3 · derivative.expiration_date: Not applicable. Read SEC document
April 16, 2021 Filed Apr 19, 2021 19:42 UTC	FIVE PRIME THERAPEUTICS, INC. FPRX · Entity 16595	Disposition to issuerCommon Stock	5,000	$38.00	$190,000.00	Disclosure SEC source: 0001209191-21-027415 · doc4.xml · nonDerivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Pursuant to the Agreement and Plan of Merger, dated March 4, 2021 (the "Merger Agreement"), by and among the Five Prime Therapeutics, Inc. (the "Company"), Amgen Inc. ("Parent") and Franklin Acquisition Sub, Inc., a wholly owned subsidiary of Parent ("Purchaser"), Purchaser merged with and into the Company, with the Company surviving as a wholly owned subsidiary of Parent (the "Merger"), effective as of April 16, 2021. Pursuant to the Merger Agreement, each issued and outstanding share of common stock of the Company, par value $0.001 per share ("Common Stock"), was converted into the right to receive $38.00 per share (the "Offer Price") in cash, without interest, minus any applicable withholding taxes. Read SEC document
February 22, 2021 Filed Mar 4, 2021 18:47 UTC	ESSA Pharma Inc. EPIX · Entity 15763	PurchaseCommon Shares	57,000	$27.00	$1,539,000.00	Disclosure SEC source: 0001209191-21-017990 · doc4.xml · nonDerivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 957,244 Read SEC document
December 11, 2020 Filed Jan 11, 2021 16:42 UTC	ESSA Pharma Inc. EPIX · Entity 15763	GrantStock Option (Right to Buy) · Derivative	16,500	$0.00 Strike: $7.00	$0.00	Disclosure SEC source: 0001209191-21-002944 · doc4.xml · derivative · entry 11 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,500 Underlying: Common Shares · 16,500 shares Expires 2030-12-11 F1 · derivative.exercise_date: 25% of the options vest after 12 months from the date of grant, and the remaining 75% vest in 36 equal installments with the first installment vesting at the end of the 13th month and subsequent installments vesting on every one month anniversary thereafter. Read SEC document
December 11, 2020 Filed Jan 26, 2021 19:01 UTC Amendment	ESSA Pharma Inc. EPIX · Entity 15763	GrantStock Option (Right to Buy) · Derivative	16,500	$0.00 Strike: $7.00	$0.00	Disclosure SEC source: 0001209191-21-005508 · doc4a.xml · derivative · entry 1 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,500 Underlying: Common Shares · 16,500 shares Expires 2030-12-11 F1 · derivative.exercise_date: Vesting terms have been amended such that 100% of the options vest after 12 months from the date of grant. Read SEC document
December 03, 2020 Filed Jan 11, 2021 16:42 UTC	ESSA Pharma Inc. EPIX · Entity 15763	Exercise / conversionStock Option (Right to Buy) · Derivative	6,773	$0.00 Strike: $4.67	$0.00	Disclosure SEC source: 0001209191-21-002944 · doc4.xml · derivative · entry 10 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,227 Underlying: Common Shares · 6,773 shares Expires 2029-10-30 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. Read SEC document
December 03, 2020 Filed Jan 11, 2021 16:42 UTC	ESSA Pharma Inc. EPIX · Entity 15763	Exercise / conversionStock Option (Right to Buy) · Derivative	25,000	$0.00 Strike: $3.23	$0.00	Disclosure SEC source: 0001209191-21-002944 · doc4.xml · derivative · entry 9 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Shares · 25,000 shares Expires 2029-10-04 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. Read SEC document
December 03, 2020 Filed Jan 11, 2021 16:42 UTC	ESSA Pharma Inc. EPIX · Entity 15763	Exercise / conversionStock Option (Right to Buy) · Derivative	2,184	$0.00 Strike: $3.81	$0.00	Disclosure SEC source: 0001209191-21-002944 · doc4.xml · derivative · entry 8 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,816 Underlying: Common Shares · 2,184 shares Expires 2029-02-08 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. Read SEC document
December 03, 2020 Filed Jan 11, 2021 16:42 UTC	ESSA Pharma Inc. EPIX · Entity 15763	Exercise / conversionStock Option (Right to Buy) · Derivative	6,534	$0.00 Strike: $4.00	$0.00	Disclosure SEC source: 0001209191-21-002944 · doc4.xml · derivative · entry 7 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,966 Underlying: Common Shares · 6,534 shares Expires 2028-02-21 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. Read SEC document
December 03, 2020 Filed Jan 11, 2021 16:42 UTC	ESSA Pharma Inc. EPIX · Entity 15763	Exercise / conversionStock Option (Right to Buy) · Derivative	1,716	$0.00 Strike: $4.00	$0.00	Disclosure SEC source: 0001209191-21-002944 · doc4.xml · derivative · entry 6 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 784 Underlying: Common Shares · 1,716 shares Expires 2025-03-05 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. Read SEC document
December 03, 2020 Filed Jan 11, 2021 16:42 UTC	ESSA Pharma Inc. EPIX · Entity 15763	Exercise / conversionCommon Shares	6,773	$4.67	$31,629.91	Disclosure SEC source: 0001209191-21-002944 · doc4.xml · nonDerivative · entry 5 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 900,244 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. Read SEC document
December 03, 2020 Filed Jan 11, 2021 16:42 UTC	ESSA Pharma Inc. EPIX · Entity 15763	Exercise / conversionCommon Shares	25,000	$3.23	$80,750.00	Disclosure SEC source: 0001209191-21-002944 · doc4.xml · nonDerivative · entry 4 BERGER FRANKLIN M · CIK 0001273885 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 893,471 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. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.