Chin Mark

SEC source: 0001193125-26-279708 · ownership.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,212

Underlying: Common Stock · 6,212 shares

Expires 2036-06-17

F1 · derivative.exercise_date: The shares underlying this option vest upon the first to occur of (i) the date of the Company's 2027 annual meeting of its stockholders, or (ii) the one-year anniversary of the grant date, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0000950170-25-086374 · ownership.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2035-06-10

F1 · derivative.exercise_date: The shares underlying this option vest upon the first to occur of (i) the date of the Company's 2026 annual meeting of its stockholders, or (ii) the one-year anniversary of the grant date, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0000950170-24-073671 · ownership.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-11

F1 · derivative.exercise_date: The shares underlying this option vest upon the first to occur of (i) the date of the Company's 2025 annual meeting of its stockholders, or (ii) the one-year anniversary of the grant date, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0000950170-24-029439 · ownership.xml · derivative · entry 6

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,300 shares

Expires not disclosed

F2 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F6 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F7 · price: (Continued from footnote 6) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F7 · derivative.exercise_date: (Continued from footnote 6) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F7 · derivative.expiration_date: (Continued from footnote 6) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

SEC source: 0000950170-24-029439 · ownership.xml · derivative · entry 5

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,214 shares

Expires not disclosed

F2 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F6 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F7 · price: (Continued from footnote 6) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F7 · derivative.exercise_date: (Continued from footnote 6) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F7 · derivative.expiration_date: (Continued from footnote 6) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

SEC source: 0000950170-24-029439 · ownership.xml · derivative · entry 4

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,016 shares

Expires not disclosed

F2 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F6 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F7 · price: (Continued from footnote 6) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F7 · derivative.exercise_date: (Continued from footnote 6) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F7 · derivative.expiration_date: (Continued from footnote 6) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

SEC source: 0000950170-24-029439 · ownership.xml · derivative · entry 3

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,033 shares

Expires not disclosed

F2 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F6 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F7 · price: (Continued from footnote 6) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F6 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F7 · derivative.exercise_date: (Continued from footnote 6) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F6 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time, (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the

F7 · derivative.expiration_date: (Continued from footnote 6) Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

SEC source: 0000950170-24-029439 · ownership.xml · nonDerivative · entry 2

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F3 · shares: Includes 13,224 RSUs which are subject to rounding as a result of the 1:10 reverse stock split effective September 1, 2023.

F4 · price: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding RSU was cancelled and automatically converted into the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (i) the Common Stock Merger Consideration (as defined below) payable with respect to such RSU multiplied by (ii) the total number of shares of Common Stock subject to such RSU immediately prior to the Effective Time, with the number of shares of Company Common Stock subject to any such Company RSU that vests based on the achievement of performance goals determined in accordance with the applicable award agreement.

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration").

F2 · acquired: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

SEC source: 0000950170-24-029439 · ownership.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,224

F1 · kind: Represents shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") issuable upon the settlement of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock. The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of prorated retainer fees totaling $9,753.00 for the first quarter of 2024.

SEC source: 0000950170-24-000959 · ownership.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,801

F1 · shares: Represents shares of common stock issuable upon the settlement of restricted stock units ("RSUs"). The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $12,500.

SEC source: 0001209191-23-056794 · doc4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,729

F1 · shares: Represents shares of common stock issuable upon the settlement of restricted stock units ("RSUs"). 25% of the RSUs will vest on each May 27th and November 27th of 2024 and 2025, subject to acceleration and vesting in full upon a Change in Control (as defined in the Issuer's 2019 Equity Incentive Plan) of the Issuer, and subject to the continuing employment of the Reporting Person on each vesting date.

SEC source: 0001209191-23-051148 · doc4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,729

F1 · shares: Represents shares of common stock issuable upon the settlement of restricted stock units ("RSUs"). The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $12,500.

F2 · balance_after: Shares reflect 1:10 reverse stock split effective September 1, 2023.

SEC source: 0001209191-23-041673 · doc4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,941

F1 · shares: Represents shares of common stock issuable upon the settlement of restricted stock units ("RSUs"). The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $12,500.

SEC source: 0001209191-23-039404 · doc4.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The stock option will fully vest and become exercisable on June 21, 2024, subject to the continuous service of the Reporting Person with the Issuer on such date.

SEC source: 0001209191-23-037405 · doc4.xml · derivative · entry 2

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 15,853 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: Restricted share units ("RSUs") converted into ordinary shares on a one-for-one basis upon vesting of the RSUs.

F3 · derivative.exercise_date: On June 15, 2022, the reporting person was granted an award of 15,853 RSUs, which vested in full on June 15, 2023.

F3 · derivative.expiration_date: On June 15, 2022, the reporting person was granted an award of 15,853 RSUs, which vested in full on June 15, 2023.

F2 · derivative.underlying_shares: On August 17, 2022 the Issuer effected a 1 for 15 reverse share split (the "Reverse Share Split"). The number of ordinary shares reported in this Form 4 have been adjusted to reflect the Reverse Share Split.

SEC source: 0001209191-23-037405 · doc4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,306

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: Restricted share units ("RSUs") converted into ordinary shares on a one-for-one basis upon vesting of the RSUs.

F2 · balance_after: On August 17, 2022 the Issuer effected a 1 for 15 reverse share split (the "Reverse Share Split"). The number of ordinary shares reported in this Form 4 have been adjusted to reflect the Reverse Share Split.

SEC source: 0000899243-23-015275 · doc4.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,136

Underlying: Common Stock · 7,136 shares

Expires 2033-06-08

F1 · derivative.exercise_date: The shares underlying this option vest upon the first to occur of (i) the date of the Company's 2024 annual meeting of its stockholders, or (ii) the one-year anniversary of the grant date, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001209191-23-022794 · doc4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,285

F1 · shares: Represents shares of common stock issuable upon the settlement of restricted stock units ("RSUs"). The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $12,500.

SEC source: 0000899243-23-000309 · doc4.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 7,000 shares

Expires 2032-12-28

F1 · derivative.exercise_date: The shares underlying this option vest upon the first to occur of (i) the date of the Company's 2023 annual meeting of its stockholders, or (ii) the one-year anniversary of the grant date, subject to the Reporting Person's continued service on each such vesting date.

SEC source: 0001209191-22-039313 · doc4.xml · derivative · entry 2

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 36,798 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: Restricted share units ("RSUs") converted into ordinary shares on a one-for-one basis upon vesting of the RSUs.

F2 · derivative.exercise_date: On June 23, 2021, the reporting person was granted an award of 36,798 RSUs, which vested on June 23, 2022.

F2 · derivative.expiration_date: On June 23, 2021, the reporting person was granted an award of 36,798 RSUs, which vested on June 23, 2022.

SEC source: 0001209191-22-039313 · doc4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,798

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: Restricted share units ("RSUs") converted into ordinary shares on a one-for-one basis upon vesting of the RSUs.

SEC source: 0001209191-22-039323 · doc4.xml · derivative · entry 2

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,142

Underlying: Common Stock · 32,142 shares

Expires 2032-06-21

F2 · shares: This option was issued to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $45,000 ("Election Option").

F2 · price: This option was issued to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $45,000 ("Election Option").

F3 · derivative.exercise_date: One-half of the Election Option vested and became exercisable on June 22, 2022, and 25% of each Election Option will vest and become exercisable on each of September 30, 2022 and December 31, 2022, subject to the continuous service of the Reporting Person with the Issuer through each vesting date.

SEC source: 0001209191-22-039323 · doc4.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,167

Underlying: Common Stock · 10,167 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The stock option will fully vest and become exercisable on June 21, 2023, subject to the continuous service of the Reporting Person with the Issuer on such date.

SEC source: 0001209191-22-037943 · doc4.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,795

Underlying: Ordinary Shares · 237,795 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit ("RSU") represents the contingent right to receive one ordinary share upon vesting of the RSU.

F2 · derivative.exercise_date: Subject to the reporting person providing continuous service to the Issuer and the other terms and conditions of the Issuer's 2018 Amended and Restated Equity Incentive Plan, as amended, the RSUs shall vest in full on June 15, 2023.

F2 · derivative.expiration_date: Subject to the reporting person providing continuous service to the Issuer and the other terms and conditions of the Issuer's 2018 Amended and Restated Equity Incentive Plan, as amended, the RSUs shall vest in full on June 15, 2023.

SEC source: 0001209191-22-034385 · doc4.xml · derivative · entry 2

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,500

Underlying: Common Stock · 8,500 shares

Expires 2032-06-01

F2 · derivative.exercise_date: The option will vest on the first anniversary of the date of grant or, if earlier, the date of Imara's next annual meeting of stockholders following the date of grant.

SEC source: 0000899243-22-015542 · doc4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Former Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · ownership.nature: The securities were held directly by Arix Bioscience Holdings Limited ("Arix"). The Reporting Person is one of for members of the Investment Committee of Arix and, in such capacity, may be deemed to share voting and dispositive power over the securities held by Arix. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his respective pecuniary interests therein.

SEC source: 0001140361-22-012917 · form4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,831

F1 · shares: Represents restricted stock units that vest 100% on the first anniversary of the grant date, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001140361-21-034645 · form4.xml · derivative · entry 3

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,433,261 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: These shares of Series B Convertible Preferred Stock converted automatically and for no additional consideration into Common Stock on a 6.359-for-1 basis upon completion of the Issuer's initial public offering (with fractional shares paid out in cash). The shares of Series B Convertible Preferred Stock had no expiration date.

F1 · derivative.exercise_date: These shares of Series B Convertible Preferred Stock converted automatically and for no additional consideration into Common Stock on a 6.359-for-1 basis upon completion of the Issuer's initial public offering (with fractional shares paid out in cash). The shares of Series B Convertible Preferred Stock had no expiration date.

F1 · derivative.expiration_date: These shares of Series B Convertible Preferred Stock converted automatically and for no additional consideration into Common Stock on a 6.359-for-1 basis upon completion of the Issuer's initial public offering (with fractional shares paid out in cash). The shares of Series B Convertible Preferred Stock had no expiration date.

F2 · ownership.direct: These securities are held directly by Arix Bioscience Holdings Limited ("Arix"). The reporting person is one of four members of the Investment Committee of Arix and, in such capacity, may be deemed to share voting and dispositive power over the securities held by Arix. The reporting person disclaims beneficial ownership of such securities except to the extent of his respective pecuniary interests therein.

F2 · ownership.nature: These securities are held directly by Arix Bioscience Holdings Limited ("Arix"). The reporting person is one of four members of the Investment Committee of Arix and, in such capacity, may be deemed to share voting and dispositive power over the securities held by Arix. The reporting person disclaims beneficial ownership of such securities except to the extent of his respective pecuniary interests therein.

SEC source: 0001140361-21-034645 · form4.xml · nonDerivative · entry 2

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,745,761

F2 · ownership.direct: These securities are held directly by Arix Bioscience Holdings Limited ("Arix"). The reporting person is one of four members of the Investment Committee of Arix and, in such capacity, may be deemed to share voting and dispositive power over the securities held by Arix. The reporting person disclaims beneficial ownership of such securities except to the extent of his respective pecuniary interests therein.

F2 · ownership.nature: These securities are held directly by Arix Bioscience Holdings Limited ("Arix"). The reporting person is one of four members of the Investment Committee of Arix and, in such capacity, may be deemed to share voting and dispositive power over the securities held by Arix. The reporting person disclaims beneficial ownership of such securities except to the extent of his respective pecuniary interests therein.

SEC source: 0001140361-21-034645 · form4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,433,261

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: These shares of Series B Convertible Preferred Stock converted automatically and for no additional consideration into Common Stock on a 6.359-for-1 basis upon completion of the Issuer's initial public offering (with fractional shares paid out in cash). The shares of Series B Convertible Preferred Stock had no expiration date.

F2 · ownership.direct: These securities are held directly by Arix Bioscience Holdings Limited ("Arix"). The reporting person is one of four members of the Investment Committee of Arix and, in such capacity, may be deemed to share voting and dispositive power over the securities held by Arix. The reporting person disclaims beneficial ownership of such securities except to the extent of his respective pecuniary interests therein.

F2 · ownership.nature: These securities are held directly by Arix Bioscience Holdings Limited ("Arix"). The reporting person is one of four members of the Investment Committee of Arix and, in such capacity, may be deemed to share voting and dispositive power over the securities held by Arix. The reporting person disclaims beneficial ownership of such securities except to the extent of his respective pecuniary interests therein.

SEC source: 0001140361-21-034423 · form4.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,191

Underlying: Common Stock · 42,191 shares

Expires 2031-10-07

F1 · derivative.exercise_date: These stock options vest as to 1/3 of the shares covered by the option on each annual general meeting of the Issuer's stockholders following the October 7, 2021 grant date, subject to the reporting person's continued service through the applicable vesting date.

SEC source: 0001209191-21-048395 · doc4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with Arix Bioscience plc

Disclosed balance after: 2,344,072

F1 · ownership.nature: The shares are directly beneficially owned by Arix Bioscience Holdings Limited ("Arix Ltd."). Arix Bioscience Plc ("Arix Plc") is the sole owner and parent of Arix Ltd. and may be deemed to indirectly beneficially own the shares held by Arix Ltd. Mr. Chin is a managing director of Arix plc. Each of Arix plc and Mr. Chin disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-21-044073 · doc4.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,728

Underlying: Common Stock · 7,728 shares

Expires 2031-06-28

F1 · derivative.exercise_date: The option will vest on the first anniversary of the date of grant or, if earlier, the date of Imara's next annual meeting of stockholders following the date of grant.

SEC source: 0000899243-21-025959 · doc4.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,798

Underlying: Ordinary Shares · 36,798 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one ordinary share upon vesting of the RSU.

F2 · derivative.exercise_date: Subject to the reporting person providing continuous service to the Issuer and the other terms and conditions of the Issuer's Amended and Restated 2018 Equity Incentive Plan, as amended, the RSUs shall vest in full on June 23, 2022.

F2 · derivative.expiration_date: Subject to the reporting person providing continuous service to the Issuer and the other terms and conditions of the Issuer's Amended and Restated 2018 Equity Incentive Plan, as amended, the RSUs shall vest in full on June 23, 2022.

SEC source: 0001209191-21-031103 · doc4.xml · derivative · entry 2

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,017

Underlying: Common Stock · 3,017 shares

Expires 2031-05-03

F2 · derivative.exercise_date: 50% of the shares subject to the option are fully vested and exercisable, and 25% will vest and become exercisable on September 30, 2021 and December 31, 2021, subject to the continuous service of the Reporting Person on each vesting date.

SEC source: 0001209191-21-031103 · doc4.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,167

Underlying: Common Stock · 10,167 shares

Expires 2031-05-03

F1 · derivative.exercise_date: The stock option will fully vest and become exercisable on May 4, 2022, subject to the continuous service of the Reporting Person with the Issuer on such date.

SEC source: 0001209191-21-032951 · doc4a.xml · derivative · entry 2

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,438

Underlying: Common Stock · 2,438 shares

Expires 2031-05-03

F3 · derivative.exercise_price: This option was erroneously reported with a price of $22.50 on the original Form 4 filed on May 7, 2021 due to an administrative error related to the calculation date of the Black-Scholes value.

F4 · shares: The number of shares underlying the option was erroneously reported as 3,017 on the original Form 4 filed on May 7, 2021 due to an administrative error related to the calculation date of the Black-Scholes value.

F5 · derivative.exercise_date: 50% of the shares subject to the option are fully vested and exercisable, and 25% will vest and become exercisable on September 30, 2021 and December 31, 2021, subject to the continuous service of the Reporting Person on each vesting date.

SEC source: 0001209191-21-032951 · doc4a.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,167

Underlying: Common Stock · 10,167 shares

Expires 2031-05-03

F1 · derivative.exercise_price: This option was erroneously reported with a price of $22.50 on the original Form 4 filed on May 7, 2021 due to an administrative error.

F2 · derivative.exercise_date: The stock option will fully vest and become exercisable on May 3, 2022, subject to the continuous service of the Reporting Person with the Issuer on such date. The original Form 4 filed on May 7, 2021 erroneously reported this vesting date as May 4, 2022.

SEC source: 0000899243-21-009419 · doc4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: Shares were transferred to Arix Bioscience Holdings Limited for no consideration. The reporting person had previously held the position of investment director for Arix Bioscience plc ("Arix"), the sole owner and parent of Arix Bioscience Holdings Limited, and had been appointed to the board of the issuer by Arix Bioscience Holdings Limited pursuant to a contractual right it held at that time. Pursuant to an agreement between the reporting person and Arix, following his resignation from Arix, any shares held by the reporting person or received by him from the issuer from the vesting and/or exercise of equity compensation were required to be transferred to Arix Bioscience Holdings Limited.

F1 · price: Shares were transferred to Arix Bioscience Holdings Limited for no consideration. The reporting person had previously held the position of investment director for Arix Bioscience plc ("Arix"), the sole owner and parent of Arix Bioscience Holdings Limited, and had been appointed to the board of the issuer by Arix Bioscience Holdings Limited pursuant to a contractual right it held at that time. Pursuant to an agreement between the reporting person and Arix, following his resignation from Arix, any shares held by the reporting person or received by him from the issuer from the vesting and/or exercise of equity compensation were required to be transferred to Arix Bioscience Holdings Limited.

SEC source: 0000899243-20-018267 · doc4.xml · derivative · entry 2

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 5,703 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: Restricted stock units converted into ordinary shares on a one-for-one basis upon vesting of the units.

F2 · derivative.exercise_date: On June 13, 2019, the reporting person was granted an award of 5,703 restricted stock units, which vested on July 1, 2020.

F2 · derivative.expiration_date: On June 13, 2019, the reporting person was granted an award of 5,703 restricted stock units, which vested on July 1, 2020.

SEC source: 0000899243-20-018267 · doc4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,857

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: Restricted stock units converted into ordinary shares on a one-for-one basis upon vesting of the units.

SEC source: 0001209191-20-033319 · doc4.xml · derivative · entry 2

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,017

Underlying: Common Stock · 3,017 shares

Expires 2030-05-27

F2 · derivative.exercise_date: The stock option vests and becomes exercisable as to 25% of the shares subject to the option on the last day of each calendar quarter following the grant date of May 28, 2020 (on June 30, 2020, September 30, 2020, December 31, 2020, and March 31, 2021), subject to the continuous service of the Reporting Person on each vesting date.

SEC source: 0001209191-20-033319 · doc4.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,167

Underlying: Common Stock · 10,167 shares

Expires 2030-05-27

F1 · derivative.exercise_date: The stock option will fully vest and become exercisable on May 28, 2021, subject to the continuous service of the Reporting Person with the Issuer on such date.

SEC source: 0000899243-20-010628 · doc4.xml · derivative · entry 3

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Arix Bioscience Holdings Ltd.

Disclosed balance after: 0

Underlying: Ordinary Shares · 1,900,000 shares

Expires 2025-01-31

F1 · derivative.exercise_price: On April 7, 2020, the reporting person resigned as an investment director for Arix Bioscience plc, which is the sole owner and parent of Arix Bioscience Holdings Ltd., which holds these securities. As a result of his resignation, the reporting person no longer has any voting power over these securities and therefore has ceased to beneficially own such securities.

F1 · kind: On April 7, 2020, the reporting person resigned as an investment director for Arix Bioscience plc, which is the sole owner and parent of Arix Bioscience Holdings Ltd., which holds these securities. As a result of his resignation, the reporting person no longer has any voting power over these securities and therefore has ceased to beneficially own such securities.

F1 · price: On April 7, 2020, the reporting person resigned as an investment director for Arix Bioscience plc, which is the sole owner and parent of Arix Bioscience Holdings Ltd., which holds these securities. As a result of his resignation, the reporting person no longer has any voting power over these securities and therefore has ceased to beneficially own such securities.

F1 · derivative.exercise_date: On April 7, 2020, the reporting person resigned as an investment director for Arix Bioscience plc, which is the sole owner and parent of Arix Bioscience Holdings Ltd., which holds these securities. As a result of his resignation, the reporting person no longer has any voting power over these securities and therefore has ceased to beneficially own such securities.

F2 · ownership.nature: Arix Bioscience Holdings Ltd. continues to hold these securities.

SEC source: 0000899243-20-010628 · doc4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Arix Bioscience Holdings Ltd.

Disclosed balance after: 0

F1 · kind: On April 7, 2020, the reporting person resigned as an investment director for Arix Bioscience plc, which is the sole owner and parent of Arix Bioscience Holdings Ltd., which holds these securities. As a result of his resignation, the reporting person no longer has any voting power over these securities and therefore has ceased to beneficially own such securities.

F1 · price: On April 7, 2020, the reporting person resigned as an investment director for Arix Bioscience plc, which is the sole owner and parent of Arix Bioscience Holdings Ltd., which holds these securities. As a result of his resignation, the reporting person no longer has any voting power over these securities and therefore has ceased to beneficially own such securities.

F2 · ownership.nature: Arix Bioscience Holdings Ltd. continues to hold these securities.

SEC source: 0000899243-20-008490 · doc4.xml · derivative · entry 4

Chin Mark · CIK 0001734389 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,457

Underlying: Common Stock · 15,457 shares

Expires 2030-03-15

F4 · derivative.exercise_date: The option vests in three equal installments on March 16, 2021, 2022 and 2023.

SEC source: 0000899243-20-008490 · doc4.xml · derivative · entry 3

Chin Mark · CIK 0001734389 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with Arix Bioscience plc

Disclosed balance after: 0

Underlying: Common Stock · 1,367,058 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: On March 16, 2020, the Issuer's Series B Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: On March 16, 2020, the Issuer's Series B Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: On March 16, 2020, the Issuer's Series B Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: These shares are owned directly by Arix Bioscience Holdings Limited, which is a wholly owned subsidiary of Arix Bioscience Plc. Arix Bioscience Plc is an indirect beneficial owner of the reported securities and disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

F3 · ownership.nature: The reporting person is a member of the Investment Committee of Arix and shares voting and dispositive power over the shares held by Arix. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of all of the reported shares for purposes of Section 16 or any other purpose.

SEC source: 0000899243-20-008490 · doc4.xml · nonDerivative · entry 2

Chin Mark · CIK 0001734389 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with Arix Bioscience plc

Disclosed balance after: 1,554,558

F2 · ownership.nature: These shares are owned directly by Arix Bioscience Holdings Limited, which is a wholly owned subsidiary of Arix Bioscience Plc. Arix Bioscience Plc is an indirect beneficial owner of the reported securities and disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

SEC source: 0000899243-20-008490 · doc4.xml · nonDerivative · entry 1

Chin Mark · CIK 0001734389 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By entities affiliated with Arix Bioscience plc

Disclosed balance after: 1,367,058

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: On March 16, 2020, the Issuer's Series B Preferred Stock converted into Common Stock on a 6.299-for-1 basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series B Preferred Stock was convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: These shares are owned directly by Arix Bioscience Holdings Limited, which is a wholly owned subsidiary of Arix Bioscience Plc. Arix Bioscience Plc is an indirect beneficial owner of the reported securities and disclaims beneficial ownership of the reported securities except to the extent of its pecuniary interest therein.

F3 · ownership.nature: The reporting person is a member of the Investment Committee of Arix and shares voting and dispositive power over the shares held by Arix. The reporting person disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that the reporting person is the beneficial owner of all of the reported shares for purposes of Section 16 or any other purpose.

SEC source: 0000899243-20-001838 · doc4.xml · derivative · entry 1

Chin Mark · CIK 0001734389 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Arix Bioscience Holdings Ltd.

Disclosed balance after: Not disclosed

Underlying: Ordinary Shares · 1,900,000 shares

Expires 2025-01-31

F1 · derivative.exercise_price: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. Subject to the terms of the indenture governing the Exchangeable Notes, on or after January 21, 2021 until the second scheduled trading day immediately preceding January 15, 2025, holders may exchange the Exchangeable Notes at any time. The Exchangeable Notes are exchangeable into, at the Company's election, Ordinary Shares of the Company, cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share).

F2 · derivative.exercise_price: (continued from footnote 1) The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms.

F1 · derivative.exercise_date: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. Subject to the terms of the indenture governing the Exchangeable Notes, on or after January 21, 2021 until the second scheduled trading day immediately preceding January 15, 2025, holders may exchange the Exchangeable Notes at any time. The Exchangeable Notes are exchangeable into, at the Company's election, Ordinary Shares of the Company, cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share).

F2 · derivative.exercise_date: (continued from footnote 1) The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms.

F3 · ownership.nature: The Exchangeable Note is held directly by Arix Bioscience Holdings Ltd. The reporting person is an Investment Director for Arix Bioscience Holdings Ltd.