BAUM CHARLES M

SEC source: 0000905148-26-003024 · form4.xml · derivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,275

Underlying: Common Stock · 20,275 shares

Expires 2036-06-16

F1 · derivative.exercise_date: The shares subject to the option shall vest on the date immediately preceding the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service through the applicable vesting date.

SEC source: 0001579824-26-000003 · form4-06052026_080642.xml · derivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,000

Underlying: Common Stock · 42,000 shares

Expires 2036-06-04

F1 · derivative.exercise_date: Shares subject to the option vest on the earlier of (i) June 4, 2027 or (ii) the date of the Issuer's next annual meeting of stockholders.

SEC source: 0000905148-26-002557 · form4.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,366

F1 · kind: These shares represent restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Common Stock. These RSUs shall vest in full on May 18, 2027, subject to the Reporting Person's continuous service through such vesting date.

SEC source: 0000905148-25-002170 · form4.xml · derivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,275

Underlying: Common Stock · 20,275 shares

Expires 2035-06-12

F1 · derivative.exercise_date: The shares subject to the option shall vest on the date immediately preceding the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service through the applicable vesting date.

SEC source: 0001415889-25-016254 · form4-06092025_080615.xml · derivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,500

Underlying: Common Stock · 33,500 shares

Expires 2035-06-05

F1 · derivative.exercise_date: Shares subject to the option vest on the earlier of (i) June 5, 2026 or (ii) the date of the Issuer's next annual meeting of stockholders.

SEC source: 0001415889-25-001085 · form4-01082025_070131.xml · derivative · entry 4

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,350 shares

Expires 2034-06-16

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

SEC source: 0001415889-25-001085 · form4-01082025_070131.xml · derivative · entry 3

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,350 shares

Expires 2033-06-14

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

SEC source: 0001415889-25-001085 · form4-01082025_070131.xml · derivative · entry 2

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 57,000 shares

Expires 2032-06-15

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

SEC source: 0001415889-25-001085 · form4-01082025_070131.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2]

F2 · shares: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price.

F1 · price: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2]

F2 · price: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price.

SEC source: 0000905148-24-001774 · form4.xml · derivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,275

Underlying: Common Stock · 20,275 shares

Expires 2034-06-19

F1 · derivative.exercise_date: The shares subject to the option shall vest on the date immediately preceding the date of the Issuer's next annual meeting of stockholders, subject to the Reporting Person's continuous service through each applicable vesting date.

SEC source: 0000950170-24-074864 · ownership.xml · derivative · entry 2

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,350

Underlying: Common Stock · 27,350 shares

Expires 2034-06-16

F2 · derivative.exercise_date: The stock option will vest and become fully exercisable on the earlier to occur of (i) the one year anniversary of the date of grant and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders.

SEC source: 0000950170-24-074864 · ownership.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,600

F1 · kind: Represents restricted stock units granted pursuant to the Issuer's Equity Incentive Plan. The RSUs are scheduled to vest on the earlier to occur of (i) the one year anniversary of the date of grant and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders.

SEC source: 0001415889-24-016199 · form4-06102024_080633.xml · derivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,500

Underlying: Common Stock · 67,500 shares

Expires 2034-06-05

F1 · derivative.exercise_date: The option vests as follows: 22,500 shares vest on the earlier of (i) June 6, 2025 or (ii) the day prior to the date of the Issuer's next annual meeting of stockholders and the remaining 45,000 shares vest in 36 equal monthly installments beginning on July 6, 2024.

SEC source: 0001140361-24-003528 · form4.xml · derivative · entry 11

BAUM CHARLES M · CIK 0001579824 · Director · Founder, President, and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 168,441 shares

Expires 2029-01-16

F6 · price: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a Per Share Exercise Price that was equal to or greater than the Closing Consideration, but was less than the sum of the Closing Consideration and the maximum amount payable in respect of one CVR (the "Maximum Total Consideration"), was cancelled and converted into the right to receive a cash payment equal to (A) the excess of (x) the sum of (i) the Closing Consideration plus (ii) the actual Milestone Payment, if any, made in respect of one CVR over (y) the Per Share Exercise Price, multiplied by (B) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

F7 · price: Such payment will be made if, and only if, a Milestone Payment is made in respect of a CVR and will be made at the same time the Milestone Payment is made to holders of CVRs. If the CVR is terminated or expires without payment, no payment will be made with respect to any such Company Option.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a Per Share Exercise Price that was equal to or greater than the Closing Consideration, but was less than the sum of the Closing Consideration and the maximum amount payable in respect of one CVR (the "Maximum Total Consideration"), was cancelled and converted into the right to receive a cash payment equal to (A) the excess of (x) the sum of (i) the Closing Consideration plus (ii) the actual Milestone Payment, if any, made in respect of one CVR over (y) the Per Share Exercise Price, multiplied by (B) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001140361-24-003528 · form4.xml · derivative · entry 10

BAUM CHARLES M · CIK 0001579824 · Director · Founder, President, and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,559 shares

Expires 2029-01-16

F6 · price: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a Per Share Exercise Price that was equal to or greater than the Closing Consideration, but was less than the sum of the Closing Consideration and the maximum amount payable in respect of one CVR (the "Maximum Total Consideration"), was cancelled and converted into the right to receive a cash payment equal to (A) the excess of (x) the sum of (i) the Closing Consideration plus (ii) the actual Milestone Payment, if any, made in respect of one CVR over (y) the Per Share Exercise Price, multiplied by (B) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

F7 · price: Such payment will be made if, and only if, a Milestone Payment is made in respect of a CVR and will be made at the same time the Milestone Payment is made to holders of CVRs. If the CVR is terminated or expires without payment, no payment will be made with respect to any such Company Option.

F6 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each Company Option that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a Per Share Exercise Price that was equal to or greater than the Closing Consideration, but was less than the sum of the Closing Consideration and the maximum amount payable in respect of one CVR (the "Maximum Total Consideration"), was cancelled and converted into the right to receive a cash payment equal to (A) the excess of (x) the sum of (i) the Closing Consideration plus (ii) the actual Milestone Payment, if any, made in respect of one CVR over (y) the Per Share Exercise Price, multiplied by (B) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001140361-24-003528 · form4.xml · derivative · entry 9

BAUM CHARLES M · CIK 0001579824 · Director · Founder, President, and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,520 shares

Expires 2033-01-20

F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001140361-24-003528 · form4.xml · derivative · entry 8

BAUM CHARLES M · CIK 0001579824 · Director · Founder, President, and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 178,052 shares

Expires 2028-01-17

F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001140361-24-003528 · form4.xml · derivative · entry 7

BAUM CHARLES M · CIK 0001579824 · Director · Founder, President, and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 111,652 shares

Expires 2026-01-21

F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001140361-24-003528 · form4.xml · derivative · entry 6

BAUM CHARLES M · CIK 0001579824 · Director · Founder, President, and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 81,458 shares

Expires 2025-02-03

F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001140361-24-003528 · form4.xml · derivative · entry 5

BAUM CHARLES M · CIK 0001579824 · Director · Founder, President, and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 69,258 shares

Expires 2024-05-20

F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001140361-24-003528 · form4.xml · derivative · entry 4

BAUM CHARLES M · CIK 0001579824 · Director · Founder, President, and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,273 shares

Expires 2027-01-25

F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each compensatory option to purchase shares of Company Common Stock (each, a "Company Option") that was outstanding and unexercised as of immediately prior to the Effective Time, whether or not vested, with a per share exercise price ("Per Share Exercise Price") that was less than the Closing Consideration, was cancelled and converted into the right to receive the sum of (A) a cash payment, without interest, equal to (x) the excess of (1) the Closing Consideration over (2) the Per Share Exercise Price, multiplied by (y) the total number of shares of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting) and (B) one CVR for each share of Company Common Stock subject to such Company Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001140361-24-003528 · form4.xml · nonDerivative · entry 3

BAUM CHARLES M · CIK 0001579824 · Director · Founder, President, and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F4 · price: Pursuant to the Merger Agreement and the Company Equity Plans (as such term is defined in the Merger Agreement), at the Effective Time, each of these RSUs that was outstanding as of immediately prior to the Effective Time was cancelled and converted into the right to receive a cash award of BMS in an amount equal to the product of the number of restricted stock units subject to such RSU immediately prior to the Effective Time and the last trading price of a share of Company Common Stock before the Effective Time (the "Converted Cash Award"). Following the Effective Time, the Converted Cash Award will be subject to the same terms and conditions applicable to such Issuer RSUs, including with respect to vesting.

SEC source: 0001140361-24-003528 · form4.xml · nonDerivative · entry 2

BAUM CHARLES M · CIK 0001579824 · Director · Founder, President, and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,425

F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each of these restricted stock units ("RSUs") that was outstanding as of immediately prior to the Effective Time was cancelled and the Reporting Person was entitled to receive the Merger Consideration in respect of each such RSU.

SEC source: 0001140361-24-003528 · form4.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director · Founder, President, and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 114,482

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of October 8, 2023, among the Issuer, Bristol-Myers Squibb Company ("BMS"), and Vineyard Merger Sub Inc., a wholly owned subsidiary of BMS ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer (the "Merger"), effective as of January 23, 2024 (such date and time of such Merger, the "Effective Time"), with the Issuer surviving the Merger as a wholly owned subsidiary of BMS. The number of shares of Company Common Stock (as defined below) reported in this Form 4 has been adjusted to account for a reconciliation of the Issuer's records in connection with the Merger.

F2 · price: At the Effective Time, each issued and outstanding share of common stock of the Issuer ("Company Common Stock") reported in this Form 4 was converted into the right to receive (A) $58.00 per share in cash (the "Closing Consideration") and (B) one contingent value right (a "CVR"), which represents the right to receive the Milestone Payment (as such term is defined in the CVR Agreement, which is itself defined in the Merger Agreement) (the consideration contemplated by (A) and (B), together, the "Merger Consideration"), without interest and subject to any withholding taxes.

SEC source: 0001628280-24-000277 · wk-form4_1704322350.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 247,700

F1 · shares: (1) Grant of Restricted Stock Units (RSUs). Shares will vest 25% annually on the anniversary of the grant date until fully vested.

SEC source: 0001628280-23-028884 · wk-form4_1691699074.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director · Interim CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 227,275

F1 · shares: Grant of Restricted Stock Units (RSUs). Shares will vest 100% on the one year anniversary of the grant date.

SEC source: 0001140361-23-031959 · form4.xml · derivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,500

Underlying: Common Stock · 32,500 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The shares subject to the option shall vest in 36 substantially equal monthly installments beginning on June 22, 2023 ("Vesting Commencement Date"), such that all shares are fully vested on the third anniversary of the Vesting Commencement Date, in each case subject to the Reporting Person's continuous service through each such vesting date.

SEC source: 0000950170-23-028605 · ownership.xml · derivative · entry 2

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,350

Underlying: Common Stock · 27,350 shares

Expires 2033-06-14

F2 · derivative.exercise_date: The stock option will vest and become fully exercisable on the earlier to occur of (i) the one year anniversary of the date of grant and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders.

SEC source: 0000950170-23-028605 · ownership.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,950

F1 · kind: Represents restricted stock units granted pursuant to the Issuer's Equity Incentive Plan. The RSUs are scheduled to vest on the earlier to occur of (i) the one year anniversary of the date of grant and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders.

SEC source: 0001209191-23-036368 · doc4.xml · derivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,500

Underlying: Common Stock · 21,500 shares

Expires 2023-06-08

F1 · derivative.exercise_date: Shares subject to the option vest on the earlier of (i) June 8, 2024 or (ii) the day prior to the date of the Issuer's next annual meeting of stockholders.

SEC source: 0001214659-23-001049 · marketforms-58277.xml · derivative · entry 2

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,520

Underlying: Common Stock · 7,520 shares

Expires 2033-01-20

F2 · derivative.exercise_date: The shares subject to the Option vest and become exercisable in 12 equal monthly installments following the date of grant.

SEC source: 0001214659-23-001049 · marketforms-58277.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,221

F1 · shares: Grant of Restricted Stock Units (RSUs). Shares will vest 100% on the anniversary of the grant date.

SEC source: 0001214659-23-000290 · marketforms-57998.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,777

F1 · kind: Represents shares sold by the Company to satisfy the tax withholding obligation associated with the vesting of a portion of the restricted stock units (RSUs) granted on January 3, 2020.

SEC source: 0001214659-22-015200 · marketforms-57922.xml · nonDerivative · entry 2

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,425

F2 · shares: Represents shares sold by the Company to satisfy the tax withholding obligation associated with the vesting of a portion of the PSUs referenced in Footnote 1.

SEC source: 0001214659-22-015200 · marketforms-57922.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,517

F1 · kind: Award of Performance Stock Units ("PSUs"). 1/3 of the PSUs have vested on December 19, 2022 (one week after the "Achievement Date" of December 12, 2022). 1/3 of the remaining shares will vest on the one year anniversary of the Achievement Date and the remaining 1/3 will vest on the two year anniversary of the Achievement Date, subject to Mr. Baum's continuous service.

SEC source: 0001214659-22-014229 · marketforms-57677.xml · derivative · entry 3

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,258

Underlying: Common Stock · 69,256 shares

Expires 2024-05-20

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: 1/4th of the shares subject to the Option shall vest and become exercisable on the first anniversary of the date of grant, and 1/48th of the shares subject to the Option shall vest each month thereafter until fully vested.

SEC source: 0001214659-22-014229 · marketforms-57677.xml · nonDerivative · entry 2

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,899

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 15, 2021.

SEC source: 0001214659-22-014229 · marketforms-57677.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,155

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 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 15, 2021.

SEC source: 0001209191-22-037669 · doc4.xml · derivative · entry 2

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,000

Underlying: Common Stock · 57,000 shares

Expires 2032-06-15

F2 · derivative.exercise_date: The stock option will vest and become exercisable in 36 equal monthly installments following May 16, 2022.

SEC source: 0001209191-22-037669 · doc4.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,300

F1 · kind: Represents shares issuable upon the vesting of restricted stock units granted pursuant to the Issuer's Equity Incentive Plan. The RSUs are scheduled to vest in three successive equal annual installments following May 16, 2022.

SEC source: 0001209191-22-034607 · doc4.xml · derivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,500

Underlying: Common Stock · 19,500 shares

Expires 2032-06-01

F1 · derivative.exercise_date: Shares subject to the option vest on the earlier of (i) June 2, 2023 or (ii) the day prior to the date of the Issuer's next annual meeting of stockholders

SEC source: 0001214659-22-000856 · marketforms-55090.xml · derivative · entry 5

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,052

Underlying: Common Stock · 3,703 shares

Expires 2028-01-17

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.

F4 · derivative.exercise_date: 25% of the shares subject to the Option shall vest and become exercisable on the first anniversary of the date of grant, and 1/48th of the shares subject to the Option shall vest each month thereafter until fully vested.

SEC source: 0001214659-22-000856 · marketforms-55090.xml · nonDerivative · entry 3

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,899

F2 · shares: Represents shares sold by the Company to satisfy the tax withholding obligation associated with the vesting of a portion of the restricted stock units (RSUs) granted on January 15, 2021.

F3 · price: The price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $120.19 to $120.49, 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 range set forth above.

SEC source: 0001214659-22-000856 · marketforms-55090.xml · nonDerivative · entry 2

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,416

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

SEC source: 0001214659-22-000856 · marketforms-55090.xml · derivative · entry 4

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,325

Underlying: Common Stock · 42,325 shares

Expires 2032-01-13

F4 · derivative.exercise_date: 25% of the shares subject to the Option shall vest and become exercisable on the first anniversary of the date of grant, and 1/48th of the shares subject to the Option shall vest each month thereafter until fully vested.

SEC source: 0001214659-22-000856 · marketforms-55090.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,713

F1 · shares: Grant of Restricted Stock Units (RSUs). Shares will vest 25% annually on the anniversary of the grant date until fully vested.

SEC source: 0001214659-22-000419 · marketforms-54961.xml · nonDerivative · entry 2

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,170

F1 · shares: Represents shares sold by the Company to satisfy the tax withholding obligation associated with the vesting of a portion of the restricted stock units (RSUs) granted on January 3, 2020.

SEC source: 0001214659-22-000419 · marketforms-54961.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director · President,Founder,Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,239

F1 · shares: Represents shares sold by the Company to satisfy the tax withholding obligation associated with the vesting of a portion of the restricted stock units (RSUs) granted on January 3, 2020.

SEC source: 0001214659-21-013378 · marketforms-54668.xml · nonDerivative · entry 1

BAUM CHARLES M · CIK 0001579824 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,284

SEC source: 0001214659-21-012712 · marketforms-54505.xml · derivative · entry 9

BAUM CHARLES M · CIK 0001579824 · Director · President & Head of R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 47,204 shares

Expires 2022-11-12

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.