JOHNSON DAVID EDWARD

SEC source: 0000902664-26-002852 · ownership.xml · nonDerivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks.

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,882

F1 · kind: Restricted stock units ("RSUs") convert into Common Stock on a one-for-one basis.

F2 · shares: The RSUs shall vest upon the earlier of (i) the one-year anniversary of the date of grant or (ii) the day prior to the Issuer's next annual shareholder meeting following the date of grant.

F3 · ownership.direct: David Johnson ("Mr. Johnson") is deemed to hold the securities reported herein for the benefit of certain funds (the "Caligan Funds") and managed accounts (the "Caligan Accounts", and together with the Caligan Funds, the "Caligan Funds and Accounts") to which Caligan Partners LP ("Caligan") serves as investment manager, and may, after vesting, if applicable, transfer the securities directly to such Caligan Funds and Accounts.

SEC source: 0000902664-26-002641 · ownership.xml · derivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director

Caligan Partners LP · CIK 0001727492 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,133

Underlying: Common Stock · 19,133 shares

Expires 2033-05-26

F1 · derivative.exercise_date: Option granted to David Johnson ("Mr. Johnson") pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. The option is exercisable immediately, subject to repurchase provisions, and will vest as to 100% of the shares subject to the option on the first anniversary of the date of grant, subject to Mr. Johnson's continuous service through such date.

F2 · ownership.direct: Mr. Johnson is deemed to hold the securities reported herein for the benefit of Caligan Partners Master Fund LP (the "Caligan Master Fund") and managed accounts to which Caligan Partners LP ("Caligan") serves as investment manager (the "Caligan Accounts", together with the Caligan Master Fund, the "Caligan Master Fund and Accounts"), and may, after vesting, if applicable, transfer the securities directly to the Caligan Master Fund and Accounts.

SEC source: 0000902664-26-002578 · ownership.xml · nonDerivative · entry 2

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 8,138,951

F2 · kind: Represents a transaction between the Caligan Funds.

F1 · ownership.nature: Securities held by certain funds (the "Caligan Funds") and managed accounts (the "Caligan Accounts", and together with the Caligan Funds, the "Caligan Funds and Accounts") to which Caligan serves as investment manager and related entities. David Johnson ("Mr. Johnson", and together with Caligan, the "Reporting Persons") is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-26-002578 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 8,133,651

F2 · kind: Represents a transaction between the Caligan Funds.

F1 · ownership.nature: Securities held by certain funds (the "Caligan Funds") and managed accounts (the "Caligan Accounts", and together with the Caligan Funds, the "Caligan Funds and Accounts") to which Caligan serves as investment manager and related entities. David Johnson ("Mr. Johnson", and together with Caligan, the "Reporting Persons") is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-25-005164 · ownership.xml · nonDerivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director

Caligan Partners LP · CIK 0001727492 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,553,262

F1 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Fund and Accounts") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-25-002766 · ownership.xml · nonDerivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,755

F1 · kind: Restricted stock units ("RSUs") convert into Common Stock on a one-for-one basis.

F2 · shares: The RSUs shall vest upon the earlier of (i) the one-year anniversary of the date of grant or (ii) the day prior to the Issuer's next annual shareholder meeting following the date of grant.

F3 · ownership.direct: David Johnson ("Mr. Johnson") is deemed to hold the securities reported herein for the benefit of certain funds (the "Caligan Funds") and managed accounts (the "Caligan Accounts", and together with the Caligan Funds, the "Caligan Funds and Accounts") to which Caligan Partners LP ("Caligan") serves as investment manager, and may, after vesting, if applicable, transfer the securities directly to such Caligan Funds and Accounts.

SEC source: 0000902664-25-002613 · ownership.xml · derivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director

Caligan Partners LP · CIK 0001727492 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,464

Underlying: Common Stock · 21,464 shares

Expires 2032-05-28

F1 · derivative.exercise_date: Option granted to David Johnson ("Mr. Johnson") pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. The option is exercisable immediately, subject to repurchase provisions, and will vest as to 100% of the shares subject to the option on the first anniversary of the date of grant, subject to Mr. Johnson's continuous service through such date.

F2 · ownership.direct: Mr. Johnson is deemed to hold the securities reported herein for the benefit of Caligan Partners Master Fund LP (the "Caligan Master Fund") and managed accounts to which Caligan Partners LP ("Caligan") serves as investment manager (the "Caligan Accounts", together with the Caligan Master Fund, the "Caligan Fund and Accounts"), and may, after vesting, if applicable, transfer the securities directly to the Caligan Fund and Accounts.

SEC source: 0000902664-24-005552 · ownership.xml · derivative · entry 3

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 490,000 shares

Expires 2025-09-26

F4 · security: As a result of the closing of the merger, the derivative agreements held by the Caligan Funds and Accounts settled in accordance with their terms based on the Merger Consideration.

F4 · derivative.exercise_price: As a result of the closing of the merger, the derivative agreements held by the Caligan Funds and Accounts settled in accordance with their terms based on the Merger Consideration.

F4 · kind: As a result of the closing of the merger, the derivative agreements held by the Caligan Funds and Accounts settled in accordance with their terms based on the Merger Consideration.

F4 · price: As a result of the closing of the merger, the derivative agreements held by the Caligan Funds and Accounts settled in accordance with their terms based on the Merger Consideration.

F4 · derivative.exercise_date: As a result of the closing of the merger, the derivative agreements held by the Caligan Funds and Accounts settled in accordance with their terms based on the Merger Consideration.

F2 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities previously held by Caligan Partners Master Fund LP, a Cayman Islands limited partnership, and certain funds and managed accounts to which Caligan serves as investment manager (the "Caligan Funds and Accounts"). Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-24-005552 · ownership.xml · derivative · entry 2

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 800,000 shares

Expires 2030-03-24

F3 · kind: Immediately prior to the Effective Time, the warrants to purchase shares of Common Stock were net exercised and the resulting shares of Common Stock were converted into the right to receive the Merger Consideration pursuant to the terms of the Merger Agreement.

F3 · price: Immediately prior to the Effective Time, the warrants to purchase shares of Common Stock were net exercised and the resulting shares of Common Stock were converted into the right to receive the Merger Consideration pursuant to the terms of the Merger Agreement.

F2 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities previously held by Caligan Partners Master Fund LP, a Cayman Islands limited partnership, and certain funds and managed accounts to which Caligan serves as investment manager (the "Caligan Funds and Accounts"). Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-24-005552 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

F1 · kind: Pursuant to the Agreement and Plan of Merger, dated as of June 21, 2024, by and among ANI Pharmaceuticals, Inc., a Delaware corporation ("ANI") and Alimera Sciences, Inc., a Delaware corporation (the "Issuer") and the other parties thereto (the "Merger Agreement") as of the effective time of the merger (the "Effective Time"), each outstanding share of Common Stock was cancelled and ceased to exist and converted into the right to receive (i) $5.50 in cash, without interest and (ii) one contingent value right representing the right to receive contingent cash payments subject to the achievement of certain milestones and the terms and conditions set forth in a contingent value rights agreement entered into between ANI and a rights agent (the consideration contemplated by (i) and (ii), together, the "Merger Consideration").

F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of June 21, 2024, by and among ANI Pharmaceuticals, Inc., a Delaware corporation ("ANI") and Alimera Sciences, Inc., a Delaware corporation (the "Issuer") and the other parties thereto (the "Merger Agreement") as of the effective time of the merger (the "Effective Time"), each outstanding share of Common Stock was cancelled and ceased to exist and converted into the right to receive (i) $5.50 in cash, without interest and (ii) one contingent value right representing the right to receive contingent cash payments subject to the achievement of certain milestones and the terms and conditions set forth in a contingent value rights agreement entered into between ANI and a rights agent (the consideration contemplated by (i) and (ii), together, the "Merger Consideration").

F2 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities previously held by Caligan Partners Master Fund LP, a Cayman Islands limited partnership, and certain funds and managed accounts to which Caligan serves as investment manager (the "Caligan Funds and Accounts"). Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-24-005485 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 8,118,592

F1 · ownership.nature: Securities held by certain funds (the "Caligan Funds") and managed accounts (the "Caligan Accounts", and together with the Caligan Funds, the "Caligan Funds and Accounts") to which Caligan Partners LP ("Caligan") serves as investment manager and related entities. David Johnson ("Mr. Johnson", and together with Caligan, the "Reporting Persons") is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-24-005425 · ownership.xml · nonDerivative · entry 3

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 6,994,997

F4 · kind: Represents a transaction between the Caligan Funds.

F3 · ownership.nature: Securities held by certain funds (the "Caligan Funds") and managed accounts (the "Caligan Accounts", and together with the Caligan Funds, the "Caligan Funds and Accounts") to which Caligan serves as investment manager and related entities. David Johnson ("Mr. Johnson", and together with Caligan, the "Reporting Persons") is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-24-005425 · ownership.xml · nonDerivative · entry 2

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 6,844,997

F4 · kind: Represents a transaction between the Caligan Funds.

F3 · ownership.nature: Securities held by certain funds (the "Caligan Funds") and managed accounts (the "Caligan Accounts", and together with the Caligan Funds, the "Caligan Funds and Accounts") to which Caligan serves as investment manager and related entities. David Johnson ("Mr. Johnson", and together with Caligan, the "Reporting Persons") is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-24-005425 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 6,994,997

F1 · kind: This transaction represents a pro-rata in-kind distribution by a Caligan Fund (as defined below) to limited partners for no consideration effected as of the close of trading on August 30, 2024. The shares of Common Stock were not disposed of in a sale transaction.

F1 · price: This transaction represents a pro-rata in-kind distribution by a Caligan Fund (as defined below) to limited partners for no consideration effected as of the close of trading on August 30, 2024. The shares of Common Stock were not disposed of in a sale transaction.

F2 · balance_after: Effective as of the close of trading on August 30, 2024, a consulting arrangement with a managed account to which Caligan (as defined below) served as a consultant (the "Consulting Arrangement") was terminated pursuant to its terms, and accordingly, 845,000 shares of Common Stock which were previously reported by the Reporting Persons (as defined below) that were subject to the Consulting Arrangement are no longer reported herein. The ommon Stock were not disposed of in a sale transaction. 75,000 shares of Common Stock that were previously subject to the Consulting Arrangement were received by Caligan pursuant to amounts due under the terms of the Consulting Arrangement and continue to be reported herein.

F3 · ownership.nature: Securities held by certain funds (the "Caligan Funds") and managed accounts (the "Caligan Accounts", and together with the Caligan Funds, the "Caligan Funds and Accounts") to which Caligan serves as investment manager and related entities. David Johnson ("Mr. Johnson", and together with Caligan, the "Reporting Persons") is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0001104659-24-074471 · tm2418154-4_4seq1.xml · nonDerivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,359

F1 · kind: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

F2 · shares: The RSUs shall vest upon the earlier of (i) the one-year anniversary of the date of grant or (ii) the day prior to the Issuer's next annual shareholder meeting following the date of grant.

F3 · balance_after: Mr. Johnson is deemed to hold the securities reported herein for the benefit of certain affiliated funds (the "Caligan Funds") to which Caligan Partners LP ("Caligan") serves as investment manager and a managed account to which Caligan serves as a consultant, and may, after vesting, if applicable, transfer the securities directly to such Caligan Funds or managed account.

F3 · ownership.direct: Mr. Johnson is deemed to hold the securities reported herein for the benefit of certain affiliated funds (the "Caligan Funds") to which Caligan Partners LP ("Caligan") serves as investment manager and a managed account to which Caligan serves as a consultant, and may, after vesting, if applicable, transfer the securities directly to such Caligan Funds or managed account.

SEC source: 0000902664-24-004028 · ownership.xml · derivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director

Caligan Partners LP · CIK 0001727492 · Director · See Remarks.

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,767

Underlying: Common Stock · 42,767 shares

Expires 2031-05-30

F1 · derivative.exercise_date: Option granted to David Johnson ("Mr. Johnson") pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. The option is exercisable immediately, subject to repurchase provisions, and will vest as to 100% of the shares subject to the option on the first anniversary of the date of grant, subject to Mr. Johnson's continuous service through such date.

F2 · ownership.direct: Mr. Johnson is deemed to hold the securities reported herein for the benefit of Caligan Partners Master Fund LP (the "Caligan Master Fund") and managed accounts to which Caligan Partners LP ("Caligan") serves as investment manager (the "Caligan Accounts", together with the Caligan Master Fund, the "Caligan Master Fund and Accounts"), and may, after vesting, if applicable, transfer the securities directly to the Caligan Master Fund and Accounts.

SEC source: 0000902664-24-003949 · ownership.xml · nonDerivative · entry 2

JOHNSON DAVID EDWARD · CIK 0001785557 · Director

Caligan Partners LP · CIK 0001727492 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,525,730

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased by Caligan Master Fund (as defined below) in multiple transactions at prices ranging from $20.40 to $20.885, inclusive. The Reporting Persons undertake 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 herein.

F2 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Fund and Accounts") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-24-003949 · ownership.xml · nonDerivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director

Caligan Partners LP · CIK 0001727492 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,300,730

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased by Caligan Master Fund (as defined below) in multiple transactions at prices ranging from $20.22 to $20.375, inclusive. The Reporting Persons undertake 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 herein.

F2 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Fund and Accounts") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-24-001966 · ownership.xml · nonDerivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director

Caligan Partners LP · CIK 0001727492 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 1,100,730

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased by Caligan Master Fund (as defined below) in multiple transactions at prices ranging from $20.57 to $20.78, inclusive. The Reporting Persons undertake 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 herein.

F2 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Fund and Accounts") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-005873 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 11,280,945

F1 · balance_after: Since the filing of the Form 4 filed by the Reporting Persons on September 7, 2022, and more than 6 months ago, the managed account to which Caligan (as defined below) serves as a consultant has reduced its holding by 480,000 shares of Common Stock, and accordingly, such shares of Common Stock are no longer included in the total amount of securities beneficially owned that are reported in Column 5.

F2 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan" and together with Mr. Johnson, the "Reporting Persons") with respect to the securities held by (i) Caligan Partners Master Fund LP, a Cayman Islands limited partnership, (ii) an affiliated fund to which Caligan serves as investment manager, (iii) managed accounts to which Caligan serves as investment manager, and (iv) a managed account to which Caligan serves as a consultant. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-005732 · ownership.xml · nonDerivative · entry 2

JOHNSON DAVID EDWARD · CIK 0001785557 · Director

Caligan Partners LP · CIK 0001727492 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 910,730

F2 · shares: Represents a rebalancing transaction between the Caligan Fund and Accounts.

F1 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Fund and Accounts") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-005732 · ownership.xml · nonDerivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director

Caligan Partners LP · CIK 0001727492 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 790,321

F2 · shares: Represents a rebalancing transaction between the Caligan Fund and Accounts.

F1 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Fund and Accounts") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-004790 · ownership.xml · derivative · entry 3

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 490,000

Underlying: Common Stock · 490,000 shares

Expires not disclosed

F2 · security: Represents rebalancing transaction between the Caligan Fund and Accounts.

F3 · derivative.exercise_price: At the market close on September 14, 2023, the expiration date of the notional principal amount derivative agreements in the form of cash settled swaps previously reported on the Form 3 filed by the Reporting Persons on August 11, 2023, was extended from February 2, 2024 to September 26, 2025.

F3 · kind: At the market close on September 14, 2023, the expiration date of the notional principal amount derivative agreements in the form of cash settled swaps previously reported on the Form 3 filed by the Reporting Persons on August 11, 2023, was extended from February 2, 2024 to September 26, 2025.

F3 · shares: At the market close on September 14, 2023, the expiration date of the notional principal amount derivative agreements in the form of cash settled swaps previously reported on the Form 3 filed by the Reporting Persons on August 11, 2023, was extended from February 2, 2024 to September 26, 2025.

F3 · price: At the market close on September 14, 2023, the expiration date of the notional principal amount derivative agreements in the form of cash settled swaps previously reported on the Form 3 filed by the Reporting Persons on August 11, 2023, was extended from February 2, 2024 to September 26, 2025.

F3 · derivative.exercise_date: At the market close on September 14, 2023, the expiration date of the notional principal amount derivative agreements in the form of cash settled swaps previously reported on the Form 3 filed by the Reporting Persons on August 11, 2023, was extended from February 2, 2024 to September 26, 2025.

F3 · derivative.expiration_date: At the market close on September 14, 2023, the expiration date of the notional principal amount derivative agreements in the form of cash settled swaps previously reported on the Form 3 filed by the Reporting Persons on August 11, 2023, was extended from February 2, 2024 to September 26, 2025.

F1 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Fund and Accounts") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-004790 · ownership.xml · nonDerivative · entry 2

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 16,835,154

F2 · shares: Represents rebalancing transaction between the Caligan Fund and Accounts.

F1 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Fund and Accounts") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-004790 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 16,256,154

F2 · shares: Represents rebalancing transaction between the Caligan Fund and Accounts.

F1 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Fund and Accounts") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-004504 · ownership.xml · derivative · entry 4

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 13,431,616 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 · kind: On August 15, 2023, the Series B Preferred held by the Caligan Purchasers (as defined below) automatically converted to shares of Common Stock pursuant to their terms. The Series B Preferred had no stated maturity.

F1 · derivative.exercise_date: On August 15, 2023, the Series B Preferred held by the Caligan Purchasers (as defined below) automatically converted to shares of Common Stock pursuant to their terms. The Series B Preferred had no stated maturity.

F1 · derivative.expiration_date: On August 15, 2023, the Series B Preferred held by the Caligan Purchasers (as defined below) automatically converted to shares of Common Stock pursuant to their terms. The Series B Preferred had no stated maturity.

F2 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Purchasers") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-004504 · ownership.xml · derivative · entry 3

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 2,924,761 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 · kind: On August 15, 2023, the Series B Preferred held by the Caligan Purchasers (as defined below) automatically converted to shares of Common Stock pursuant to their terms. The Series B Preferred had no stated maturity.

F1 · derivative.exercise_date: On August 15, 2023, the Series B Preferred held by the Caligan Purchasers (as defined below) automatically converted to shares of Common Stock pursuant to their terms. The Series B Preferred had no stated maturity.

F1 · derivative.expiration_date: On August 15, 2023, the Series B Preferred held by the Caligan Purchasers (as defined below) automatically converted to shares of Common Stock pursuant to their terms. The Series B Preferred had no stated maturity.

F2 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Purchasers") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-004504 · ownership.xml · nonDerivative · entry 2

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 16,835,154

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: On August 15, 2023, the Series B Preferred held by the Caligan Purchasers (as defined below) automatically converted to shares of Common Stock pursuant to their terms. The Series B Preferred had no stated maturity.

F2 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Purchasers") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-004504 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 3,403,538

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: On August 15, 2023, the Series B Preferred held by the Caligan Purchasers (as defined below) automatically converted to shares of Common Stock pursuant to their terms. The Series B Preferred had no stated maturity.

F2 · ownership.nature: This Form 4 is filed by David Johnson ("Mr. Johnson") and Caligan Partners LP ("Caligan") with respect to the securities held by Caligan Partners Master Fund LP ("Caligan Master Fund"), a Cayman Islands limited partnership, and managed accounts ("Caligan Accounts", together with the Caligan Master Fund, the "Caligan Purchasers") to which Caligan serves as investment manager. Mr. Johnson is the Managing Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-003816 · ownership.xml · nonDerivative · entry 2

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 7,797,454

F1 · kind: Represents the total number of shares of Common Stock beneficially owned by Caligan Partners LP ("Caligan") following the termination of an investment management agreement with respect to an account previously managed by Caligan.

F3 · price: This transaction represents an in-kind distribution by certain funds and accounts to which Caligan serves as the investment manager.

F3 · balance_after: This transaction represents an in-kind distribution by certain funds and accounts to which Caligan serves as the investment manager.

F2 · ownership.nature: The securities reported herein are held by an affiliated fund of Caligan. David Johnson is a Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-003816 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 8,467,920

F1 · price: Represents the total number of shares of Common Stock beneficially owned by Caligan Partners LP ("Caligan") following the termination of an investment management agreement with respect to an account previously managed by Caligan.

F2 · ownership.nature: The securities reported herein are held by an affiliated fund of Caligan. David Johnson is a Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-23-003669 · ownership.xml · derivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-06-19

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments and will become fully vested on June 19, 2026.

F2 · balance_after: Mr. Johnson is deemed to hold the securities reported herein for the benefit of certain affiliated funds (the "Caligan Funds") to which Caligan Partners LP ("Caligan") serves as investment manager and a managed account to which Caligan serves as a consultant, and may, after vesting, if applicable, transfer the securities directly to such Caligan Funds or managed account.

F2 · ownership.direct: Mr. Johnson is deemed to hold the securities reported herein for the benefit of certain affiliated funds (the "Caligan Funds") to which Caligan Partners LP ("Caligan") serves as investment manager and a managed account to which Caligan serves as a consultant, and may, after vesting, if applicable, transfer the securities directly to such Caligan Funds or managed account.

SEC source: 0000902664-23-003404 · ownership.xml · derivative · entry 3

JOHNSON DAVID EDWARD · CIK 0001785557 · Director

Caligan Partners LP · CIK 0001727492 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,353

Underlying: Common Stock · 36,353 shares

Expires 2030-05-30

F5 · derivative.exercise_date: Option granted pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. The option is exercisable immediately, subject to repurchase provisions, and will vest as to 1/4th of the original number of shares subject to the option on the one-year anniversary of the Transaction Date, and thereafter as to 1/48th of the original number of shares subject to the option on each monthly anniversary of the Transaction Date, subject to Mr. Johnson's continuous service through such dates.

F3 · ownership.direct: Mr. Johnson is deemed to hold the securities reported herein for the benefit of Caligan Partners Master Fund LP (the "Caligan Fund") and managed accounts to which Caligan Partners LP ("Caligan") serves as investment manager (the "Caligan Accounts"), and may, after vesting, if applicable, transfer the securities directly to the Caligan Fund and the Caligan Accounts.

SEC source: 0000902664-23-003404 · ownership.xml · nonDerivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director

Caligan Partners LP · CIK 0001727492 · Director · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,176

F1 · security: Represents shares of Exelixis, Inc. (the "Issuer") common stock ("Common Stock") issued to David Johnson ("Mr. Johnson") upon vesting of restricted stock units. Each restricted stock unit is the economic equivalent of one share of Common Stock.

F2 · date: The restricted stock units were granted to Mr. Johnson on the Transaction Date pursuant to the Exelixis, Inc. 2017 Equity Incentive Plan. The restricted stock units will vest as to 1/4th of the original number of shares subject to the restricted stock unit award on each of the first four anniversaries of the Transaction Date, subject to the Mr. Johnson's continuous service through such dates.

F3 · ownership.direct: Mr. Johnson is deemed to hold the securities reported herein for the benefit of Caligan Partners Master Fund LP (the "Caligan Fund") and managed accounts to which Caligan Partners LP ("Caligan") serves as investment manager (the "Caligan Accounts"), and may, after vesting, if applicable, transfer the securities directly to the Caligan Fund and the Caligan Accounts.

SEC source: 0000902664-22-004182 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,643,627

F1 · price: Price is the volume weighted average purchase price of all purchases by Caligan Partners LP ("Caligan") and David Johnson (together with Caligan, the "Reporting Persons") on the transaction date for prices ranging from $5.47 to $5.77.

F2 · ownership.nature: The securities reported herein are held by an affiliated fund to which Caligan serves as investment manager and a managed account to which Caligan serves as a consultant. David Johnson is the Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-22-003823 · ownership.xml · nonDerivative · entry 2

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 11,444,836

F2 · price: Price is the volume weighted average price of all trades by the Reporting Persons on the transaction date for prices ranging from $1.71 to $1.77.

F4 · price: The Reporting Persons hereby undertake to provide upon request of the staff of the Securities and Exchange Commission full information regarding the number of shares traded at each separate price.

F3 · ownership.nature: The securities reported herein are held by an affiliated fund and managed account of Caligan. David Johnson is a Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-22-003823 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 11,189,663

F1 · price: Price is the volume weighted average price of all trades by Caligan Partners LP ("Caligan") and David Johnson (together with Caligan, the "Reporting Persons") on the transaction date for prices ranging from $1.70 to $1.75.

F4 · price: The Reporting Persons hereby undertake to provide upon request of the staff of the Securities and Exchange Commission full information regarding the number of shares traded at each separate price.

F3 · ownership.nature: The securities reported herein are held by an affiliated fund and managed account of Caligan. David Johnson is a Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-22-003778 · ownership.xml · nonDerivative · entry 3

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 11,143,654

F3 · price: Price is the volume weighted average price of all trades by the Reporting Persons on the transaction date for prices ranging from $1.49 to $1.70.

F5 · price: The Reporting Persons hereby undertake to provide upon request of the staff of the Securities and Exchange Commission full information regarding the number of shares traded at each separate price.

F4 · ownership.nature: The securities reported herein are held by an affiliated fund and managed account of Caligan. David Johnson is a Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-22-003778 · ownership.xml · nonDerivative · entry 2

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,871,036

F2 · price: Price is the volume weighted average price of all trades by the Reporting Persons on the transaction date for prices ranging from $1.40 to $1.52.

F5 · price: The Reporting Persons hereby undertake to provide upon request of the staff of the Securities and Exchange Commission full information regarding the number of shares traded at each separate price.

F4 · ownership.nature: The securities reported herein are held by an affiliated fund and managed account of Caligan. David Johnson is a Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-22-003778 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,660,836

F1 · price: Price is the volume weighted average price of all trades by Caligan Partners LP ("Caligan") and David Johnson (together with Caligan, the "Reporting Persons") on the transaction date for prices ranging from $1.37 to $1.45.

F5 · price: The Reporting Persons hereby undertake to provide upon request of the staff of the Securities and Exchange Commission full information regarding the number of shares traded at each separate price.

F4 · ownership.nature: The securities reported herein are held by an affiliated fund and managed account of Caligan. David Johnson is a Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0001104659-22-073526 · tm2219055-2_4seq1.xml · derivative · entry 1

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-17

F1 · derivative.exercise_date: The option vests in 36 equal monthly installments and will become fully vested on June 17, 2025.

SEC source: 0000902664-22-003296 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,523,188

F1 · price: Price is the volume weighted average price of all trades by Caligan Partners LP ("Caligan") and David Johnson (together with Caligan, the "Reporting Persons") on the transaction date for prices ranging from $1.64 to $1.75.

F3 · price: The Reporting Persons hereby undertake to provide upon request of the staff of the Securities and Exchange Commission full information regarding the number of shares traded at each separate price.

F2 · ownership.nature: The securities reported herein are held by an affiliated fund and managed account of Caligan. David Johnson is a Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-22-003177 · ownership.xml · nonDerivative · entry 2

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,423,188

F3 · price: Price is the volume weighted average selling price of all sales by the Reporting Persons on the transaction date for prices ranging from $1.92 to $2.02.

F4 · price: The Reporting Persons hereby undertake to provide upon request of the staff of the Securities and Exchange Commission full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: The securities reported herein are held by an affiliated fund and managed account of Caligan. David Johnson is a Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-22-003177 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,173,188

F1 · price: Price is the volume weighted average selling price of all sales by Caligan Partners LP ("Caligan") and David Johnson (together with Caligan, the "Reporting Persons") on the transaction date for prices ranging from $1.83 to $2.00.

F4 · price: The Reporting Persons hereby undertake to provide upon request of the staff of the Securities and Exchange Commission full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: The securities reported herein are held by an affiliated fund and managed account of Caligan. David Johnson is a Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-22-003105 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,393,627

F1 · price: Price is the volume weighted average purchase price of all purchases by Caligan Partners LP ("Caligan") and David Johnson (together with Caligan, the "Reporting Persons") on the transaction date for prices ranging from $3.32 to $3.48.

F2 · ownership.nature: The securities reported herein are held by an affiliated fund to which Caligan serves as investment manager and a managed account to which Caligan serves as a consultant. David Johnson is the Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-22-003037 · ownership.xml · nonDerivative · entry 3

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,314,227

F3 · price: Price is the volume weighted average purchase price of all purchases by the Reporting Persons on the transaction date for prices ranging from $5.53 to $5.92.

F4 · ownership.nature: The securities reported herein are held by an affiliated fund to which Caligan serves as investment manager and a managed account to which Caligan serves as a consultant. David Johnson is the Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-22-003037 · ownership.xml · nonDerivative · entry 2

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,229,227

F2 · price: Price is the volume weighted average purchase price of all purchases by the Reporting Persons on the transaction date for prices ranging from $5.56 to $6.07.

F4 · ownership.nature: The securities reported herein are held by an affiliated fund to which Caligan serves as investment manager and a managed account to which Caligan serves as a consultant. David Johnson is the Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-22-003037 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · Director · 10% owner · See Remarks

JOHNSON DAVID EDWARD · CIK 0001785557 · Director · 10% owner · See Remarks

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,152,823

F1 · price: Price is the volume weighted average purchase price of all purchases by Caligan Partners LP ("Caligan") and David Johnson (together with Caligan, the "Reporting Persons") on the transaction date for prices ranging from $5.75 to $6.08.

F4 · ownership.nature: The securities reported herein are held by an affiliated fund to which Caligan serves as investment manager and a managed account to which Caligan serves as a consultant. David Johnson is the Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

SEC source: 0000902664-22-002849 · ownership.xml · nonDerivative · entry 2

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 9,973,188

F1 · price: The securities reported herein are held by an affiliated fund and managed account of Caligan Partners LP ("Caligan"). David Johnson (together with Caligan, the "Reporting Persons") is a Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

F2 · ownership.nature: The Reporting Persons hereby undertake to provide upon request of the staff of the Securities and Exchange Commission full information regarding the number of shares sold at each separate price.

SEC source: 0000902664-22-002849 · ownership.xml · nonDerivative · entry 1

Caligan Partners LP · CIK 0001727492 · 10% owner

JOHNSON DAVID EDWARD · CIK 0001785557 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 9,948,188

F1 · price: The securities reported herein are held by an affiliated fund and managed account of Caligan Partners LP ("Caligan"). David Johnson (together with Caligan, the "Reporting Persons") is a Partner of Caligan and a Managing Member of Caligan Partners GP LLC, the general partner of Caligan.

F2 · ownership.nature: The Reporting Persons hereby undertake to provide upon request of the staff of the Securities and Exchange Commission full information regarding the number of shares sold at each separate price.