Allen Patricia L

SEC source: 0001104659-26-075253 · tm2618042-5_4seq1.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires 2036-06-15

F1 · derivative.exercise_date: The option vests as to 100% of the underlying shares of common stock on June 15, 2027, the first anniversary of the vesting commencement date, subject to continued service.

SEC source: 0001104659-26-015342 · tm266411-1_4seq1.xml · nonDerivative · entry 4

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,860

SEC source: 0001104659-26-015342 · tm266411-1_4seq1.xml · nonDerivative · entry 3

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,700

SEC source: 0001104659-26-015342 · tm266411-1_4seq1.xml · nonDerivative · entry 2

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,700

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $24.12 to $24.7, inclusive. The Reporting Person undertakes to provide 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.

SEC source: 0001104659-26-015342 · tm266411-1_4seq1.xml · nonDerivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,000

F1 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions ranging from $23.38 to $24.07, inclusive. The Reporting Person undertakes to provide 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.

SEC source: 0001104659-25-058933 · tm2517684-7_4seq1.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires 2035-06-10

F1 · derivative.exercise_date: The option vests as to 100% of the underlying shares of common stock on June 10, 2026, the first anniversary of the vesting commencement date, subject to continued service.

SEC source: 0001104659-24-100335 · tm2424157-4_4seq1.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires 2034-09-11

F1 · derivative.exercise_date: The option vests as to 100% of the underlying shares of common stock on September 12, 2025, the first anniversary of the vesting commencement date, subject to continued service.

SEC source: 0000950170-24-072198 · ownership.xml · derivative · entry 8

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,727 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F2 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-072198 · ownership.xml · derivative · entry 7

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F2 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-072198 · ownership.xml · derivative · entry 6

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,269 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F2 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-072198 · ownership.xml · derivative · entry 5

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,500 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F2 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-072198 · ownership.xml · derivative · entry 4

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,570 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F2 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-072198 · ownership.xml · derivative · entry 3

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F2 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-072198 · ownership.xml · derivative · entry 2

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,181 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F2 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-072198 · ownership.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,233 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F2 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F2 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-005387 · ownership.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,727

Underlying: Common Stock · 4,727 shares

Expires 2034-01-15

F1 · price: These options were issued upon election by the director to receive her cash board retainer fee of $50,000 for the FY 2024 in the form of an equity award, in lieu of cash, under the amended and restated non-employee director compensation policy. The shares will vest in four substantially equal installments on each of March 31, 2024, June 30, 2024, September 30, 2024 and December 31, 2024.

F1 · derivative.exercise_date: These options were issued upon election by the director to receive her cash board retainer fee of $50,000 for the FY 2024 in the form of an equity award, in lieu of cash, under the amended and restated non-employee director compensation policy. The shares will vest in four substantially equal installments on each of March 31, 2024, June 30, 2024, September 30, 2024 and December 31, 2024.

SEC source: 0001209191-23-039324 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-06-20

F1 · derivative.exercise_date: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. The option shall vest in full on June 21, 2024, subject to continued service through such date.

SEC source: 0001209191-23-003997 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,269

Underlying: Common Stock · 3,269 shares

Expires 2033-01-16

F1 · price: These options were issued upon election by the director to receive her cash board retainer fee of $50,000 for the FY 2023 in the form of an equity award, in lieu of cash, under the amended and restated non-employee director compensation policy. The shares will vest in four substantially equal installments on each of March 31, 2023, June 30, 2023, September 30, 2023 and December 31, 2023.

F1 · derivative.exercise_date: These options were issued upon election by the director to receive her cash board retainer fee of $50,000 for the FY 2023 in the form of an equity award, in lieu of cash, under the amended and restated non-employee director compensation policy. The shares will vest in four substantially equal installments on each of March 31, 2023, June 30, 2023, September 30, 2023 and December 31, 2023.

SEC source: 0001209191-22-039193 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,500

Underlying: Common Stock · 18,500 shares

Expires 2032-06-22

F1 · derivative.exercise_date: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. The option shall vest in full on June 23, 2023, subject to continued service through such date.

SEC source: 0001209191-22-004080 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,570

Underlying: Common Stock · 9,570 shares

Expires 2032-01-17

F1 · price: These options were issued upon election by the director to receive her cash board retainer fee of $50,000 for the FY 2022 in the form of an equity award, in lieu of cash, under the amended and restated non-employee director compensation policy. 2,393 shares will vest on March 31, 2022, 2,393 shares will vest on June 30, 2022, 2,393 shares will vest on September 30, 2022 and the remaining 2,391 shares will vest on December 31, 2022.

F1 · derivative.exercise_date: These options were issued upon election by the director to receive her cash board retainer fee of $50,000 for the FY 2022 in the form of an equity award, in lieu of cash, under the amended and restated non-employee director compensation policy. 2,393 shares will vest on March 31, 2022, 2,393 shares will vest on June 30, 2022, 2,393 shares will vest on September 30, 2022 and the remaining 2,391 shares will vest on December 31, 2022.

SEC source: 0001209191-21-043266 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2031-06-22

F1 · derivative.exercise_date: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. The option shall vest in full on June 23, 2022, subject to continued service through such date.

SEC source: 0000899243-21-022010 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,800

Underlying: Common Stock · 14,800 shares

Expires 2031-06-01

F1 · derivative.exercise_date: The shares subject to the option shall vest in equal quarterly installments over three years following June 2, 2021.

SEC source: 0000899243-20-035268 · doc4.xml · derivative · entry 2

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,271

Underlying: Common Stock · 5,271 shares

Expires 2030-04-06

F1 · date: On August 22, 2020, the Issuer (formerly known as Proteostasis Therapeutics, Inc.) entered into an Agreement and Plan of Merger and Reorganization, as amended on November 6, 2020, with Pangolin Merger Sub, Inc. ("Merger Sub"), Yumanity, Inc. (formerly known as Yumanity Therapeutics, Inc.) and Yumanity Holdings, LLC ("Holdings"). On December 22, 2020, Merger Sub was merged with and into Yumanity, Inc., with Yumanity, Inc. surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). Immediately prior to the consummation of the Merger, Holdings was merged with and into Yumanity, Inc., with Yumanity, Inc. as the surviving entity.

F5 · price: Received in the Merger in exchange for a stock option to acquire 25,000 shares of Yumanity, Inc. common stock for $1.72 per share.

F4 · derivative.exercise_date: The shares subject to the option vest in equal quarterly installments over four years, commencing on February 18, 2020.

SEC source: 0000899243-20-035268 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,495

Underlying: Common Stock · 12,495 shares

Expires 2029-09-08

F1 · date: On August 22, 2020, the Issuer (formerly known as Proteostasis Therapeutics, Inc.) entered into an Agreement and Plan of Merger and Reorganization, as amended on November 6, 2020, with Pangolin Merger Sub, Inc. ("Merger Sub"), Yumanity, Inc. (formerly known as Yumanity Therapeutics, Inc.) and Yumanity Holdings, LLC ("Holdings"). On December 22, 2020, Merger Sub was merged with and into Yumanity, Inc., with Yumanity, Inc. surviving as a wholly-owned subsidiary of the Issuer (the "Merger"). Immediately prior to the consummation of the Merger, Holdings was merged with and into Yumanity, Inc., with Yumanity, Inc. as the surviving entity.

F3 · price: Received in the Merger in exchange for a stock option to acquire 59,266 shares of Yumanity, Inc. common stock for $1.72 per share.

F2 · derivative.exercise_date: The shares subject to the option vest in equal quarterly installments over four years, commencing on August 15, 2019.

SEC source: 0001209191-20-036232 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2030-06-10

F1 · derivative.exercise_date: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. The option shall vest in full on June 10, 2021, subject to continued service through such date.

SEC source: 0001209191-20-034676 · doc4.xml · derivative · entry 6

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,635 shares

Expires 2028-05-16

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

F3 · derivative.exercise_date: This stock option award was issued pursuant to Issuer's 2017 Stock Option and Incentive Plan and vested in full on May 17, 2019, subject to the Reporting Person's continuous service with the Issuer.

SEC source: 0001209191-20-034676 · doc4.xml · nonDerivative · entry 4

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $55.09 to $56.00, inclusive. The reporting person undertakes to provide to Deciphera Pharmaceuticals, Inc., any security holder of Deciphera Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001209191-20-034676 · doc4.xml · nonDerivative · entry 3

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,635

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: 0001209191-20-034676 · doc4.xml · derivative · entry 5

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,635

Underlying: Common Stock · 6,365 shares

Expires 2028-05-16

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

F3 · derivative.exercise_date: This stock option award was issued pursuant to Issuer's 2017 Stock Option and Incentive Plan and vested in full on May 17, 2019, subject to the Reporting Person's continuous service with the Issuer.

SEC source: 0001209191-20-034676 · doc4.xml · nonDerivative · entry 2

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.00 to $59.34, inclusive. The reporting person undertakes to provide to Deciphera Pharmaceuticals, Inc., any security holder of Deciphera Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001209191-20-034676 · doc4.xml · nonDerivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,365

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: 0001209191-20-005130 · doc4.xml · derivative · entry 5

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,233

Underlying: Common Stock · 25,000 shares

Expires 2026-09-26

F5 · derivative.exercise_date: This stock option award was issued pursuant to the Deciphera Pharmaceuticals, LLC's 2015 Equity Incentive Plan. The option vests in 48 equal monthly installments at the end of each month following the vesting commencement date of September 27, 2016, subject to continued service through such dates.

SEC source: 0001209191-20-005130 · doc4.xml · nonDerivative · entry 4

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $67.29 to $67.45, inclusive. The reporting person undertakes to provide to Deciphera Pharmaceuticals, Inc., any security holder of Deciphera Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001209191-20-005130 · doc4.xml · nonDerivative · entry 3

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700

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

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $66.25 to $67.12, inclusive. The reporting person undertakes to provide to Deciphera Pharmaceuticals, Inc., any security holder of Deciphera Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001209191-20-005130 · doc4.xml · nonDerivative · entry 2

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,196

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

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $65.25 to $66.24, inclusive. The reporting person undertakes to provide to Deciphera Pharmaceuticals, Inc., any security holder of Deciphera Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001209191-20-005130 · doc4.xml · nonDerivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

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

SEC source: 0001209191-19-036736 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2029-06-11

F1 · derivative.exercise_date: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. The option shall vest in full on June 11, 2020, subject to continued service through such date.

SEC source: 0000899243-19-001925 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2029-01-22

F1 · derivative.exercise_date: 25% of this option vests on January 22, 2020, and the remainder vests in equal monthly installments thereafter over 36 months.

SEC source: 0000899243-18-013551 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2028-05-16

F1 · derivative.exercise_date: This stock option award was issued pursuant to Issuer's 2017 Stock Option and Incentive Plan and will vest in full on May 17, 2019, subject to the Reporting Person's continuous service with the Issuer.

SEC source: 0000899243-18-005331 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2028-02-22

F1 · derivative.exercise_date: 25% of this option vests on February 22, 2019, and the remainder vests in equal monthly installments thereafter over 36 months

SEC source: 0000899243-17-023133 · doc4.xml · derivative · entry 4

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,181

Underlying: Common Stock · 7,181 shares

Expires 2027-06-03

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

F3 · shares: Represents the total number of options to purchase common stock of the Issuer received upon the exchange of options to purchase common stock of Deciphera Pharmaceuticals, Inc. for options to purchase common stock of the Issuer pursuant to the Merger Agreement.

F1 · price: Immediately prior to the closing of the Issuer's initial public offering, these options to purchase common stock of Deciphera Pharmaceuticals, LLC were exchanged for options to purchase common stock of the Issuer on a 1 for 5.65 basis pursuant to that certain Reorganization Agreement and Plan of Merger by and among the Issuer, Deciphera Pharmaceuticals, LLC and the other parties named therein, dated September 26, 2017 (the "Merger Agreement"). These transactions were exempt from Section 16(b) in reliance upon Rule 16b-3 and Rule 16b-6(b).

F4 · derivative.exercise_date: This stock option award was issued pursuant to Deciphera Pharmaceuticals, LLC's 2015 Equity Incentive Plan. The option vests in 48 equal monthly installments at the end of each month following the vesting commencement date of May 26, 2017, subject to continued service through such dates.

SEC source: 0000899243-17-023133 · doc4.xml · derivative · entry 3

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,181 shares

Expires 2027-06-03

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 · shares: Immediately prior to the closing of the Issuer's initial public offering, these options to purchase common stock of Deciphera Pharmaceuticals, LLC were exchanged for options to purchase common stock of the Issuer on a 1 for 5.65 basis pursuant to that certain Reorganization Agreement and Plan of Merger by and among the Issuer, Deciphera Pharmaceuticals, LLC and the other parties named therein, dated September 26, 2017 (the "Merger Agreement"). These transactions were exempt from Section 16(b) in reliance upon Rule 16b-3 and Rule 16b-6(b).

F1 · price: Immediately prior to the closing of the Issuer's initial public offering, these options to purchase common stock of Deciphera Pharmaceuticals, LLC were exchanged for options to purchase common stock of the Issuer on a 1 for 5.65 basis pursuant to that certain Reorganization Agreement and Plan of Merger by and among the Issuer, Deciphera Pharmaceuticals, LLC and the other parties named therein, dated September 26, 2017 (the "Merger Agreement"). These transactions were exempt from Section 16(b) in reliance upon Rule 16b-3 and Rule 16b-6(b).

F4 · derivative.exercise_date: This stock option award was issued pursuant to Deciphera Pharmaceuticals, LLC's 2015 Equity Incentive Plan. The option vests in 48 equal monthly installments at the end of each month following the vesting commencement date of May 26, 2017, subject to continued service through such dates.

SEC source: 0000899243-17-023133 · doc4.xml · derivative · entry 2

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,233

Underlying: Common Stock · 35,233 shares

Expires 2026-09-26

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

F3 · shares: Represents the total number of options to purchase common stock of the Issuer received upon the exchange of options to purchase common stock of Deciphera Pharmaceuticals, Inc. for options to purchase common stock of the Issuer pursuant to the Merger Agreement.

F1 · price: Immediately prior to the closing of the Issuer's initial public offering, these options to purchase common stock of Deciphera Pharmaceuticals, LLC were exchanged for options to purchase common stock of the Issuer on a 1 for 5.65 basis pursuant to that certain Reorganization Agreement and Plan of Merger by and among the Issuer, Deciphera Pharmaceuticals, LLC and the other parties named therein, dated September 26, 2017 (the "Merger Agreement"). These transactions were exempt from Section 16(b) in reliance upon Rule 16b-3 and Rule 16b-6(b).

F2 · derivative.exercise_date: This stock option award was issued pursuant to Deciphera Pharmaceuticals, LLC's 2015 Equity Incentive Plan. The option vests in 48 equal monthly installments at the end of each month following the vesting commencement date of September 27, 2016, subject to continued service through such dates.

SEC source: 0000899243-17-023133 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,233 shares

Expires 2026-09-26

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 · shares: Immediately prior to the closing of the Issuer's initial public offering, these options to purchase common stock of Deciphera Pharmaceuticals, LLC were exchanged for options to purchase common stock of the Issuer on a 1 for 5.65 basis pursuant to that certain Reorganization Agreement and Plan of Merger by and among the Issuer, Deciphera Pharmaceuticals, LLC and the other parties named therein, dated September 26, 2017 (the "Merger Agreement"). These transactions were exempt from Section 16(b) in reliance upon Rule 16b-3 and Rule 16b-6(b).

F1 · price: Immediately prior to the closing of the Issuer's initial public offering, these options to purchase common stock of Deciphera Pharmaceuticals, LLC were exchanged for options to purchase common stock of the Issuer on a 1 for 5.65 basis pursuant to that certain Reorganization Agreement and Plan of Merger by and among the Issuer, Deciphera Pharmaceuticals, LLC and the other parties named therein, dated September 26, 2017 (the "Merger Agreement"). These transactions were exempt from Section 16(b) in reliance upon Rule 16b-3 and Rule 16b-6(b).

F2 · derivative.exercise_date: This stock option award was issued pursuant to Deciphera Pharmaceuticals, LLC's 2015 Equity Incentive Plan. The option vests in 48 equal monthly installments at the end of each month following the vesting commencement date of September 27, 2016, subject to continued service through such dates.

SEC source: 0000899243-17-002288 · doc4.xml · derivative · entry 1

Allen Patricia L · CIK 0001348587 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,000

Underlying: Common Stock · 88,000 shares

Expires 2027-01-27

F1 · derivative.exercise_date: 25% of this option vests on January 27, 2018, and the remainder vests in equal monthly installments thereafter over 36 months.