Zoth Lota S.

SEC source: 0000929638-26-002256 · form4.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,000

Underlying: Common Shares · 31,000 shares

Expires 2036-06-16

F1 · derivative.exercise_date: This option vests fully on the earlier of (i) the first anniversary of the vesting commencement date, which was June 9, 2026 or (ii) the registrant's 2027 annual meeting of shareholders.

SEC source: 0001278219-26-000001 · wk-form4_1779394245.xml · derivative · entry 2

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,200

Underlying: Common Stock · 34,200 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 20, 2027.

F1 · shares: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy.

F3 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 20, 2027.

F3 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 20, 2027.

SEC source: 0001278219-26-000001 · wk-form4_1779394245.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,800

Underlying: Common Stock · 41,800 shares

Expires 2036-05-20

F1 · shares: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy.

F2 · derivative.exercise_date: Options to vest 100% on May 20, 2027.

SEC source: 0001193125-26-206910 · ownership.xml · nonDerivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,142

F1 · shares: This amount represents a restricted stock grant that vests in a single installment on April 27, 2027.

SEC source: 0001193125-25-259046 · ownership.xml · derivative · entry 6

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 56,400 shares

Expires 2035-02-01

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2]

F2 · derivative.exercise_date: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger").

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof.

SEC source: 0001193125-25-259046 · ownership.xml · derivative · entry 5

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,150 shares

Expires 2034-02-01

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2]

F2 · derivative.exercise_date: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger").

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof.

SEC source: 0001193125-25-259046 · ownership.xml · derivative · entry 4

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,400 shares

Expires 2033-02-09

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2]

F2 · derivative.exercise_date: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger").

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof.

SEC source: 0001193125-25-259046 · ownership.xml · derivative · entry 3

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2032-05-16

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2]

F2 · derivative.exercise_date: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger").

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof.

SEC source: 0001193125-25-259046 · ownership.xml · derivative · entry 2

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,500 shares

Expires 2031-04-15

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2]

F2 · derivative.exercise_date: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger").

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof.

SEC source: 0001193125-25-259046 · ownership.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2030-06-12

F1 · derivative.exercise_date: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 17, 2025, by and among 89bio, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Bluefin Merger Subsidiary, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). On October 30, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $14.50 per Share in cash, without interest (the "Closing Amount") less any required withholding taxes, plus (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $6.00 per Share, [continues to Footnote 2]

F2 · derivative.exercise_date: [continues from Footnote 1] in cash, without interest less any required withholding taxes, upon the achievement of specified milestones on or prior to the applicable milestone outside dates, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger").

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the occurrence of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (i) an amount in cash (without interest and subject to deduction for any required withholding taxes) equal to the product of (A) an amount equal to the excess of the Closing Amount over the exercise price per Share with respect to such Option and (B) the number of Shares subject to such Option plus (ii) one CVR with respect to each Share subject to such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Closing Amount, but less than $20.50 (any such option, an "Out of the Money Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Out of the Money Option was not entitled to any payment of the Closing Amount in respect thereof and each Out of the Money Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Out of the Money Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (i) the number of Shares subject to such Out of the Money Option, and (ii) the amount, if any, by which (A) the Closing Amount plus the applicable milestone payment plus any other milestone payment that previously became due and payable under the terms of the CVR Agreement exceeds (B) the exercise price per Share with respect to such Out of the Money Option plus the amounts, [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, paid to such Option holder with respect to such CVR in respect of any milestone payments that previously became due and payable under the terms of the CVR Agreement; provided further, that any Option with an exercise price that was equal to or greater than $20.50, was cancelled immediately prior to the effective time of the Merger without the receipt of any payment of the Closing Amount or CVR in respect thereof.

SEC source: 0000929638-25-002253 · form4.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Shares · 22,500 shares

Expires 2035-06-16

F1 · derivative.exercise_date: This option fully vests on the earlier of (i) the first anniversary of the date vesting commenced, which was June 10, 2025; or (ii) the 2026 Annual Meeting of Shareholders.

SEC source: 0001055726-25-000040 · wk-form4_1747861110.xml · derivative · entry 2

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,167 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 21, 2025.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 21, 2025.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 21, 2025.

SEC source: 0001055726-25-000040 · wk-form4_1747861110.xml · nonDerivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,726

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 21, 2025.

SEC source: 0000950170-25-014435 · ownership.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,400

Underlying: Common Stock · 56,400 shares

Expires 2035-02-03

F1 · derivative.exercise_date: This option represents a right to purchase a total of 56,400 shares of the Issuer's Common Stock, which will vest in full on February 1, 2026, subject to the Reporting Person's continued service to the Issuer through such date.

SEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 8

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,324 shares

Expires 2026-07-31

F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

SEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 7

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,777 shares

Expires 2029-05-09

F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

SEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 6

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,910 shares

Expires 2031-05-19

F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

SEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 5

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,431 shares

Expires 2032-05-04

F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

SEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 4

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,684 shares

Expires 2030-04-02

F3 · price: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

F3 · derivative.exercise_date: Represents an out-of-money option that was cancelled without any cash payment or issuance of CVRs being made in respect thereof pursuant to the Merger Agreement.

SEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 3

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,328 shares

Expires 2034-06-04

F2 · price: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.

F2 · derivative.exercise_date: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.

SEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · derivative · entry 2

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,345 shares

Expires 2033-05-09

F2 · price: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.

F2 · derivative.exercise_date: This option was cancelled pursuant to the Merger Agreement in exchange for (i) an amount in cash equal to the product of (x) the total number of shares underlying such option multiplied by (y) the excess of the Cash Amount over the applicable exercise price per share and (ii) one CVR for each share underlying such in-the-money option.

SEC source: 0001126234-24-000121 · wk-form4_1734143541.xml · nonDerivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: Disposed of pursuant to that certain Agreement and Plan of Merger, dated October 22, 2024, by and between the Issuer, DPV Parent, Inc., DPV MergerSub, Inc. and Double Point Ventures LLC ("DPV") (the "Merger Agreement") in exchange for (i) $4.25 in cash per share (the "Cash Amount"), plus (ii) one non-transferable contingent value right ("CVR") per share.

SEC source: 0000929638-24-002217 · form4.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Shares · 20,000 shares

Expires 2034-06-15

F1 · derivative.exercise_date: This option fully vests on the earlier of (i) the first anniversary of the date vesting commenced, which was May 15, 2024; or (ii) the 2025 Annual Meeting of Shareholders.

SEC source: 0001126234-24-000075 · wk-form4_1717790834.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,328

Underlying: Common Stock · 3,328 shares

Expires 2034-06-04

F1 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant.

SEC source: 0001055726-24-000041 · wk-form4_1716411106.xml · derivative · entry 2

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,167

Underlying: Common Stock · 2,167 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 21, 2025.

F1 · shares: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy.

F3 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 21, 2025.

F3 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 21, 2025.

SEC source: 0001055726-24-000041 · wk-form4_1716411106.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,917

Underlying: Common Stock · 2,917 shares

Expires 2034-05-21

F1 · shares: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy.

F2 · derivative.exercise_date: Options to vest 100% on May 21, 2025.

SEC source: 0001055726-24-000026 · wk-form4_1715893362.xml · derivative · entry 2

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,166 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 15, 2024.

F2 · shares: Gives effect to a 1-for-12 reverse stock split effected by the Issuer on January 24, 2024.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 15, 2024.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 15, 2024.

F2 · derivative.underlying_shares: Gives effect to a 1-for-12 reverse stock split effected by the Issuer on January 24, 2024.

SEC source: 0001055726-24-000026 · wk-form4_1715893362.xml · nonDerivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,559

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 15, 2024.

F2 · balance_after: Gives effect to a 1-for-12 reverse stock split effected by the Issuer on January 24, 2024.

SEC source: 0000929638-24-001102 · form4.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Shares · 40,000 shares

Expires 2034-03-21

F1 · derivative.exercise_date: This option vests at 1/3 on each of the first, second and third anniversaries of Ms. Zoth's date of appointment to the Board, which was December 18, 2023.

SEC source: 0000950170-24-011461 · ownership.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,150

Underlying: Common Stock · 45,150 shares

Expires 2034-02-01

F1 · derivative.exercise_date: This option represents a right to purchase a total of 45,150 shares of the Issuer's Common Stock, which will vest in full on February 1, 2025, subject to the Reporting Person's continued service to the Issuer through such date.

SEC source: 0001055726-23-000044 · wk-form4_1685995996.xml · nonDerivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,716

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

SEC source: 0001055726-23-000039 · wk-form4_1684270611.xml · derivative · entry 2

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 16, 2023.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 16, 2023.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 16, 2023.

SEC source: 0001055726-23-000039 · wk-form4_1684270611.xml · nonDerivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,416

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 16, 2023.

SEC source: 0001055726-23-000039 · wk-form4_1684270611.xml · derivative · entry 4

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,000

Underlying: Common Stock · 26,000 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 15, 2024.

F2 · shares: This grant was made under the 2016 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy.

F4 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 15, 2024.

F4 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 15, 2024.

SEC source: 0001055726-23-000039 · wk-form4_1684270611.xml · derivative · entry 3

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-05-15

F2 · shares: This grant was made under the 2016 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy.

F3 · derivative.exercise_date: Options to vest 100% on May 15, 2024.

SEC source: 0001126234-23-000074 · wf-form4_168392791539957.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,345

Underlying: Common Stock · 3,345 shares

Expires 2033-05-09

F1 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant.

SEC source: 0000899243-23-004812 · doc4.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,400

Underlying: Common Stock · 27,400 shares

Expires 2033-02-09

F1 · derivative.exercise_date: This option represents a right to purchase a total of 27,400 shares of the Issuer's Common Stock, which will vest in full on February 9, 2024, subject to the Reporting Person's continued service to the Issuer through such date.

SEC source: 0000899243-22-039324 · doc4.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-12-20

F1 · derivative.exercise_date: Stock options vest on date of next annual general meeting following grant date of December 21, 2022.

SEC source: 0001055726-22-000039 · wf-form4_165281923227717.xml · derivative · entry 5

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2032-05-16

F4 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F5 · derivative.exercise_date: Options to vest 100% on May 16, 2023.

SEC source: 0001055726-22-000039 · wf-form4_165281923227717.xml · derivative · entry 4

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 16, 2023.

F4 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy.

F3 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 16, 2023.

F3 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units will vest 100% on May 16, 2023.

SEC source: 0001055726-22-000039 · wf-form4_165281923227717.xml · nonDerivative · entry 2

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,416

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0000899243-22-018585 · doc4.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-05-16

F1 · derivative.exercise_date: This option represents a right to purchase a total of 25,000 shares of the Issuer's Common Stock, which will vest in full on May 16, 2023, subject to the Reporting Person's continued service to the Issuer through such date.

SEC source: 0001055726-22-000039 · wf-form4_165281923227717.xml · derivative · entry 3

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 13, 2022.

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 13, 2022.

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 13, 2022.

SEC source: 0001055726-22-000039 · wf-form4_165281923227717.xml · nonDerivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,016

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. These restricted stock units vested 100% on May 13, 2022.

SEC source: 0001126234-22-000058 · wf-form4_165213087549756.xml · derivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,431

Underlying: Common Stock · 3,431 shares

Expires 2032-05-04

F1 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2009 Equity Incentive Plan (the "Plan"). One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant.

SEC source: 0001055726-22-000001 · wf-form4_164141662488992.xml · nonDerivative · entry 2

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,016

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0001055726-22-000001 · wf-form4_164141662488992.xml · derivative · entry 3

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,090 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,270 restricted stock units is as follows: 4,090 shares vested on January 3, 2020; 4,090 shares vested on January 3, 2021; 4,090 shares vested on January 3, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both

F1 · derivative.exercise_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,270 restricted stock units is as follows: 4,090 shares vested on January 3, 2020; 4,090 shares vested on January 3, 2021; 4,090 shares vested on January 3, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both

F1 · derivative.expiration_date: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,270 restricted stock units is as follows: 4,090 shares vested on January 3, 2020; 4,090 shares vested on January 3, 2021; 4,090 shares vested on January 3, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both

SEC source: 0001055726-22-000001 · wf-form4_164141662488992.xml · nonDerivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,977

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

F1 · price: Each restricted stock unit represents a contingent right to receive one share of common stock. The vesting schedule for the 12,270 restricted stock units is as follows: 4,090 shares vested on January 3, 2020; 4,090 shares vested on January 3, 2021; 4,090 shares vested on January 3, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both

SEC source: 0001126234-21-000084 · wf-form4_162189584308486.xml · derivative · entry 2

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,910

Underlying: Common Stock · 2,910 shares

Expires 2031-05-19

F3 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Plan. One hundred percent (100%) of the shares shall vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, in each case subject to the Reporting Person's continuous service as of such date. The option expires ten years after the date of grant.

SEC source: 0001126234-21-000084 · wf-form4_162189584308486.xml · nonDerivative · entry 1

Zoth Lota S. · CIK 0001278219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,187

F1 · shares: Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2010 Non-Employee Director Stock Award Plan (the "Plan") that were received as an award, for no consideration. The RSUs vest in a single installment on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the first Annual Meeting following the date of grant, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.

F2 · balance_after: Includes 473 RSUs previously reported as holdings of the Reporting Person granted under the Plan. The RSUs will vest, and shares will be delivered to the Reporting Person in a series of two successive annual installments with the next installment occurring on April 3, 2022, provided in each case that the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan.