person · Reporting owner

Zoth Lota S.

Disclosed activity across 9 companies

Tapewire entity: 37177
SEC CIK: 0001278219

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
FIRST FINANCIAL BANKSHARES INCFFIN · Entity 3952	Director	April 28, 2026	May 05, 2026
INOVIO PHARMACEUTICALS, INC.INO · Entity 6589	Director	May 20, 2026	May 21, 2026
Orexigen Therapeutics, Inc.OREX · Entity 157016	Director	July 14, 2017	July 18, 2017
Zymeworks BC Inc.ZYME · Entity 12038	Director	May 06, 2021	May 07, 2021
Zymeworks Inc.ZYME · Entity 4458	Director	December 21, 2022	December 24, 2022
enGene Therapeutics Inc.ENGN · Entity 6638	Director	June 16, 2026	June 17, 2026

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

FIRST FINANCIAL BANKSHARES INC

Report date April 28, 2026 · Filed May 05, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,142	Reported balance After 2026-04-28 transaction · row 1 1 source row Row 1 · 2026-04-28 · Grant · Acquired 2,142 · Balance 2,142 F1: This amount represents a restricted stock grant that vests in a single installment on April 27, 2027.

Filing footnotes · ownership attribution and instrument terms

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

INOVIO PHARMACEUTICALS, INC.

Report date May 20, 2026 · Filed May 21, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.23 · Expires 2036-05-20	Direct	41,800	Reported balance After 2026-05-20 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-05-20 · Grant · Acquired 41,800 · Balance 41,800 F1: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy. F2: Options to vest 100% on May 20, 2027.
Restricted Stock UnitSEC Table II · derivative / convertible security	Direct	34,200	Reported balance After 2026-05-20 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-05-20 · Grant · Acquired 34,200 · Balance 34,200 F3: 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: This grant was made under the 2023 Omnibus Incentive Plan pursuant to the issuer's non-employee director compensation policy.

Filing footnotes · ownership attribution and instrument terms

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

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

F3: 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.

Orexigen Therapeutics, Inc.

Report date July 14, 2017 · Filed July 18, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.88 · Expires 2027-07-13	Direct	5,000	Reported balance After 2017-07-14 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2017-07-14 · Grant · Acquired 5,000 · Balance 5,000 F1: 1/12th of the original number of shares of stock subject to the option (rounded down to the next whole number of shares) shall vest in equal monthly installments over 12 months following the vesting commencement date of July 14, 2017, subject to the Reporting Person's continuing service on the Issuer's Board of Directors through each such date, and subject to the terms of the Stock Option Agreement in the event of a change in control of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: 1/12th of the original number of shares of stock subject to the option (rounded down to the next whole number of shares) shall vest in equal monthly installments over 12 months following the vesting commencement date of July 14, 2017, subject to the Reporting Person's continuing service on the Issuer's Board of Directors through each such date, and subject to the terms of the Stock Option Agreement in the event of a change in control of the Issuer.

Zymeworks BC Inc.

Report date May 06, 2021 · Filed May 07, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $29.49 · Expires 2031-05-05	Direct	9,000	Reported balance After 2021-05-06 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2021-05-06 · Grant · Acquired 9,000 · Balance 9,000 F1: Stock options vest on date of next annual general meeting following grant date of May 6, 2021.

Filing footnotes · ownership attribution and instrument terms

F1: Stock options vest on date of next annual general meeting following grant date of May 6, 2021.

Zymeworks Inc.

Report date December 21, 2022 · Filed December 24, 2022

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.75 · Expires 2032-12-20	Direct	25,000	Reported balance After 2022-12-21 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2022-12-21 · Grant · Acquired 25,000 · Balance 25,000 F1: Stock options vest on date of next annual general meeting following grant date of December 21, 2022.

Filing footnotes · ownership attribution and instrument terms

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

enGene Therapeutics Inc.

Report date June 16, 2026 · Filed June 17, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.75 · Expires 2036-06-16	Direct	31,000	Reported balance After 2026-06-16 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2026-06-16 · Grant · Acquired 31,000 · Balance 31,000 F1: 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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.

Past disclosures · reporting ended (3)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

89bio, Inc.

Report date October 30, 2025 · Filed October 31, 2025

Section 16 reporting ended · disclosed 2025-10-31. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.05 · Expires 2030-06-12	Direct	Reported balance After 2025-10-30 transaction · row 1 Instrument identity requires review; Table II rows are not merged. 1 source row Row 1 · 2025-10-30 · Disposition to issuer · Disposed 20,000 · Balance 0 F1: 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: [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: 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: [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: [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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $24.16 · Expires 2031-04-15	Direct	Reported balance After 2025-10-30 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2025-10-30 · Disposition to issuer · Disposed 12,500 · Balance 0 F1: 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: [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: 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: [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: [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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.64 · Expires 2032-05-16	Direct	Reported balance After 2025-10-30 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2025-10-30 · Disposition to issuer · Disposed 25,000 · Balance 0 F1: 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: [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: 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: [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: [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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $14.70 · Expires 2033-02-09	Direct	Reported balance After 2025-10-30 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2025-10-30 · Disposition to issuer · Disposed 27,400 · Balance 0 F1: 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: [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: 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: [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: [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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.98 · Expires 2034-02-01	Direct	Reported balance After 2025-10-30 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2025-10-30 · Disposition to issuer · Disposed 45,150 · Balance 0 F1: 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: [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: 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: [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: [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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $9.60 · Expires 2035-02-01	Direct	Reported balance After 2025-10-30 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2025-10-30 · Disposition to issuer · Disposed 56,400 · Balance 0 F1: 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: [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: 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: [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: [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.

Filing footnotes · ownership attribution and instrument terms

F1: 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: [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: 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: [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: [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.

LUMOS PHARMA, INC.

Report date December 12, 2024 · Filed December 13, 2024

Section 16 reporting ended · disclosed 2024-12-13. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2024-12-12 transaction · row 1 1 source row Row 1 · 2024-12-12 · Disposition to issuer · Disposed 2,187 · Balance 0 F1: 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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.42 · Expires 2033-05-09	Direct	Reported balance After 2024-12-12 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2024-12-12 · Disposition to issuer · Disposed 3,345 · Balance 0 F2: 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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.35 · Expires 2034-06-04	Direct	Reported balance After 2024-12-12 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2024-12-12 · Disposition to issuer · Disposed 3,328 · Balance 0 F2: 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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $7.78 · Expires 2030-04-02	Direct	Reported balance After 2024-12-12 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2024-12-12 · Disposition to issuer · Disposed 5,684 · Balance 0 F3: 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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $8.18 · Expires 2032-05-04	Direct	Reported balance After 2024-12-12 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2024-12-12 · Disposition to issuer · Disposed 3,431 · Balance 0 F3: 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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $10.36 · Expires 2031-05-19	Direct	Reported balance After 2024-12-12 transaction · row 6 Instrument identity requires review; Table II rows are not merged. 1 source row Row 6 · 2024-12-12 · Disposition to issuer · Disposed 2,910 · Balance 0 F3: 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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.21 · Expires 2029-05-09	Direct	Reported balance After 2024-12-12 transaction · row 7 Instrument identity requires review; Table II rows are not merged. 1 source row Row 7 · 2024-12-12 · Disposition to issuer · Disposed 2,777 · Balance 0 F3: 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.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $15.93 · Expires 2026-07-31	Direct	Reported balance After 2024-12-12 transaction · row 8 Instrument identity requires review; Table II rows are not merged. 1 source row Row 8 · 2024-12-12 · Disposition to issuer · Disposed 5,324 · Balance 0 F3: 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.

Filing footnotes · ownership attribution and instrument terms

F1: 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.

F2: 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.

F3: 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.

Spark Therapeutics, Inc.

Report date December 17, 2019 · Filed December 17, 2019

Section 16 reporting ended · disclosed 2019-12-17. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosure context
Common StockSEC Table I · non-derivative	Direct	Reported balance After 2019-12-17 transaction · row 1 1 source row Row 1 · 2019-12-17 · Other · Disposed 3,000 · Balance 0 F1: Disposed of pursuant to the Agreement and Plan of Merger, dated February 22, 2019, by and between Spark Therapeutics, Inc. ("Spark"), Roche Holdings, Inc. ("Roche") and 022019 Merger Subsidiary, Inc. ("Merger Sub") (the "Merger Agreement" and the transactions contemplated thereby, the "Merger"), whereby Roche caused Merger Sub to conduct a tender offer for all of the issued and outstanding shares of common stock, par value $0.001 per share, of Spark, at a price of $114.50 per share. On December 17, 2019, Merger Sub irrevocably accepted for payment all shares that were validly tendered and not withdrawn.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $81.53 · Expires 2028-05-29	Direct	Reported balance After 2019-12-17 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2019-12-17 · Disposition to issuer · Disposed 4,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $50.93 · Expires 2027-05-30	Direct	Reported balance After 2019-12-17 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2019-12-17 · Disposition to issuer · Disposed 4,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $56.22 · Expires 2026-05-31	Direct	Reported balance After 2019-12-17 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2019-12-17 · Disposition to issuer · Disposed 6,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option.
Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $37.18 · Expires 2026-01-05	Direct	Reported balance After 2019-12-17 transaction · row 5 Instrument identity requires review; Table II rows are not merged. 1 source row Row 5 · 2019-12-17 · Disposition to issuer · Disposed 12,000 · Balance 0 F2: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to the Agreement and Plan of Merger, dated February 22, 2019, by and between Spark Therapeutics, Inc. ("Spark"), Roche Holdings, Inc. ("Roche") and 022019 Merger Subsidiary, Inc. ("Merger Sub") (the "Merger Agreement" and the transactions contemplated thereby, the "Merger"), whereby Roche caused Merger Sub to conduct a tender offer for all of the issued and outstanding shares of common stock, par value $0.001 per share, of Spark, at a price of $114.50 per share. On December 17, 2019, Merger Sub irrevocably accepted for payment all shares that were validly tendered and not withdrawn.

F2: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
May 17, 2021 Filed May 17, 2021 20:29 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	SaleCommon Stock	2,045	$6.62	$13,537.90	Disclosure SEC source: 0001055726-21-000047 · wf-form4_162128333390607.xml · nonDerivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,887 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document
May 14, 2021 Filed May 17, 2021 20:29 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	Exercise / conversionRestricted Stock Unit · Derivative	8,700	$0.00	$0.00	Disclosure SEC source: 0001055726-21-000047 · wf-form4_162128333390607.xml · derivative · entry 5 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,700 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 14, 2021. 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 14, 2021. 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 14, 2021. Read SEC document
May 14, 2021 Filed May 17, 2021 20:29 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	Exercise / conversionCommon Stock	8,700	Not disclosed	Not disclosed	Disclosure SEC source: 0001055726-21-000047 · wf-form4_162128333390607.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 23,932 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 14, 2021. Read SEC document
May 13, 2021 Filed May 17, 2021 20:29 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	GrantRestricted Stock Unit · Derivative	18,000	$0.00	$0.00	Disclosure SEC source: 0001055726-21-000047 · wf-form4_162128333390607.xml · derivative · entry 4 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,000 Underlying: Common Stock · 18,000 shares Expires not disclosed F5 · 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 13, 2022. F3 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy. F5 · 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 13, 2022. F5 · 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 13, 2022. Read SEC document
May 13, 2021 Filed May 17, 2021 20:29 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	GrantCommon Stock Options · Derivative	27,000	$0.00 Strike: $6.23	$0.00	Disclosure SEC source: 0001055726-21-000047 · wf-form4_162128333390607.xml · derivative · entry 3 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 27,000 Underlying: Common Stock · 27,000 shares Expires 2031-05-13 F3 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy. F4 · derivative.exercise_date: Options to vest 100% on May 13, 2022. Read SEC document
May 06, 2021 Filed May 7, 2021 20:45 UTC	Zymeworks BC Inc. ZYME · Entity 12038	GrantStock Option (Right to Buy) · Derivative	9,000	$0.00 Strike: $29.49	$0.00	Disclosure SEC source: 0000899243-21-018762 · doc4.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Underlying: Common Shares · 9,000 shares Expires 2031-05-05 F1 · derivative.exercise_date: Stock options vest on date of next annual general meeting following grant date of May 6, 2021. Read SEC document
April 15, 2021 Filed Apr 19, 2021 20:47 UTC	89bio, Inc. ETNB · Entity 73682	GrantStock Option (Right to Buy) · Derivative	12,500	$0.00 Strike: $24.16	$0.00	Disclosure SEC source: 0000899243-21-016229 · doc4.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2031-04-15 F1 · derivative.exercise_date: This option represents a right to purchase a total of 12,500 shares of the Issuer's Common Stock, one third of which will vest on April 15, 2022, with the remaining two thirds vesting in equal monthly installments over the following two years, subject to the Reporting Person's continued service to the Issuer through each vesting date. Read SEC document
January 05, 2021 Filed Jan 5, 2021 21:09 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	SaleCommon Stock	961	$9.48	$9,110.28	Disclosure SEC source: 0001055726-21-000002 · wf-form4_160988096823254.xml · nonDerivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,232 F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document
January 03, 2021 Filed Jan 5, 2021 21:09 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	Exercise / conversionRestricted Stock Unit · Derivative	4,090	$0.00	$0.00	Disclosure SEC source: 0001055726-21-000002 · wf-form4_160988096823254.xml · derivative · entry 3 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,090 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 will vest 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 will vest 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 will vest on January 3, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both. Read SEC document
January 03, 2021 Filed Jan 5, 2021 21:09 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	Exercise / conversionCommon Stock	4,090	Not disclosed	Not disclosed	Disclosure SEC source: 0001055726-21-000002 · wf-form4_160988096823254.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,193 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 will vest on January 3, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both. Read SEC document
June 12, 2020 Filed Jun 16, 2020 21:02 UTC	89bio, Inc. ETNB · Entity 73682	GrantStock Option (Right to Buy) · Derivative	20,000	$0.00 Strike: $24.05	$0.00	Disclosure SEC source: 0000899243-20-016662 · doc4.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2030-06-12 F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's Common Stock, which will vest in equal installments on June 1, 2021, June 1, 2022 and June 1, 2023, subject to the Reporting Person's continued service to the Issuer through each vesting date. Read SEC document
May 14, 2020 Filed May 15, 2020 20:07 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	GrantRestricted Stock Unit · Derivative	8,700	$0.00	$0.00	Disclosure SEC source: 0001055726-20-000037 · wf-form4_158957325802670.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,700 Underlying: Common Stock · 8,700 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 14, 2021. F1 · 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 14, 2021. 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 14, 2021. Read SEC document
May 14, 2020 Filed May 15, 2020 20:07 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	GrantCommon Stock Options · Derivative	13,300	$0.00 Strike: $13.65	$0.00	Disclosure SEC source: 0001055726-20-000037 · wf-form4_158957325802670.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,300 Underlying: Common Stock · 13,300 shares Expires 2030-05-14 F1 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy. F2 · derivative.exercise_date: Options to vest 100% on May 14, 2021. Read SEC document
May 08, 2020 Filed May 8, 2020 22:21 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	Exercise / conversionRestricted Stock Unit · Derivative	8,013	$0.00	$0.00	Disclosure SEC source: 0001055726-20-000028 · wf-form4_158897646518475.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,013 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 8, 2020. 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 8, 2020. 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 8, 2020. Read SEC document
May 08, 2020 Filed May 8, 2020 22:21 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	Exercise / conversionCommon Stock	8,013	Not disclosed	Not disclosed	Disclosure SEC source: 0001055726-20-000028 · wf-form4_158897646518475.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,103 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 8, 2020. Read SEC document
May 08, 2020 Filed May 12, 2020 06:31 UTC	Zymeworks BC Inc. ZYME · Entity 12038	GrantStock Option (Right to Buy) · Derivative	9,000	$0.00 Strike: $35.49	$0.00	Disclosure SEC source: 0000899243-20-012775 · doc4.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,000 Underlying: Common Shares · 9,000 shares Expires 2030-05-07 F1 · derivative.exercise_date: Stock options vest on date of next annual general meeting following grant date of May 8, 2020. Read SEC document
April 03, 2020 Filed Apr 7, 2020 17:59 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	5,684	$0.00 Strike: $7.78	$0.00	Disclosure SEC source: 0001126234-20-000064 · wf-form4_158629672718339.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,684 Underlying: Common Stock · 5,684 shares Expires 2030-04-02 F2 · derivative.exercise_date: Grant to the Reporting Person of a nonstatutory stock option under the Plan. One-third of the shares vest on the one-year anniversary of the grant date and the remaining two-thirds of the shares vest in a series of 24 successive equal monthly installments thereafter, subject to the Reporting Persons's continuous service as of such dates. The option expires ten years after the date of grant, unless it expires sooner pursuant to the terms of the Plan. Read SEC document
April 03, 2020 Filed Apr 7, 2020 17:59 UTC	LUMOS PHARMA, INC. (LUMO) · Entity 85102	GrantCommon Stock	709	$0.00	$0.00	Disclosure SEC source: 0001126234-20-000064 · wf-form4_158629672718339.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,820 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 series of three successive annual installments beginning on April 3, 2021, 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. Read SEC document
January 03, 2020 Filed Jan 6, 2020 21:49 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	Exercise / conversionRestricted Stock Unit · Derivative	4,090	$0.00	$0.00	Disclosure SEC source: 0001055726-20-000001 · wf-form4_157834734044445.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,180 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 will vest on January 3, 2021; 4,090 shares will vest 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 will vest on January 3, 2021; 4,090 shares will vest 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 will vest on January 3, 2021; 4,090 shares will vest on January 3, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both. Read SEC document
January 03, 2020 Filed Jan 6, 2020 21:49 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	Exercise / conversionCommon Stock	4,090	Not disclosed	Not disclosed	Disclosure SEC source: 0001055726-20-000001 · wf-form4_157834734044445.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,090 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 will vest on January 3, 2021; 4,090 shares will vest on January 3, 2022. Vested restricted stock units can be settled in shares of common stock, cash or a combination of both. Read SEC document
January 02, 2020 Filed Jan 6, 2020 20:10 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	GrantCommon Stock	2,100	$0.00	$0.00	Disclosure SEC source: 0001126234-20-000007 · wf-form4_157835939480406.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,006 F1 · shares: Represents shares issued as restricted stock units ("RSUs") under the Issuer's 2010 Non-Employee Directors Stock Award Plan (the "Plan") that were received in lieu of cash for a portion of the Reporting Person's annual retainer for the Reporting Person's services on the board, so that the Reporting Person would comply with the Issuer's director stock ownership policy. The RSUs vest immediately. Read SEC document
December 17, 2019 Filed Dec 17, 2019 21:54 UTC	Spark Therapeutics, Inc. ONCE · Entity 153045	Disposition to issuerStock Option (Right to Buy) · Derivative	12,000	$0.00 Strike: $37.18	$0.00	Disclosure SEC source: 0000899243-19-029453 · doc4.xml · derivative · entry 5 Zoth Lota S. · CIK 0001278219 · Director · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2026-01-05 F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option. Read SEC document
December 17, 2019 Filed Dec 17, 2019 21:54 UTC	Spark Therapeutics, Inc. ONCE · Entity 153045	Disposition to issuerStock Option (Right to Buy) · Derivative	6,000	$0.00 Strike: $56.22	$0.00	Disclosure SEC source: 0000899243-19-029453 · doc4.xml · derivative · entry 4 Zoth Lota S. · CIK 0001278219 · Director · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000 shares Expires 2026-05-31 F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option. Read SEC document
December 17, 2019 Filed Dec 17, 2019 21:54 UTC	Spark Therapeutics, Inc. ONCE · Entity 153045	Disposition to issuerStock Option (Right to Buy) · Derivative	4,000	$0.00 Strike: $50.93	$0.00	Disclosure SEC source: 0000899243-19-029453 · doc4.xml · derivative · entry 3 Zoth Lota S. · CIK 0001278219 · Director · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,000 shares Expires 2027-05-30 F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option. Read SEC document
December 17, 2019 Filed Dec 17, 2019 21:54 UTC	Spark Therapeutics, Inc. ONCE · Entity 153045	Disposition to issuerStock Option (Right to Buy) · Derivative	4,000	$0.00 Strike: $81.53	$0.00	Disclosure SEC source: 0000899243-19-029453 · doc4.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,000 shares Expires 2028-05-29 F2 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the effective time of the Merger, each outstanding Spark stock option, whether vested or unvested, was converted into the right to an amount in cash (less applicable tax withholdings) equal to the product of (a) the excess of $114.50 over the per share exercise price of such stock option and (b) the total number of shares of common stock subject to such stock option. Read SEC document
December 17, 2019 Filed Dec 17, 2019 21:54 UTC	Spark Therapeutics, Inc. ONCE · Entity 153045	OtherCommon Stock	3,000	$114.50	$343,500.00	Disclosure SEC source: 0000899243-19-029453 · doc4.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director · CHIEF SCIENTIFIC OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · shares: Disposed of pursuant to the Agreement and Plan of Merger, dated February 22, 2019, by and between Spark Therapeutics, Inc. ("Spark"), Roche Holdings, Inc. ("Roche") and 022019 Merger Subsidiary, Inc. ("Merger Sub") (the "Merger Agreement" and the transactions contemplated thereby, the "Merger"), whereby Roche caused Merger Sub to conduct a tender offer for all of the issued and outstanding shares of common stock, par value $0.001 per share, of Spark, at a price of $114.50 per share. On December 17, 2019, Merger Sub irrevocably accepted for payment all shares that were validly tendered and not withdrawn. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	13,889	Not disclosed Strike: $1.77	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 18 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,889 Underlying: Common Stock · 13,889 shares Expires 2026-07-31 F7 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F3 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	27,777	Not disclosed Strike: $5.33	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 17 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 27,777 shares Expires 2028-05-22 F7 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would 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. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	4,437	Not disclosed Strike: $1.77	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 16 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,437 Underlying: Common Stock · 4,437 shares Expires 2026-07-31 F2 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F3 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	13,309	Not disclosed Strike: $17.42	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 15 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 13,309 shares Expires 2027-05-11 F2 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would 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. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	2,392	Not disclosed Strike: $1.77	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 14 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,392 Underlying: Common Stock · 2,392 shares Expires 2026-07-31 F7 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F3 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	4,783	Not disclosed Strike: $10.78	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 13 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 4,783 shares Expires 2026-08-08 F7 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would 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. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	8,887	Not disclosed Strike: $1.77	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 12 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,887 Underlying: Common Stock · 8,887 shares Expires 2026-07-31 F7 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F3 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	17,773	Not disclosed Strike: $10.78	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 11 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 17,773 shares Expires 2026-08-08 F7 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every two cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would 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. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	1,588	Not disclosed Strike: $1.77	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 10 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,588 Underlying: Common Stock · 1,588 shares Expires 2026-07-31 F6 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every four cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F3 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	6,349	Not disclosed Strike: $44.60	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 9 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,349 shares Expires 2025-04-29 F6 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every four cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would 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. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	5,220	Not disclosed Strike: $1.77	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 8 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,220 Underlying: Common Stock · 5,220 shares Expires 2026-07-31 F2 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F3 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	15,659	Not disclosed Strike: $21.23	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 7 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,659 shares Expires 2024-04-30 F2 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would 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. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	4,000	Not disclosed Strike: $1.77	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 6 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,000 Underlying: Common Stock · 4,000 shares Expires 2026-07-31 F2 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F3 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	12,000	Not disclosed Strike: $14.71	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 5 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 12,000 shares Expires 2023-05-08 F2 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F5 · derivative.exercise_date: The option provided that one hundred percent (100%) of the shares would 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. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	3,571	Not disclosed Strike: $1.77	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 4 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,571 Underlying: Common Stock · 3,571 shares Expires 2026-07-31 F2 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F3 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	10,713	Not disclosed Strike: $13.30	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 3 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,713 shares Expires 2022-11-01 F2 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F4 · derivative.exercise_date: The option provided that 50% of the option vested on November 2, 2013 and the remaining 50% of such option vested in equal monthly installments over the next 12 months, provided (i) that the option shall vest in full on the date of the Annual Meeting held two years after the date of grant and (ii) that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	3,968	Not disclosed Strike: $1.77	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,968 Underlying: Common Stock · 3,968 shares Expires 2026-07-31 F2 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F3 · derivative.exercise_date: The option vests as to 50% on the first anniversary of grant date and the remaining 50% on the second anniversary of grant date. Read SEC document
July 31, 2019 Filed Aug 2, 2019 18:39 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	Disposition to issuerStock Option (Right to Buy) · Derivative	11,904	Not disclosed Strike: $13.30	Not disclosed	Disclosure SEC source: 0001126234-19-000104 · wf-form4_156478554000686.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 11,904 shares Expires 2022-11-01 F2 · price: On July 31, 2019, the issuer cancelled this option grant pursuant to the issuer's option exchange program. In exchange, for every three cancelled options, the reporting person received a replacement option having an exercise price of $1.77 per share. F1 · derivative.exercise_date: The option provided that 33.3% of the option vested on November 2, 2013 and the remaining 66.6% of the option vested in equal monthly installments over the next twenty-four months, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in or as determined under the Plan. Read SEC document
May 30, 2019 Filed Jun 3, 2019 20:19 UTC	Spark Therapeutics, Inc. ONCE · Entity 153045	Exercise / conversionRestricted Stock Units · Derivative	1,500	$0.00	$0.00	Disclosure SEC source: 0001609351-19-000061 · wf-form4_155959318380504.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,500 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. F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Spark Therapeutics, Inc. common stock. F3 · derivative.exercise_date: On May 30, 2018, the reporting person was granted 1,500 restricted stock units that vest on the one-year anniversary of the grant date. Vested shares are delivered to the reporting person on the vesting date. F3 · derivative.expiration_date: On May 30, 2018, the reporting person was granted 1,500 restricted stock units that vest on the one-year anniversary of the grant date. Vested shares are delivered to the reporting person on the vesting date. Read SEC document
May 30, 2019 Filed Jun 3, 2019 20:19 UTC	Spark Therapeutics, Inc. ONCE · Entity 153045	Exercise / conversionCommon Stock	1,500	Not disclosed	Not disclosed	Disclosure SEC source: 0001609351-19-000061 · wf-form4_155959318380504.xml · nonDerivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,000 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. F1 · price: Each restricted stock unit converted into one share of Spark Therapeutics, Inc. common stock. Read SEC document
May 10, 2019 Filed May 14, 2019 17:34 UTC	LUMOS PHARMA, INC. (NLNK) · Entity 85102	GrantStock Option (Right to Buy) · Derivative	25,000	$0.00 Strike: $1.69	$0.00	Disclosure SEC source: 0001126234-19-000061 · wf-form4_155786967807721.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 2029-05-09 F1 · derivative.exercise_date: Automatic grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2009 Equity Incentive Plan, as amended (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. Read SEC document
May 08, 2019 Filed May 9, 2019 22:08 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	GrantRestricted Stock Unit · Derivative	8,013	$0.00	$0.00	Disclosure SEC source: 0001055726-19-000036 · wf-form4_155743970789452.xml · derivative · entry 2 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,013 Underlying: Common Stock · 8,013 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 8, 2020. F1 · 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 8, 2020. 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 8, 2020. Read SEC document
May 08, 2019 Filed May 9, 2019 22:08 UTC	INOVIO PHARMACEUTICALS, INC. INO · Entity 6589	GrantCommon Stock Options · Derivative	12,500	$0.00 Strike: $3.90	$0.00	Disclosure SEC source: 0001055726-19-000036 · wf-form4_155743970789452.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,500 Underlying: Common Stock · 12,500 shares Expires 2029-05-08 F1 · shares: This grant was made pursuant to the issuer's non-employee director compensation policy. F2 · derivative.exercise_date: Options to vest with respect to 100% of the shares on May 8, 2020. Read SEC document
May 06, 2019 Filed May 8, 2019 16:22 UTC	Zymeworks BC Inc. ZYME · Entity 12038	GrantStock Option (Right to Buy) · Derivative	10,000	$0.00 Strike: $19.11	$0.00	Disclosure SEC source: 0000899243-19-012637 · doc4.xml · derivative · entry 1 Zoth Lota S. · CIK 0001278219 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Shares · 10,000 shares Expires 2029-05-05 F1 · derivative.exercise_date: Stock options vest on date of next annual general meeting following grant date of May 6, 2019. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.