Fischer Laurent

SEC source: 0001415889-24-016065 · form4-06072024_100617.xml · derivative · entry 2

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,703

Underlying: Common Stock · 5,703 shares

Expires not disclosed

F2 · derivative.exercise_price: Each deferred stock unit represents a contingent right to receive one share of the Issuer's common stock and will vest on the first anniversary of the grant date, provided that it will in any case be fully vested on the date of the Issuer's 2025 annual stockholder meeting. Each vested deferred stock unit will be paid out in the Issuer's common stock upon the earliest to occur of (i) a change in control of the Issuer and (ii) within 60 days following separation from service with the Issuer.

F2 · derivative.exercise_date: Each deferred stock unit represents a contingent right to receive one share of the Issuer's common stock and will vest on the first anniversary of the grant date, provided that it will in any case be fully vested on the date of the Issuer's 2025 annual stockholder meeting. Each vested deferred stock unit will be paid out in the Issuer's common stock upon the earliest to occur of (i) a change in control of the Issuer and (ii) within 60 days following separation from service with the Issuer.

F2 · derivative.expiration_date: Each deferred stock unit represents a contingent right to receive one share of the Issuer's common stock and will vest on the first anniversary of the grant date, provided that it will in any case be fully vested on the date of the Issuer's 2025 annual stockholder meeting. Each vested deferred stock unit will be paid out in the Issuer's common stock upon the earliest to occur of (i) a change in control of the Issuer and (ii) within 60 days following separation from service with the Issuer.

SEC source: 0001415889-24-016065 · form4-06072024_100617.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,779

Underlying: Common Stock · 8,779 shares

Expires 2034-06-04

F1 · derivative.exercise_date: The shares vest on the first anniversary of the grant date, provided that the option will in any case be fully vested on the date of the Issuer's 2025 annual stockholder meeting.

SEC source: 0001415889-24-003746 · form4-02142024_090227.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO, PRESIDENT AND DIRECTOR

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,104,200

Underlying: Common Stock · 1,104,200 shares

Expires 2034-02-11

F1 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares subject to the option shall vest and become exercisable on the first anniversary of February 12, 2024 (the "Vesting Commencement Date"), and one-forty-eighth (1/48th) of the total number of shares subject to the option shall vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable on the fourth (4th) anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date.

SEC source: 0001415889-24-007713 · form4-03122024_110350.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO, PRESIDENT AND DIRECTOR

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315,000

Underlying: Common Stock · 315,000 shares

Expires 2032-03-07

F1 · derivative.exercise_date: Reflects the meeting of the performance condition of performance stock options previously granted to the Reporting Person, pursuant to which 1/24 of the total number of shares subject to the option vest and become exercisable each month following the date upon which the first cohort of patients in the LUNA trial were fully dosed (the "Vesting Commencement Date"), such that all of the shares shall be vested and exercisable as of the second anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date. On October 3, 2023, the Issuer's Compensation Committee certified that the Vesting Commencement Date occurred on August 16, 2023.

SEC source: 0000899243-23-016488 · doc4.xml · derivative · entry 7

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,000 shares

Expires not disclosed

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · price: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.exercise_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.expiration_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.expiration_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016488 · doc4.xml · derivative · entry 6

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,000 shares

Expires not disclosed

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · price: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.exercise_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.expiration_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.expiration_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016488 · doc4.xml · derivative · entry 5

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 80,000 shares

Expires not disclosed

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · price: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.exercise_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.expiration_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.expiration_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016488 · doc4.xml · derivative · entry 4

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 126,000 shares

Expires not disclosed

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · price: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.exercise_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.expiration_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.expiration_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016488 · doc4.xml · derivative · entry 3

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 120,000 shares

Expires not disclosed

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · price: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.exercise_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.expiration_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.expiration_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016488 · doc4.xml · derivative · entry 2

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,000 shares

Expires not disclosed

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · price: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.exercise_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.expiration_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.expiration_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0000899243-23-016488 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires not disclosed

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · price: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.exercise_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

F1 · derivative.expiration_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of May 10, 2023, by and among the Issuer, Swedish Orphan Biovitrum AB (publ) ("Parent"), and Cleopatra Acquisition Corp., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer, effective as of June 26, 2023 (the "Effective Time"), each option to purchase shares of Company Common Stock that was outstanding immediately prior to the Effective Time, whether or not vested, with an exercise price that was less than the Offer Price, terminated and was cancelled immediately prior to the Effective Time and converted into the right to receive a cash payment (without interest, and less any applicable withholding taxes)

F2 · derivative.expiration_date: (Continued from Footnote 1) equal to (A) the excess of (x) the Offer Price over (y) the exercise price payable per share of Company Common Stock under such option, multiplied by (B) the total number of shares of Company Common Stock subject to such option.

SEC source: 0001209191-23-037124 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2033-06-11

F1 · derivative.exercise_date: The shares vest on the first anniversary of the grant date, provided that the option will in any case be fully vested on the date of the Company's 2024 annual stockholder meeting.

SEC source: 0000899243-23-010978 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2033-04-05

F1 · derivative.exercise_date: This stock option vests on the first to occur of (i) the date that is twelve months after the date of grant, and (ii) immediately prior to the first annual meeting of the Company's stockholders in 2024 at which one or more members of the Company's Board of Directors are to be elected, subject to the Reporting Person's continued service through such date or event.

SEC source: 0001209191-23-019835 · doc4.xml · nonDerivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO, President and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 692,141

F1 · kind: The sales reported on this Form 4 were effected to satisfy certain tax obligations of the Reporting Person incurred with the vesting and settlement of certain performance stock units.

F2 · balance_after: Includes 6,000 shares purchased on November 18, 2022 pursuant to the Issuer's 2014 Employee Stock Purchase Plan, as amended and restated.

SEC source: 0001209191-23-015781 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO, President and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 930,000

Underlying: Common Stock · 930,000 shares

Expires 2033-02-28

F1 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares subject to the option shall vest and become exercisable on the first anniversary of March 1, 2023 (the "Vesting Commencement Date"), and one-forty-eighth (1/48th) of the total number of shares subject to the option shall vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable on the fourth (4th) anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date.

SEC source: 0001209191-22-050951 · doc4.xml · nonDerivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO, President and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 727,380

F1 · kind: The sales reported on this Form 4 were effected to satisfy certain tax obligations of the Reporting Person incurred with the vesting and settlement of certain performance stock units.

F2 · price: Price reported is a weighted-average sale price. The shares were sold at prices ranging from $1.069589 to $1.0708. The reporting person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F3 · balance_after: Includes 6,000 shares purchased on May 20, 2022 pursuant to the Issuer's 2014 Employee Stock Purchase Plan, as amended and restated.

SEC source: 0001209191-22-050399 · doc4.xml · derivative · entry 2

Fischer Laurent · CIK 0001379344 · Director · CEO, President and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 584,978

Underlying: Common Stock · 584,978 shares

Expires 2032-09-13

F2 · derivative.exercise_date: All of the shares subject to the Performance Based Stock Option shall vest and become exercisable upon certification by the Compensation Committee of the Board of Directors of the Issuer that one full Nasdaq trading session has elapsed since the Issuer's public disclosure of final topline results from the LUNA Phase 2 clinical trial of ADVM-022 in wet age-related macular degeneration (the "Performance Based Stock Option Vesting Date"), provided the Reporting Person continues to provide Continuous Service (as defined in the Issuer's 2014 Equity Incentive Plan) from September 14, 2022 through the Performance Based Stock Option Vesting Date.

SEC source: 0001209191-22-050399 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO, President and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 675,022

Underlying: Common Stock · 675,022 shares

Expires 2032-09-13

F1 · derivative.exercise_date: The options will vest in equal monthly installments over three years, such that all of the shares subject to the option shall become vested and exercisable as of the third anniversary of September 14, 2022, provided the Reporting Person continues to provide Continuous Service (as defined in the Issuer's 2014 Equity Incentive Plan) on each such vesting date.

SEC source: 0001209191-22-034635 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2032-06-01

F1 · derivative.exercise_date: The shares vest on the first anniversary of the grant date, provided that the option will in any case be fully vested on the date of the Company's 2023 annual stockholder meeting.

SEC source: 0001209191-22-025414 · doc4.xml · nonDerivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO, President and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 762,462

F1 · price: Price reported is a weighted-average purchase price. The shares were purchased at prices ranging from $1.10 to $1.14. The reporting person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0000899243-22-010772 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2032-03-09

F1 · derivative.exercise_date: This stock option vests on the first to occur of (i) the date that is twelve months after the date of grant, and (ii) immediately prior to the first annual meeting of the Company's stockholders in 2023 at which one or more members of the Company's Board of Directors are to be elected, subject to the Reporting Person's continued service through such date or event.

SEC source: 0001209191-22-019628 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO, President and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 630,000

Underlying: Common Stock · 630,000 shares

Expires 2032-03-07

F1 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of February 18, 2022 (the "Vesting Commencement Date"), and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date.

SEC source: 0001209191-21-069099 · doc4.xml · nonDerivative · entry 2

Fischer Laurent · CIK 0001379344 · Director · CEO, President and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 737,462

F3 · price: Price reported is a weighted-average purchase price. The shares were purchased at prices ranging from $1.845 to $1.85. The reporting person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001209191-21-069099 · doc4.xml · nonDerivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO, President and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 723,139

F1 · price: Price reported is a weighted-average purchase price. The shares were purchased at prices ranging from $1.75 to $1.80. The reporting person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F2 · balance_after: Includes 3,000 shares purchased on May 20, 2021 inadvertently not reflected as held on the Reporting Person's prior Form 4 and 3,170 shares purchased on November 22, 2021, in each case pursuant to the Issuer's 2014 Employee Stock Purchase Plan, as amended and restated.

SEC source: 0001209191-21-050747 · doc4.xml · derivative · entry 2

Fischer Laurent · CIK 0001379344 · Director · CEO, President and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 455,000

Underlying: Common Stock · 455,000 shares

Expires 2031-08-05

F3 · derivative.exercise_date: The options will vest in equal monthly installments over three years, such that all of the shares subject to the option shall become vested and exercisable as of the third anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date.

SEC source: 0001209191-21-050747 · doc4.xml · nonDerivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO, President and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 706,292

F1 · shares: Reflects the grants of performance stock units, pursuant to which: (a) 1/3 of the shares will vest upon dosing of the first subject in a Phase 2 clinical trial of ADVM-022 in wet age-related macular degeneration; (b) 1/3 of the shares will vest upon dosing of the first subject in a potentially registrational clinical trial of ADVM-022 or another product candidate owned or being developed by Adverum in wet age-related macular degeneration or another indication determined by the Compensation Committee to represent a significant unmet medical need; and (c) 1/3 of the shares will vest upon consummation of a strategic corporate transaction, not constituting a change in control, that is determined by the Compensation Committee to be transformative for Adverum, in each case contingent upon certification by the Compensation Committee of the achievement of such milestone and subject to the Reporting Person's continued service with the Issuer on each such vesting date. See Footnote 2.

F2 · shares: Non-exclusive examples of a strategic corporate transaction are (i) a collaboration with another company for the development and commercialization of a major asset, (ii) a substantial royalty-based or other structured financing, and (iii) the acquisition or in-license of a significant asset for development and commercialization.

SEC source: 0001209191-21-038921 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2031-06-03

F1 · derivative.exercise_date: The shares vest on the first anniversary of the grant date, provided that the option will in any case be fully vested on the date of the Company's 2022 annual stockholder meeting.

SEC source: 0001209191-21-022934 · doc4.xml · nonDerivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,292

F1 · price: Price reported is a weighted-average purchase price. The shares were purchased at prices ranging from $9.71 to $9.98. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0000899243-21-011369 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2031-03-10

F1 · derivative.exercise_date: This stock option was granted on March 10, 2021 and vests on the first to occur of (i) the date that is twelve months after the date of grant, and (ii) immediately prior to the first annual meeting of the Company's stockholders in 2022 at which one or more members of the Company's Board of Directors are to be elected, subject to the Reporting Person's continued service through such date or event. The stock option is subject to stockholder approval of an increase in the share reserve under the Company's 2017 Equity Incentive Plan, which approval must occur within one year from the grant date.

SEC source: 0001209191-21-012210 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680,000

Underlying: Common Stock · 680,000 shares

Expires 2031-02-15

F1 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of February 16, 2021 (the "Vesting Commencement Date"), and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to the Reporting Person's continued service with the Issuer on each such vesting date.

SEC source: 0001209191-21-004142 · doc4.xml · nonDerivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,292

F1 · price: Price reported is a weighted-average purchase price. The shares were purchased at prices ranging from $11.44 to $11.60. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001209191-20-047622 · doc4.xml · nonDerivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,692

SEC source: 0001209191-20-037335 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director · CEO and Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,200,000

Underlying: Common Stock · 1,200,000 shares

Expires 2030-06-14

F1 · derivative.exercise_date: Twenty-five percent (25%) of the total number of shares subject to the option vest and become exercisable on the first anniversary of June 15, 2020 (the "Vesting Commencement Date"), and 1/48 of the total number of shares subject to the option vest and become exercisable each month thereafter, such that all of the shares subject to the option shall become vested and exercisable as of the fourth anniversary of the Vesting Commencement Date, subject to 24 months of accelerated vesting and a 24-month post-termination exercise period in certain events, and subject to the Reporting Person's continued service with the Issuer on each such vesting date.

SEC source: 0001209191-20-036587 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2030-06-10

F1 · derivative.exercise_date: The shares vest on the first anniversary of the Grant Date, provided that the Option will in any case be fully vested on the date of Company's 2021 annual stockholder meeting.

SEC source: 0000891293-20-000015 · primary_doc.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,000

Underlying: Common stock · 126,000 shares

Expires 2030-03-11

F1 · derivative.exercise_date: This stock option was granted on March 11, 2020 and vests on the first to occur of (i) the date that is twelve months after the date of grant, and (ii) immediately prior to the first annual meeting of the Company's stockholders in 2021 at which one or more members of the Company's Board of Directors are to be elected, subject to the Reporting Person's continued service through such date or event. The stock option is subject to stockholder approval of an increase in the share reserve under the 2017 Equity Incentive Plan of the Company, which approval must occur within one year from the grant date.

SEC source: 0001209191-19-050105 · doc4.xml · nonDerivative · entry 2

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,750

F2 · price: The weighted average purchase price for the transaction reported was $9.36, and the range of prices were between $9.29 and $9.46. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares purchased at each separate price will be provided.

SEC source: 0001209191-19-050105 · doc4.xml · nonDerivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,102

F1 · price: The weighted average purchase price for the transaction reported was $9.4698, and the range of prices were between $9.43 and $9.50. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares purchased at each separate price will be provided.

SEC source: 0001209191-19-049089 · doc4.xml · nonDerivative · entry 4

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,650

F3 · price: The weighted average purchase price for the transaction reported was $10.2932, and the range of prices were between $9.91 and $10.37. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares purchased at each separate price will be provided.

SEC source: 0001209191-19-049089 · doc4.xml · nonDerivative · entry 3

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,690

SEC source: 0001209191-19-049089 · doc4.xml · nonDerivative · entry 2

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,390

F2 · price: The weighted average purchase price for the transaction reported was $10.54, and the range of prices were between $10.13 and $11.08. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares purchased at each separate price will be provided.

SEC source: 0001209191-19-049089 · doc4.xml · nonDerivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,720

F1 · price: The weighted average purchase price for the transaction reported was $10.7147, and the range of prices were between $10.50 and $10.91. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares purchased at each separate price will be provided.

SEC source: 0000891293-19-000046 · primary_doc.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2029-05-16

F1 · derivative.exercise_date: The option will vest on the first to occur of (i) the date that is twelve months after the date of grant, and (ii) immediately prior to the first annual meeting of the Company's stockholders in 2020 at which one or more members of the Company's Board of Directors are to be elected, subject to the Reporting Person's continued service through such date or event.

SEC source: 0000891293-18-000064 · primary_doc.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2028-05-17

F1 · derivative.exercise_date: This stock option was granted on May 17, 2018 and vests on the first to occur of (i) the date that is twelve months after the date of grant, and (ii) immediately prior to the first annual meeting of the Company's stockholders in 2019 at which one or more members of the Company's Board of Directors are to be elected, subject to the Reporting Person's continued service through such date or event.

SEC source: 0000899243-17-018917 · doc4.xml · derivative · entry 1

Fischer Laurent · CIK 0001379344 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-07-21

F1 · derivative.exercise_date: The stock options will vest on the first to occur of (1) July 21, 2018, (2) immediately prior to the first annual meeting of the Company's shareholders that occurs in 2018 and at which one or more members of the Board are to be elected, or (3) immediately prior to the occurrence of a Change in Control (as such term is defined in the 2017 Equity Incentive Plan), subject to Dr. Fischer's continued service through such date or event.

SEC source: 0001209191-16-148098 · doc4.xml · derivative · entry 8

Fischer Laurent · CIK 0001379344 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 258,000 shares

Expires 2026-01-12

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")

F2 · price: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),

F3 · price: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")

F2 · derivative.exercise_date: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),

F3 · derivative.exercise_date: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.

F4 · derivative.exercise_date: The Shares subject to this option were fully vested immediately prior to the Effective Time.

SEC source: 0001209191-16-148098 · doc4.xml · derivative · entry 7

Fischer Laurent · CIK 0001379344 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 105,000 shares

Expires 2025-05-15

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")

F2 · price: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),

F3 · price: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")

F2 · derivative.exercise_date: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),

F3 · derivative.exercise_date: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.

F4 · derivative.exercise_date: The Shares subject to this option were fully vested immediately prior to the Effective Time.

SEC source: 0001209191-16-148098 · doc4.xml · derivative · entry 6

Fischer Laurent · CIK 0001379344 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 503,882 shares

Expires 2024-04-27

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")

F2 · price: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),

F3 · price: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")

F2 · derivative.exercise_date: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),

F3 · derivative.exercise_date: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.

F4 · derivative.exercise_date: The Shares subject to this option were fully vested immediately prior to the Effective Time.

SEC source: 0001209191-16-148098 · doc4.xml · derivative · entry 5

Fischer Laurent · CIK 0001379344 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 83,324 shares

Expires 2024-04-27

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")

F2 · price: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),

F3 · price: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")

F2 · derivative.exercise_date: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),

F3 · derivative.exercise_date: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.

F4 · derivative.exercise_date: The Shares subject to this option were fully vested immediately prior to the Effective Time.

SEC source: 0001209191-16-148098 · doc4.xml · derivative · entry 4

Fischer Laurent · CIK 0001379344 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,416 shares

Expires 2021-05-31

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")

F2 · price: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),

F3 · price: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")

F2 · derivative.exercise_date: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),

F3 · derivative.exercise_date: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.

F4 · derivative.exercise_date: The Shares subject to this option were fully vested immediately prior to the Effective Time.

SEC source: 0001209191-16-148098 · doc4.xml · derivative · entry 3

Fischer Laurent · CIK 0001379344 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 53,616 shares

Expires 2020-11-30

F1 · price: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")

F2 · price: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),

F3 · price: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.

F1 · derivative.exercise_date: Pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated September 19, 2016, by and among the Issuer, Allergan Holdco US, Inc. ("Parent") and Sapphire Acquisition Corp. ("Purchaser"), pursuant to which Purchaser was merged with and into Issuer (the "Merger"), each option to purchase shares (a "Company Option") of common stock, par value $0.001 per share, of Tobira Therapeutics, Inc. (the "Shares") that was then outstanding and unexercised, whether or not vested and which had a per-Share exercise price less than $28.35 per Share in cash (the "Closing Amount") (each, an "In the Money Option"), was cancelled and converted into the right to receive (i) a cash payment equal to (A) the excess, if any, of (x) the Closing Amount over (y) the exercise price payable per Share under such In the Money Option, multiplied by (B) the total number of Shares subject to such In the Money Option immediately prior to the effective time of the Merger (the "Effective Time")

F2 · derivative.exercise_date: (continued from Footnote 1) and (ii) a contingent value right with respect to the total number of Shares subject to such In the Money Option immediately prior to the Effective Time. At the Effective Time, each Company Option other than an In the Money Option that was then outstanding and unexercised, whether or not vested (each, an "Out of the Money Option"), was cancelled and converted into the right to receive a cash payment, if any, from Parent with respect to each Share subject to such Out of the Money Option upon each date that a payment would be required to a holder of a contingent value right under the terms of the Contingent Value Rights Agreement ("CVR Agreement") on or prior to the fifth anniversary of the Effective Time (each such date, a "Valuation Point"),

F3 · derivative.exercise_date: (continued from Footnote 1) equal to (i) the amount by which the sum of (A) the Closing Amount, (B) the amount per Share previously paid in respect of any earlier Valuation Points and (C) the amount per Share in cash to be paid at such Valuation Point under the CVR Agreement exceeds the exercise price payable per Share under such Out of the Money Option, less (ii) the amount of all payments previously received with respect to such Out of the Money Option. Notwithstanding the foregoing description, any Out of the Money Options with an exercise price payable per Share equal to or greater than $78.19 were cancelled at the Effective Time without any consideration payable therefor.

F4 · derivative.exercise_date: The Shares subject to this option were fully vested immediately prior to the Effective Time.