Castelein Caley

SEC source: 0001355758-26-000007 · form4-06152026_090621.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,040

Underlying: Common Stock · 38,040 shares

Expires 2036-06-12

F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through such applicable date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Date of Grant or (ii) the day immediately prior to the next annual meeting of stockholders following the Date of Grant. "Date of Grant" shall mean June 12, 2026.

SEC source: 0001355758-26-000003 · form4-05182026_080536.xml · derivative · entry 3

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,072,756

Underlying: Common Stock · 2,072,756 shares

Expires not disclosed

F2 · derivative.exercise_date: Subject to the terms and conditions set forth in the Pre-Funded Warrant, the holder thereof may, at any time and from time to time on or after May 14, 2026, exercise the Pre-Funded Warrant until it has been exercised in full. Pursuant to the terms of the Pre-Funded Warrant, the holder cannot exercise any of the Pre-Funded Warrant to the extent the holder and its affiliates, including the Reporting Person, would beneficially own, after any such exercise, more than 4.99% of the outstanding Common Stock.

F2 · derivative.expiration_date: Subject to the terms and conditions set forth in the Pre-Funded Warrant, the holder thereof may, at any time and from time to time on or after May 14, 2026, exercise the Pre-Funded Warrant until it has been exercised in full. Pursuant to the terms of the Pre-Funded Warrant, the holder cannot exercise any of the Pre-Funded Warrant to the extent the holder and its affiliates, including the Reporting Person, would beneficially own, after any such exercise, more than 4.99% of the outstanding Common Stock.

F3 · ownership.nature: Pre-Funded Warrant held by KVP Capital, LP. The Reporting Person is the Managing Director of KVP Capital. The Reporting Person disclaims beneficial ownership of the Pre-Funded Warrant held by KVP Capital, except to the extent of his pecuniary interest therein.

SEC source: 0001355758-26-000003 · form4-05182026_080536.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 274,796

SEC source: 0001355758-25-000006 · form4-10282025_061011.xml · derivative · entry 5

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,800 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 8, 2025, by and among Issuer, Novartis AG, a company limited by shares (Aktiengesellschaft) incorporated under the laws of Switzerland ("Parent"), and Torino Merger Sub Inc., a Delaware corporation and indirect wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, on October 28, 2025, Merger Sub completed a cash tender offer to acquire all of the shares of common stock of the Issuer, par value $0.0001 (the "Shares"), issued and outstanding immediately prior to the effective time of the merger (the "Effective Time"), in exchange for $48.00 in cash per Share, subject to any applicable withholding of taxes (the "Merger Consideration").

F4 · price: Pursuant to the terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such option and (ii) the aggregate number of Shares issuable upon exercise of such option or portion thereof, subject to any applicable withholding of taxes.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such option and (ii) the aggregate number of Shares issuable upon exercise of such option or portion thereof, subject to any applicable withholding of taxes.

F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such option and (ii) the aggregate number of Shares issuable upon exercise of such option or portion thereof, subject to any applicable withholding of taxes.

SEC source: 0001355758-25-000006 · form4-10282025_061011.xml · derivative · entry 4

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 8, 2025, by and among Issuer, Novartis AG, a company limited by shares (Aktiengesellschaft) incorporated under the laws of Switzerland ("Parent"), and Torino Merger Sub Inc., a Delaware corporation and indirect wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, on October 28, 2025, Merger Sub completed a cash tender offer to acquire all of the shares of common stock of the Issuer, par value $0.0001 (the "Shares"), issued and outstanding immediately prior to the effective time of the merger (the "Effective Time"), in exchange for $48.00 in cash per Share, subject to any applicable withholding of taxes (the "Merger Consideration").

F4 · price: Pursuant to the terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such option and (ii) the aggregate number of Shares issuable upon exercise of such option or portion thereof, subject to any applicable withholding of taxes.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such option and (ii) the aggregate number of Shares issuable upon exercise of such option or portion thereof, subject to any applicable withholding of taxes.

F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such option and (ii) the aggregate number of Shares issuable upon exercise of such option or portion thereof, subject to any applicable withholding of taxes.

SEC source: 0001355758-25-000006 · form4-10282025_061011.xml · derivative · entry 3

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 8, 2025, by and among Issuer, Novartis AG, a company limited by shares (Aktiengesellschaft) incorporated under the laws of Switzerland ("Parent"), and Torino Merger Sub Inc., a Delaware corporation and indirect wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, on October 28, 2025, Merger Sub completed a cash tender offer to acquire all of the shares of common stock of the Issuer, par value $0.0001 (the "Shares"), issued and outstanding immediately prior to the effective time of the merger (the "Effective Time"), in exchange for $48.00 in cash per Share, subject to any applicable withholding of taxes (the "Merger Consideration").

F4 · price: Pursuant to the terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such option and (ii) the aggregate number of Shares issuable upon exercise of such option or portion thereof, subject to any applicable withholding of taxes.

F4 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such option and (ii) the aggregate number of Shares issuable upon exercise of such option or portion thereof, subject to any applicable withholding of taxes.

F4 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive an amount in cash, without interest, equal to the product of (i) the amount by which the Merger Consideration exceeds the applicable exercise price per Share of such option and (ii) the aggregate number of Shares issuable upon exercise of such option or portion thereof, subject to any applicable withholding of taxes.

SEC source: 0001355758-25-000006 · form4-10282025_061011.xml · nonDerivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By KVP Capital, LP

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 8, 2025, by and among Issuer, Novartis AG, a company limited by shares (Aktiengesellschaft) incorporated under the laws of Switzerland ("Parent"), and Torino Merger Sub Inc., a Delaware corporation and indirect wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, on October 28, 2025, Merger Sub completed a cash tender offer to acquire all of the shares of common stock of the Issuer, par value $0.0001 (the "Shares"), issued and outstanding immediately prior to the effective time of the merger (the "Effective Time"), in exchange for $48.00 in cash per Share, subject to any applicable withholding of taxes (the "Merger Consideration").

F2 · price: Pursuant to the terms of the Merger Agreement, each Share was tendered in exchange for $48.00 in cash per Share.

F3 · ownership.nature: These shares are held by KVP. The Reporting Person is the Managing Member of KVP Capital GP, LLC, the General Partner of KVP and, as such, has sole voting and investment power with respect to the shares held by KVP. The Reporting Person disclaims beneficial ownership of the shares held by KVP except to the extent of his pecuniary interest therein and this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001355758-25-000006 · form4-10282025_061011.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger (the "Merger Agreement"), dated as of September 8, 2025, by and among Issuer, Novartis AG, a company limited by shares (Aktiengesellschaft) incorporated under the laws of Switzerland ("Parent"), and Torino Merger Sub Inc., a Delaware corporation and indirect wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, on October 28, 2025, Merger Sub completed a cash tender offer to acquire all of the shares of common stock of the Issuer, par value $0.0001 (the "Shares"), issued and outstanding immediately prior to the effective time of the merger (the "Effective Time"), in exchange for $48.00 in cash per Share, subject to any applicable withholding of taxes (the "Merger Consideration").

F2 · price: Pursuant to the terms of the Merger Agreement, each Share was tendered in exchange for $48.00 in cash per Share.

SEC source: 0001355758-25-000004 · form4-10172025_091004.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 515,997

SEC source: 0001415889-25-017409 · form4-06162025_080636.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,006

Underlying: Common Stock · 40,006 shares

Expires 2035-06-12

F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through such applicable date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Date of Grant or (ii) the day immediately prior to the next annual meeting of stockholders following the Date of Grant. "Date of Grant" shall mean June 12, 2025.

SEC source: 0001827506-25-000076 · wk-form4_1749241918.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,800

Underlying: Common Stock · 16,800 shares

Expires 2035-06-04

F1 · derivative.exercise_date: 100% of the shares subject to the option vest on the earlier of the anniversary of the Transaction Date or the date of the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001415889-25-006742 · form4-03052025_120307.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 2,165,998

F1 · ownership.nature: Shares held by KVP Capital, LP. The Reporting Person is the Managing Director of KVP Capital. The Reporting Person disclaims beneficial ownership of shares held by KVP Capital, except to the extent of their pecuniary interest therein.

SEC source: 0001415889-24-016868 · form4-06142024_080632.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,832

Underlying: Common Stock · 45,832 shares

Expires 2034-06-12

F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through such applicable date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Date of Grant or (ii) the day immediately prior to the next annual meeting of stockholders following the Date of Grant. "Date of Grant" shall mean June 12, 2024.

SEC source: 0001827506-24-000051 · wk-form4_1717790529.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2034-06-04

F1 · derivative.exercise_date: 100% of the shares subject to the option vest on the earlier of the anniversary of the Transaction Date or the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001209191-23-053791 · doc4.xml · nonDerivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 516,519

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $14.00 to $14.70 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-23-053791 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,719

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $11.82 to $12.33 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-23-053389 · doc4.xml · derivative · entry 3

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2033-10-22

F5 · derivative.exercise_date: 100% of the shares subject to the option vest on the earlier of October 23, 2024 or the date of the Issuer's 2024 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001209191-23-053389 · doc4.xml · nonDerivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By KVP Capital, LP

Disclosed balance after: 458,039

F3 · price: Received in exchange for 5,741,986 shares of Tourmaline common stock pursuant to the Merger Agreement.

F4 · ownership.nature: These shares are held by KVP Capital, LP ("KVP"). The Reporting Person is the Managing Member of KVP Capital GP, LLC, the General Partner of KVP and, as such, has sole voting and investment power with respect to the shares held by KVP. The Reporting Person disclaims beneficial ownership of the shares held by KVP except to the extent of his pecuniary interest therein and this report is not an admission that the Reporting Person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-23-053389 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 496,519

F1 · shares: 39,996 of these shares are subject to a repurchase option in favor of the Issuer in the event that the Reporting Person's continuous service is terminated. Such repurchase option shall lapse in equal monthly installments until such shares are fully vested on June 1, 2026.

F2 · price: Received in exchange for 6,224,374 shares of common stock of Tourmaline Bio, Inc. ("Tourmaline") pursuant to an Agreement and Plan of Merger dated as of June 22, 2023 (the "Merger Agreement") by and among Tourmaline, the Issuer and Terrain Merger Sub, Inc., a wholly owned subsidiary of the Issuer ("Merger Sub"). Under the terms of the Merger Agreement, on October 19, 2023, Merger Sub merged with and into Tourmaline (the "Merger"), with Tourmaline surviving the Merger as a wholly owned subsidiary of the Issuer. Upon the closing of the Merger, each share of Tourmaline common stock was converted into the right to receive 0.07977 of a share of the Issuer's common stock, after giving effect to a reverse stock split of the Issuer's common stock of 10-for-1. Subsequent to the Merger, the name of the Issuer was changed from Talaris Therapeutics, Inc. to Tourmaline Bio, Inc.

SEC source: 0001628280-23-025331 · wk-form4_1689969793.xml · nonDerivative · entry 3

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.069 to $0.075, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range stated.

F4 · ownership.nature: Shares held by KVP Capital, L.P., an entity controlled by Mr. Castelein.

SEC source: 0001628280-23-025331 · wk-form4_1689969793.xml · nonDerivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,047

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.069 to $0.070, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range stated.

SEC source: 0001628280-23-025331 · wk-form4_1689969793.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 740,080

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.068 to $0.070, inclusive. The Reporting Person undertakes to provide to the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range stated.

SEC source: 0001209191-23-038665 · doc4.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,255

Underlying: Common Stock · 28,255 shares

Expires 2033-06-15

F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through such applicable date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one (1) year anniversary of the Date of Grant or (ii) the day immediately prior to the next annual meeting of stockholders following the Date of Grant. "Date of Grant" shall mean June 15, 2023.

SEC source: 0001628280-23-000250 · wf-form4_167286870142181.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 898,477

F1 · shares: The reported securities are DSUs that entitle the Reporting Person to receive one share of Common Stock per DSU upon the earliest of (i) the Reporting Person's termination of service from the Issuer's board of directors, (ii) a Change of Control of the Issuer as defined in the Issuer's Amended & Restated 2015 Equity Incentive Award Plan or (iii) January 3, 2033 (the tenth anniversary of the grant date). 1/12th of these DSUs shall vest on the last day of each calendar month beginning on January 31, 2023 such that 100% of the DSUs will be vested on December 31, 2023, subject to the Reporting Person remaining a service provider through each such vesting date.

F2 · price: These DSUs were issued to the reporting person pursuant to ViewRay Inc.'s Non-Employee Director Compensation Policy in lieu of retainer and committee service fees of $73,000.

SEC source: 0001209191-22-051391 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 499,998

F1 · ownership.nature: Shares held by KVP Capital, LP. The Reporting Person is the Managing Director of KVP Capital. The Reporting Person disclaims beneficial ownership of shares held by KVP Capital, except to the extent of their pecuniary interest therein.

SEC source: 0001209191-22-037866 · doc4.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,573

Underlying: Common Stock · 18,573 shares

Expires 2032-06-15

F1 · derivative.exercise_date: Subject to the Reporting Person continuing to be a Service Provider (as defined in the Issuer's 2021 Equity Incentive Plan) through such applicable date, one hundred percent (100%) of the shares subject to the option shall vest on the earlier of the (i) the one (1) year anniversary of the Date of Grant or (ii) the day immediately prior to the next annual meeting of stockholders following the Date of Grant. "Date of Grant" shall mean June 15, 2022.

SEC source: 0001628280-22-017230 · wf-form4_165532383202507.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 881,887

F1 · shares: The reported securities are RSUs that entitle the Reporting Person to receive one share of Common Stock per RSU upon vesting. All of these RSUs shall vest on June 13, 2023, subject to the Reporting Person remaining a service provider through such date.

SEC source: 0001628280-22-014015 · wf-form4_165237872266130.xml · nonDerivative · entry 3

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 1,545,600

F4 · price: Reflects average weighted purchase price. Actual purchase prices ranged from $2.455 to $2.58 per share. The reporting person undertakes to provide, upon the request of the SEC staff, the issuer or any security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Shares held by KVP Capital, L.P., an entity controlled by Mr. Castelein.

SEC source: 0001628280-22-014015 · wf-form4_165237872266130.xml · nonDerivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 480,600

F2 · price: Reflects average weighted purchase price. Actual purchase prices ranged from $2.46 to $2.60 per share. The reporting person undertakes to provide, upon the request of the SEC staff, the issuer or any security holder of the issuer, full information regarding the number of shares purchased at each separate price.

F3 · ownership.nature: Shares held by KVP Capital, L.P., an entity controlled by Mr. Castelein.

SEC source: 0001628280-22-000344 · wf-form4_164142040379620.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 828,377

F1 · shares: The reported securities are DSUs that entitle the Reporting Person to receive one share of Common Stock per DSU upon the earliest of (i) the Reporting Person's termination of service from the Issuer's board of directors, (ii) a Change of Control of the Issuer as defined in the Issuer's Amended & Restated 2015 Equity Incentive Award Plan or (iii) January 3, 2032 (the tenth anniversary of the grant date). 1/12th of these DSUs shall vest on the last day of each calendar month beginning on January 31, 2022 such that 100% of the DSUs will be vested on December 31, 2022, subject to the Reporting Person remaining a service provider through each such vesting date.

F2 · price: These DSUs were issued to the reporting person pursuant to ViewRay Inc.'s Non-Employee Director Compensation Policy in lieu of retainer and committee service fees of $73,000.

SEC source: 0000899243-21-034553 · doc4.xml · derivative · entry 3

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,549

Underlying: Common Stock · 17,549 shares

Expires 2031-08-27

F3 · derivative.exercise_date: In connection with the closing of the merger by and between Aerpio Pharmaceuticals, Inc. and Aadi Bioscience, Inc., as approved by the stockholders of the Issuer on August 17, 2021, the Board granted on August 26, 2021 to the Reporting Person an Initial Award (as defined in the Issuer's Outside Director Compensation Policy and in accordance with the Issuer's 2021 Equity Incentive Plan (the "Plan")). Subject to the Reporting Person continuing to be a Service Provider (as defined in the Plan) through each applicable date, the Initial Award is scheduled to vest as to one thirty-sixth (1/36th) of the shares of common stock subject to the Initial Award on a monthly basis following the grant date on the same day of the month as the grant date (and if there is no corresponding day, on the last day of the month). The grant date is August 27, 2021.

SEC source: 0000899243-21-034553 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 259,998

F1 · ownership.nature: Represents the purchase of 259,998 shares of Common Stock from Aadi Bioscience, Inc. (formerly Aerpio Pharmaceuticals, Inc.) pursuant to a subscription agreement dated May 16, 2021. The closing under the subscription agreement was conditioned upon the closing under that certain Agreement and Plan of Merger, dated May 16, 2021, by and between Aerpio Pharmaceuticals, Aadi Bioscience, Inc. and Aspen Merger Subsidiary, Inc.

F2 · ownership.nature: Securities beneficially owned indirectly by KVP Capital, LP. Dr. Castelein is the Managing Director of KVP Capital. Dr. Castelein disclaims beneficial ownership of shares held by KVP Capital, except to the extent of his pecuniary interest therein. Share and per-share information herein reflects a 1-for-15 reverse split of the Issuer's common stock that was effected on August 26, 2021.

SEC source: 0000899243-21-027286 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 295,414

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended June 30, 2021.

SEC source: 0001209191-21-040911 · doc4.xml · nonDerivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 815,856

F2 · shares: These DSUs were issued to the reporting person pursuant to ViewRay Inc.'s Non-Employee Director Compensation Policy in lieu of committee service fees of $5,833.

SEC source: 0001209191-21-040911 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 814,854

F1 · shares: The reported securities are RSUs that entitle the Reporting Person to receive one share of Common Stock per RSU upon vesting. All of these RSUs shall vest on June 14, 2022, subject to the Reporting Person remaining a service provider through such date.

SEC source: 0000899243-21-020255 · doc4.xml · derivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 39,798

Underlying: Common Stock · 28,706 shares

Expires 2024-01-18

F2 · ownership.nature: Represents 11,092 warrants held directly by the reporting person and 28,706 warrants held by KVP Capital, LP. Mr. Castelein disclaims beneficial ownership of the securities held by KVP Capital, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-21-020255 · doc4.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 102,753

Underlying: Common Stock · 74,117 shares

Expires 2023-08-22

F1 · ownership.nature: Represents 28,636 warrants held directly by the reporting person and 74,117 warrants held by KVP Capital, LP, an entity controlled by Mr. Castelein. Mr. Castelein disclaims beneficial ownership of the securities held by KVP Capital, except to the extent of his pecuniary interest therein.

SEC source: 0000899243-21-014673 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,603

F1 · shares: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

F1 · price: Represents common stock equity awards issued under the Issuer's 2017 Stock Option and Incentive Plan to the non-employee directors of the Issuer in lieu of cash retainer fees pursuant to its non-employee director compensation policy. The price per share was based on the average closing price of the Company's common stock over the quarter ended March 31, 2021.

SEC source: 0000899243-21-004891 · doc4.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,857

Underlying: Common Stock · 17,857 shares

Expires 2031-02-01

F1 · derivative.exercise_date: Options shall vest in four equal quarterly installments beginning on February 1, 2021.

SEC source: 0001209191-21-000634 · doc4.xml · nonDerivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 795,095

F3 · shares: The reported securities are DSUs that entitle the Reporting Person to receive one share of Common Stock per DSU upon the earliest of (i) the Reporting Person's termination of service from the Issuer's board of directors, (ii) a Change of Control of the Issuer as defined in the Issuer's Amended & Restated 2015 Equity Incentive Award Plan or (iii) January 4, 2031 (the tenth anniversary of the grant date). 1/12th of these DSUs shall vest on the last day of each calendar month beginning on January 31, 2021 such that 100% of the DSUs will be vested on December 31, 2021, subject to the Reporting Person remaining a service provider through each such vesting date.

F4 · price: These DSUs were issued to the reporting person pursuant to ViewRay Inc.'s Non-Employee Director Compensation Policy in lieu of retainer and committee service fees of $55,000.

SEC source: 0001209191-21-000634 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 786,515

F1 · shares: The reported securities are DSUs that entitle the Reporting Person to receive one share of Common Stock per DSU upon the earliest of (i) the Reporting Person's termination of service from the Issuer's board of directors, (ii) a Change of Control of the Issuer as defined in the Issuer's Amended & Restated 2015 Equity Incentive Award Plan or (iii) December 31, 2030 (the tenth anniversary of the grant date). These DSUs vested on the date of grant, December 31, 2020.

F2 · price: These DSUs were issued to the Reporting Person as reimbursement of previously granted DSUs that were cancelled for no consideration as a result of a 30% reduction in director retainer and committee service fees in April 2020, adjusted for changes to committee rosters for the second half of 2020.

SEC source: 0000899243-20-017775 · doc4.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,144

Underlying: Common Stock · 52,144 shares

Expires 2030-06-24

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0001209191-20-037380 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 783,994

F1 · shares: The reported securities are RSUs that entitle the Reporting Person to receive one share of Common Stock per RSU upon vesting. All of these RSUs shall vest on June 15, 2021, subject to the Reporting Person remaining a service provider through such date.

F2 · balance_after: As part of ViewRay, Inc.'s broader efforts to preserve capital and foster its ability to effectively conduct its business in light of the coronavirus pandemic, the Reporting Person took a 30% annual retainer reduction for the remainder of 2020. As such, effective April 6, 2020, 3,384 of the original January 2, 2020 grant of 15,289 Deferred Stock Units were cancelled for no consideration. The 783,994 total amount of Securities Beneficially Owned takes into account the April 6, 2020 cancellation.

SEC source: 0001209191-20-002082 · doc4.xml · nonDerivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 734,626

F3 · shares: The reported securities are RSUs that entitle the Reporting Person to receive one share of Common Stock per RSU upon vesting. All of these RSUs shall vest on June 12, 2020, subject to the Reporting Person remaining a service provider through such date.

SEC source: 0001209191-20-002082 · doc4.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 721,919

F1 · shares: The reported securities are DSUs that entitle the Reporting Person to receive one share of Common Stock per DSU upon the earliest of (i) the Reporting Person's termination of service from the Issuer's board of directors, (ii) a Change of Control of the Issuer as defined in the Issuer's 2015 Equity Incentive Award Plan or (iii) January 2, 2030 (the tenth anniversary of the grant date). 1/12th of these DSUs shall vest on the last day of each calendar month beginning on January 31, 2020 such that 100% of the DSUs will be vested on December 31, 2020, subject to the Reporting Person remaining a service provider through each such vesting date.

F2 · price: These DSUs were issued to the reporting person pursuant to ViewRay Inc.'s Non-Employee Director Compensation Policy in lieu of retainer and committee service fees of $62,000.

SEC source: 0000899243-19-017443 · doc4.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,400

Underlying: Common Stock · 21,400 shares

Expires 2029-06-18

F1 · derivative.exercise_date: Options shall vest annually on the earlier of the one year anniversary of the Grant Date or the Company's next annual meeting, subject to director's continued service on the Board at such time.

SEC source: 0000950103-19-000201 · ownership.xml · nonDerivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 706,630

F3 · shares: The reported securities are RSUs that entitle the Reporting Person to receive one share of Common Stock per RSU upon vesting. All of these RSUs shall vest on January 2, 2020 (the one-year anniversary of the grant date), subject to the Reporting Person remaining a service provider through such date.

SEC source: 0000950103-19-000201 · ownership.xml · nonDerivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 687,962

F1 · shares: The reported securities are DSUs that entitle the Reporting Person to receive one share of Common Stock per DSU upon the earliest of (i) the Reporting Person's termination of service from the Issuer's board of directors, (ii) a Change of Control of the Issuer as defined in the Issuer's 2015 Equity Incentive Award Plan or (iii) January 2, 2029 (the tenth anniversary of the grant date). 1/12th of these DSUs shall vest on the last day of each calendar month beginning on January 31, 2019 such that 100% of the DSUs will be vested on December 31, 2019, subject to the Reporting Person remaining a service provider through each such vesting date.

F2 · price: These DSUs were issued to the reporting person pursuant to ViewRay Inc.'s Non-Employee Director Compensation Policy in lieu of retainer and committee service fees of $62,000.

SEC source: 0000950103-18-015062 · dp100061_4-castelein.xml · derivative · entry 1

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,116

Underlying: Common Stock · 19,116 shares

Expires 2028-12-21

F1 · derivative.exercise_date: All of the shares subject to the option had vested and were exercisable as of December 2018.

SEC source: 0000899243-18-025393 · doc4.xml · nonDerivative · entry 2

Castelein Caley · CIK 0001355758 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · price: These shares were received pursuant to a distribution made by Kearny Venture Associates III, LLC in connection with the entity's liquidation.

F2 · ownership.nature: Consists of (i) 1,571,475 shares of Common Stock owned directly by Kearny Venture Partners, L.P., or KVP, and (ii) 32,051 shares of Common Stock owned directly by Kearny Venture Partners Entrepreneurs Fund, L.P., or KVPE. The general partner of both KVP and KVPE is Kearny Venture Associates, L.L.C., or KVA. KVA has the sole voting and investment control over the shares owned by KVP and KVPE, and the Managing Members of KVA share in the voting and investment control over such shares controlled by KVA. The Managing Members of KVA are Caley Castelein, Richard Spalding and James Shapiro. None of the Managing Members of KVA has individual voting or investment power with respect to such shares and each disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein. These shares were distributed to third parties pursuant to a distribution made by the entities in connection with their liquidation.