Agarwal Shefali

SEC source: 0001193125-26-271079 · ownership.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,900

Underlying: Common Stock · 87,900 shares

Expires 2036-06-12

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 12, 2027 or (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

SEC source: 0000950170-25-079710 · ownership.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2035-05-29

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 29, 2026 or (ii) the date of the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

SEC source: 0001415889-25-010436 · form4-04092025_120448.xml · derivative · entry 5

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,000 shares

Expires 2032-06-16

F1 · kind: Pursuant to the Issuer's Second Modified Plan of Reorganization pursuant to Chapter 11 of the Bankruptcy Code, which was confirmed by the United States Bankruptcy Court for the District of Delaware on April 3, 2025 and became effective on April 4, 2025, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2 · derivative.exercise_date: The options are fully vested.

SEC source: 0001415889-25-010436 · form4-04092025_120448.xml · derivative · entry 4

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 937 shares

Expires 2031-06-17

F1 · kind: Pursuant to the Issuer's Second Modified Plan of Reorganization pursuant to Chapter 11 of the Bankruptcy Code, which was confirmed by the United States Bankruptcy Court for the District of Delaware on April 3, 2025 and became effective on April 4, 2025, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2 · derivative.exercise_date: The options are fully vested.

SEC source: 0001415889-25-010436 · form4-04092025_120448.xml · derivative · entry 3

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,000 shares

Expires 2031-05-31

F1 · kind: Pursuant to the Issuer's Second Modified Plan of Reorganization pursuant to Chapter 11 of the Bankruptcy Code, which was confirmed by the United States Bankruptcy Court for the District of Delaware on April 3, 2025 and became effective on April 4, 2025, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2 · derivative.exercise_date: The options are fully vested.

SEC source: 0001415889-25-010436 · form4-04092025_120448.xml · derivative · entry 2

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 51,800 shares

Expires 2034-06-16

F1 · kind: Pursuant to the Issuer's Second Modified Plan of Reorganization pursuant to Chapter 11 of the Bankruptcy Code, which was confirmed by the United States Bankruptcy Court for the District of Delaware on April 3, 2025 and became effective on April 4, 2025, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F3 · derivative.exercise_date: The option will vest and become exercisable on the earlier of (i) the first anniversary of the date of grant or (ii) the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through the applicable vesting date.

SEC source: 0001415889-25-010436 · form4-04092025_120448.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 51,800 shares

Expires 2033-06-15

F1 · kind: Pursuant to the Issuer's Second Modified Plan of Reorganization pursuant to Chapter 11 of the Bankruptcy Code, which was confirmed by the United States Bankruptcy Court for the District of Delaware on April 3, 2025 and became effective on April 4, 2025, each share of the Issuer's common stock and options to purchase the Issuer's common stock outstanding prior to the Issuer's emergence from bankruptcy were cancelled for no value.

F2 · derivative.exercise_date: The options are fully vested.

SEC source: 0001415889-24-017711 · form4-06202024_100607.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,800

Underlying: Common Stock · 51,800 shares

Expires 2034-06-16

F1 · derivative.exercise_date: The option will vest and become exercisable on the earlier of (i) the first anniversary of the date of grant or (ii) the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through the applicable vesting date.

SEC source: 0000950170-24-071948 · ownership.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-06-07

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

SEC source: 0000899243-23-016152 · doc4.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,800

Underlying: Common Stock · 51,800 shares

Expires 2033-06-15

F1 · derivative.exercise_date: The option will vest and become exercisable on the earlier of (i) the first anniversary of the date of grant or (ii) the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through the applicable vesting date.

SEC source: 0001209191-23-035039 · doc4.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-06

F1 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's Annual Meeting of Stockholders.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 6, 2024 or (ii) the date of the Issuer's 2024 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

SEC source: 0000899243-22-028867 · doc4.xml · nonDerivative · entry 2

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · shares: Reflects disposition of restricted stock units ("RSUs") in accordance with the Merger Agreement, pursuant to which, effective immediately prior to the Effective Time, each unvested RSU held by the Reporting Person automatically vested in full and was canceled and converted into the right to receive (i) an amount of cash equal to the product of (A) the total number of Shares then underlying such RSU multiplied by (B) the Cash Consideration and (ii) one (1) CVR for each Share underlying such RSU, in each case, less applicable withholding.

F3 · price: Reflects disposition of restricted stock units ("RSUs") in accordance with the Merger Agreement, pursuant to which, effective immediately prior to the Effective Time, each unvested RSU held by the Reporting Person automatically vested in full and was canceled and converted into the right to receive (i) an amount of cash equal to the product of (A) the total number of Shares then underlying such RSU multiplied by (B) the Cash Consideration and (ii) one (1) CVR for each Share underlying such RSU, in each case, less applicable withholding.

SEC source: 0000899243-22-028867 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,292

F1 · shares: Includes 977 shares of common stock of the Issuer ("Shares") inadvertently omitted from the total Shares directly held by the Reporting Person in the previous Form 4 filed with the Securities and Exchange Commission on February 28, 2022.

F2 · shares: Reflects disposition of Shares in connection with that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Ipsen Pharma SAS and Hibernia Merger Sub, Inc. ("Merger Sub"), dated as of June 27, 2022, including the completion of a tender offer to purchase all outstanding Shares of the Issuer, at a price per Share of (i) $1.45 per Share (the "Cash Consideration"), plus (ii) one (1) contractual contingent value right per Share ("CVR"), which represents the right to receive one or more contingent payments upon the achievement of certain milestones, if any (collectively, the "Offer Price"), and the consummation of the merger (the "Merger") between the Issuer and Merger Sub on August 12, 2022. As of the effective time of the Merger (the "Effective Time"), each Share held by the Reporting Person was converted into the Offer Price.

F2 · price: Reflects disposition of Shares in connection with that certain Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Ipsen Pharma SAS and Hibernia Merger Sub, Inc. ("Merger Sub"), dated as of June 27, 2022, including the completion of a tender offer to purchase all outstanding Shares of the Issuer, at a price per Share of (i) $1.45 per Share (the "Cash Consideration"), plus (ii) one (1) contractual contingent value right per Share ("CVR"), which represents the right to receive one or more contingent payments upon the achievement of certain milestones, if any (collectively, the "Offer Price"), and the consummation of the merger (the "Merger") between the Issuer and Merger Sub on August 12, 2022. As of the effective time of the Merger (the "Effective Time"), each Share held by the Reporting Person was converted into the Offer Price.

SEC source: 0000899243-22-028419 · doc4.xml · derivative · entry 7

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 400,000 shares

Expires 2032-03-16

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

F2 · derivative.exercise_date: On June 27, 2022, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Ipsen Pharma SAS and Hibernia Merger Sub, Inc. Pursuant to the terms of the Merger Agreement, each Exercisable Pre-Close Option (as defined in the Merger Agreement) became exercisable on the Acceleration Date (August 5, 2022) up to and through the close of regular trading on the Nasdaq Stock Market on the second (2nd) business day thereafter (August 9, 2022).

SEC source: 0000899243-22-028419 · doc4.xml · derivative · entry 6

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 43,473 shares

Expires 2032-03-16

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

F2 · derivative.exercise_date: On June 27, 2022, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Ipsen Pharma SAS and Hibernia Merger Sub, Inc. Pursuant to the terms of the Merger Agreement, each Exercisable Pre-Close Option (as defined in the Merger Agreement) became exercisable on the Acceleration Date (August 5, 2022) up to and through the close of regular trading on the Nasdaq Stock Market on the second (2nd) business day thereafter (August 9, 2022).

SEC source: 0000899243-22-028419 · doc4.xml · derivative · entry 5

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 443,473

Underlying: Common Stock · 56,527 shares

Expires 2032-03-16

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

F2 · derivative.exercise_date: On June 27, 2022, the Issuer entered into an Agreement and Plan of Merger (the "Merger Agreement"), by and among the Issuer, Ipsen Pharma SAS and Hibernia Merger Sub, Inc. Pursuant to the terms of the Merger Agreement, each Exercisable Pre-Close Option (as defined in the Merger Agreement) became exercisable on the Acceleration Date (August 5, 2022) up to and through the close of regular trading on the Nasdaq Stock Market on the second (2nd) business day thereafter (August 9, 2022).

SEC source: 0000899243-22-028419 · doc4.xml · nonDerivative · entry 4

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,562

F1 · kind: These shares were withheld so the Reporting Person could satisfy the exercise price arising from a net (cashless) exercise of stock options that occurred on August 9, 2022.

SEC source: 0000899243-22-028419 · doc4.xml · nonDerivative · entry 3

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 658,716

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

SEC source: 0000899243-22-028419 · doc4.xml · nonDerivative · entry 2

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,716

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

SEC source: 0000899243-22-028419 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,243

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

SEC source: 0001567619-22-013255 · doc1.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000

Underlying: Common Stock · 19,000 shares

Expires 2032-06-16

F1 · derivative.exercise_date: The option will vest and become exercisable on the earlier of (i) the first anniversary of the date of grant or (ii) the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through the applicable vesting date.

SEC source: 0001209191-22-036338 · doc4.xml · derivative · entry 2

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,893

Underlying: Common Stock · 11,893 shares

Expires 2032-06-09

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 9, 2023 or (ii) the date of the Issuer's 2023 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

SEC source: 0001209191-22-036338 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,490

F1 · security: Award of restricted stock units that vest in full on the earlier of (i) June 9, 2023 or (ii) the date of the Issuer's 2023 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

SEC source: 0001209191-22-034996 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,840

F1 · kind: Required number of shares sold by the Reporting Person to cover tax obligations in connection with the vesting of 2,681 shares of Common Stock underlying RSUs granted to the Reporting Person on June 2, 2021. This sale was made pursuant to an irrevocable election by the Reporting Person to satisfy tax obligations through a "sell to cover" transaction and does not represent a discretionary trade by the Reporting Person.

F2 · price: Represents the weighted average sale price of the shares sold from $21.61 to $22.19 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 2.

SEC source: 0001209191-22-034536 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,874

F1 · kind: Required number of shares sold by the reporting person to cover tax obligations in connection with the vesting of 2,681 shares of Common Stock underlying RSUs granted to the reporting person on June 2, 2021. This sale was made pursuant to an irrevocable election by the reporting person to satisfy tax obligations through a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: Represents the weighted average sale price of the shares sold from $22.53 to $22.92 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote 2.

SEC source: 0001209191-22-034992 · doc4a.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,681

F1 · shares: Corrected to reflect that no shares were sold on June 3, 2022.

F1 · price: Corrected to reflect that no shares were sold on June 3, 2022.

SEC source: 0000899243-22-011725 · doc4.xml · derivative · entry 2

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2032-03-16

F2 · derivative.exercise_date: This option was granted on March 17, 2022 pursuant to the Company's 2013 Stock Incentive Plan with respect to 500,000 shares of Common Stock, with 25% vesting on March 17, 2023 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0000899243-22-011725 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,716

F1 · shares: These shares were acquired under the Company's 2013 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0000899243-22-005470 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,385

F1 · shares: Represents shares of Common Stock automatically sold by the reporting person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted under the Company's 2013 Stock Incentive Plan on February 3, 2020. The automatic sale of the reporting person's shares of Common Stock is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the reporting person.

SEC source: 0000899243-22-004829 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,443

F1 · shares: Represents shares of Common Stock automatically sold by the reporting person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted under the Company's 2013 Stock Incentive Plan on February 1, 2021. The automatic sale of the reporting person's shares of Common Stock is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the reporting person.

SEC source: 0000899243-22-003557 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,082

F1 · shares: Represents shares of Common Stock automatically sold by the reporting person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted under the Issuer's 2013 Stock Incentive Plan on January 24, 2019. The automatic sale of the reporting person's shares of Common Stock is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the reporting person.

SEC source: 0000899243-21-047205 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,004

F1 · shares: Represents shares of Common Stock automatically sold by the reporting person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted under the Issuer's 2013 Stock Incentive Plan on December 6, 2021. The automatic sale of the reporting person's shares of Common Stock is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the reporting person.

F2 · balance_after: The reporting person acquired 1,277 shares of Common Stock under the Issuer's 2013 Employee Stock Purchase Plan on August 31, 2021.

SEC source: 0000899243-21-033398 · doc4.xml · derivative · entry 2

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,270

Underlying: Common Stock · 282,270 shares

Expires 2031-08-15

F2 · derivative.exercise_date: This option was granted on August 16, 2021 pursuant to the Company's 2013 Stock Incentive Plan with respect to 282,270 shares of Common Stock, with 33.33% vesting on August 16, 2022 and the remaining 66.67% vesting in 24 substantially equal monthly installments thereafter.

SEC source: 0000899243-21-033398 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,507

F1 · shares: Consists of shares of Common Stock issuable under 59,166 restricted stock units ("RSUs") granted pursuant to the Company's 2013 Stock Incentive Plan. Each RSU represents the right to receive one share of Common Stock upon vesting. These RSUs are scheduled to vest in three equal annual installments over three years from the grant date, with the first installment vesting on August 16, 2022.

SEC source: 0001567619-21-020881 · doc1.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 937

Underlying: Common Stock · 937 shares

Expires 2031-06-17

F1 · derivative.exercise_date: The option will vest and become exercisable on the earlier of the first anniversary of the date of grant or the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through the applicable vesting date.

SEC source: 0000899243-21-022080 · doc4.xml · derivative · entry 2

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,334

Underlying: Common Stock · 4,334 shares

Expires 2031-06-01

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

SEC source: 0000899243-21-022080 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,681

F1 · security: Award of restricted stock units that vest in full on the earlier of (i) June 2, 2022 or (ii) the date of the Issuer's 2022 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

SEC source: 0001567619-21-020880 · doc1.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,000

Underlying: Common Stock · 38,000 shares

Expires 2031-05-31

F1 · derivative.exercise_date: Shares subject to the stock option vest and become exercisable on a monthly basis in equal monthly installments over a 36 month period commencing on the grant date, so that all shares subject to the stock option will become fully vested and exercisable on the third anniversary of the grant date, subject to the Reporting Person remaining a service provider through each monthly anniversary of the grant date.

SEC source: 0000899243-21-005043 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,341

F1 · shares: Represents shares automatically sold by the reporting person to satisfy tax withholding obligations in connection with the vesting of the restricted stock units granted under the issuer's 2013 Stock Incentive Plan on February 3, 2020. The automatic sale of the reporting person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the reporting person.

SEC source: 0000899243-21-004526 · doc4.xml · derivative · entry 2

Agarwal Shefali · CIK 0001746830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,135

Underlying: Common Stock · 141,135 shares

Expires 2031-01-31

F2 · derivative.exercise_date: This option was granted on February 1, 2021 pursuant to the Company's 2013 Stock Incentive Plan with respect to 141,135 shares of Common Stock, with 25% vesting on February 1, 2022 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.

SEC source: 0000899243-21-004526 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,310

F1 · shares: Consists of shares of Common Stock issuable under 29,583 restricted stock units ("RSUs") granted pursuant to the Company's 2013 Stock Incentive Plan. Each RSU represents the right to receive one share of Common Stock upon vesting. These RSUs are scheduled to vest in four equal annual installments over four years from the grant date, with the first installment vesting on February 1, 2022.

SEC source: 0000899243-21-003529 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,727

F1 · shares: Represents shares automatically sold by the reporting person to satisfy tax withholding obligations in connection with the vesting of the restricted stock units granted under the issuer's 2013 Stock Incentive Plan on January 24, 2019. The automatic sale of the reporting person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the reporting person.

F2 · balance_after: The reporting person acquired (i) 971 shares of Common Stock under the Issuer's 2013 Employee Stock Purchase Plan (the "2013 ESPP") on August 31, 2019, (ii) 996 shares of Common Stock under the 2013 ESPP on February 29, 2020 and (iii) 543 shares of Common Stock under the 2013 ESPP on August 31, 2020 that were not previously reported on Form 4.

SEC source: 0000899243-20-032831 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,089

F1 · shares: Represents shares automatically sold by the reporting person to satisfy tax withholding obligations in connection with the vesting of restricted stock units granted under the issuer's 2013 Stock Incentive Plan on December 2, 2019. The automatic sale of the reporting person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the reporting person.

SEC source: 0000899243-20-017901 · doc4.xml · nonDerivative · entry 2

Agarwal Shefali · CIK 0001746830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,611

F2 · shares: Represents shares automatically sold by the reporting person to satisfy tax withholding obligations in connection with the vesting of the restricted stock units described in footnote 1. The automatic sale of the reporting person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the reporting person.

SEC source: 0000899243-20-017901 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,416

F1 · price: Represents common stock issued upon vesting of restricted stock units granted under the issuer's 2013 Stock Incentive Plan that vested upon the issuer's achievement of a specified performance target. The transaction date represents the date on which the issuer's Compensation Committee determined that the performance target was achieved.

SEC source: 0001209191-20-027063 · doc4.xml · derivative · entry 1

Agarwal Shefali · CIK 0001746830 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2030-05-01

F2 · price: Not applicable.

F1 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 1, 2021 or (ii) the date of the Issuer's 2021 Annual Meeting of Stockholders, subject to the recipient's continued service on the Issuer's Board of Directors.

SEC source: 0000899243-20-009604 · doc4.xml · nonDerivative · entry 2

Agarwal Shefali · CIK 0001746830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,991

F2 · shares: Represents shares automatically sold by the reporting person to satisfy tax withholding obligations in connection with the vesting of the restricted stock units described in footnote 1. The automatic sale of the reporting person's shares is provided for in a restricted stock unit agreement constituting a "binding contract" consistent with the affirmative defense to liability under Rule 10b5-1 and the sale does not represent a discretionary trade by the reporting person.

SEC source: 0000899243-20-009604 · doc4.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,234

F1 · price: Represents common stock issued upon vesting of restricted stock units granted under the issuer's 2013 Stock Incentive Plan that vested upon the issuer's achievement of a specified performance target. The transaction date represents the date on which the issuer's Compensation Committee determined that the performance target was achieved.

SEC source: 0000899243-20-017863 · doc4a.xml · nonDerivative · entry 1

Agarwal Shefali · CIK 0001746830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,416

F1 · shares: The Form 4 originally filed on March 26, 2020 inadvertently reported an incorrect amount of shares of common stock issued to the reporting person upon vesting of restricted stock units granted under the issuer's 2013 Stock Incentive Plan.

F1 · price: The Form 4 originally filed on March 26, 2020 inadvertently reported an incorrect amount of shares of common stock issued to the reporting person upon vesting of restricted stock units granted under the issuer's 2013 Stock Incentive Plan.

SEC source: 0000899243-20-003370 · doc4.xml · derivative · entry 2

Agarwal Shefali · CIK 0001746830 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,834

Underlying: Common Stock · 61,834 shares

Expires 2030-02-02

F2 · derivative.exercise_date: This option was granted on February 3, 2020 pursuant to the Company's 2013 Stock Incentive Plan with respect to 61,834 shares of Common Stock, with 25% vesting on February 3, 2021 and the remaining 75% vesting in 36 substantially equal monthly installments thereafter.