Jain Mudit K.

SEC source: 0001104659-18-031868 · a4.xml · derivative · entry 7

Jain Mudit K. · CIK 0001584404 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 419,663 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Shares of Series C, Series D and Series F Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock at a 1-for-0.1504 conversion rate immediately prior to the closing of the Issuer's IPO for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Certificate of Incorporation). These shares had no expiration date.

F2 · derivative.exercise_date: Shares of Series C, Series D and Series F Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock at a 1-for-0.1504 conversion rate immediately prior to the closing of the Issuer's IPO for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Certificate of Incorporation). These shares had no expiration date.

F2 · derivative.expiration_date: Shares of Series C, Series D and Series F Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock at a 1-for-0.1504 conversion rate immediately prior to the closing of the Issuer's IPO for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Certificate of Incorporation). These shares had no expiration date.

F4 · ownership.nature: These shares are held of record by Synergy Life Science Partners, LP ("Synergy"). Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy. As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Mr. Jain, a director of the Issuer, is a Manager of SVP LLC and shares voting and dispositive power over the shares held by Synergy. Mr. Jain disclaims beneficial ownership of the shares held by Synergy except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001104659-18-031868 · a4.xml · derivative · entry 6

Jain Mudit K. · CIK 0001584404 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 741,494 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Shares of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock at a 1-for-0.1855 conversion rate immediately prior to the closing of the Issuer's initial public offering ("IPO") for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Sixth Amended and Restated Certificate of Incorporation (as amended, the "Certificate of Incorporation")). These shares had no expiration date.

F1 · derivative.exercise_date: Shares of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock at a 1-for-0.1855 conversion rate immediately prior to the closing of the Issuer's initial public offering ("IPO") for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Sixth Amended and Restated Certificate of Incorporation (as amended, the "Certificate of Incorporation")). These shares had no expiration date.

F1 · derivative.expiration_date: Shares of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock at a 1-for-0.1855 conversion rate immediately prior to the closing of the Issuer's initial public offering ("IPO") for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Sixth Amended and Restated Certificate of Incorporation (as amended, the "Certificate of Incorporation")). These shares had no expiration date.

F4 · ownership.nature: These shares are held of record by Synergy Life Science Partners, LP ("Synergy"). Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy. As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Mr. Jain, a director of the Issuer, is a Manager of SVP LLC and shares voting and dispositive power over the shares held by Synergy. Mr. Jain disclaims beneficial ownership of the shares held by Synergy except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001104659-18-031868 · a4.xml · nonDerivative · entry 5

Jain Mudit K. · CIK 0001584404 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,095,507

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 · price: Shares of Series C, Series D and Series F Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock at a 1-for-0.1504 conversion rate immediately prior to the closing of the Issuer's IPO for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Certificate of Incorporation). These shares had no expiration date.

F4 · ownership.nature: These shares are held of record by Synergy Life Science Partners, LP ("Synergy"). Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy. As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Mr. Jain, a director of the Issuer, is a Manager of SVP LLC and shares voting and dispositive power over the shares held by Synergy. Mr. Jain disclaims beneficial ownership of the shares held by Synergy except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001104659-18-031868 · a4.xml · nonDerivative · entry 4

Jain Mudit K. · CIK 0001584404 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,629,013

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.

F3 · price: Shares of Series E Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock at a 1-for-0.1728 conversion rate immediately prior to the closing of the Issuer's IPO for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Certificate of Incorporation). These shares had no expiration date.

F4 · ownership.nature: These shares are held of record by Synergy Life Science Partners, LP ("Synergy"). Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy. As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Mr. Jain, a director of the Issuer, is a Manager of SVP LLC and shares voting and dispositive power over the shares held by Synergy. Mr. Jain disclaims beneficial ownership of the shares held by Synergy except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001104659-18-031868 · a4.xml · nonDerivative · entry 3

Jain Mudit K. · CIK 0001584404 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,356,622

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 · price: Shares of Series C, Series D and Series F Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock at a 1-for-0.1504 conversion rate immediately prior to the closing of the Issuer's IPO for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Certificate of Incorporation). These shares had no expiration date.

F4 · ownership.nature: These shares are held of record by Synergy Life Science Partners, LP ("Synergy"). Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy. As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Mr. Jain, a director of the Issuer, is a Manager of SVP LLC and shares voting and dispositive power over the shares held by Synergy. Mr. Jain disclaims beneficial ownership of the shares held by Synergy except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001104659-18-031868 · a4.xml · nonDerivative · entry 2

Jain Mudit K. · CIK 0001584404 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,161,157

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 · price: Shares of Series C, Series D and Series F Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock at a 1-for-0.1504 conversion rate immediately prior to the closing of the Issuer's IPO for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Certificate of Incorporation). These shares had no expiration date.

F4 · ownership.nature: These shares are held of record by Synergy Life Science Partners, LP ("Synergy"). Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy. As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Mr. Jain, a director of the Issuer, is a Manager of SVP LLC and shares voting and dispositive power over the shares held by Synergy. Mr. Jain disclaims beneficial ownership of the shares held by Synergy except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001104659-18-031868 · a4.xml · nonDerivative · entry 1

Jain Mudit K. · CIK 0001584404 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 741,494

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

F1 · price: Shares of Series B Convertible Preferred Stock automatically converted into shares of the Issuer's Common Stock at a 1-for-0.1855 conversion rate immediately prior to the closing of the Issuer's initial public offering ("IPO") for no additional consideration (subject to the payment of cash in lieu of any fractional shares in accordance with the Issuer's Sixth Amended and Restated Certificate of Incorporation (as amended, the "Certificate of Incorporation")). These shares had no expiration date.

F4 · ownership.nature: These shares are held of record by Synergy Life Science Partners, LP ("Synergy"). Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy. As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Mr. Jain, a director of the Issuer, is a Manager of SVP LLC and shares voting and dispositive power over the shares held by Synergy. Mr. Jain disclaims beneficial ownership of the shares held by Synergy except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001104659-18-031868 · a4.xml · derivative · entry 11

Jain Mudit K. · CIK 0001584404 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,296

Underlying: Common Stock · 17,296 shares

Expires 2028-05-02

F5 · derivative.exercise_date: The option vests and becomes exercisable on May 2, 2019, subject to the Reporting Person's continuous service to the Issuer through such date. The option was erroneously included on the Reporting Person's Form 3 filed on May 2, 2018.

SEC source: 0001209191-17-039009 · doc4.xml · nonDerivative · entry 2

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Starling William N JR · CIK 0001324130 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Synergy Life Science Partners, LP

Disclosed balance after: 2,034,524

F3 · price: Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $37.65 to $38.54 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.

SEC source: 0001209191-17-039009 · doc4.xml · nonDerivative · entry 1

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Starling William N JR · CIK 0001324130 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By Synergy Life Science Partners, LP

Disclosed balance after: 2,112,712

F1 · price: Price reflected is the weighted-average sale price for shares sold. The range of sale prices for the transactions reported was $37.00 to $37.58 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.

SEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 11

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 49,581 shares

Expires 2019-11-01

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.

F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.

SEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 10

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 56,506 shares

Expires not disclosed

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

F5 · derivative.exercise_price: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F5 · derivative.exercise_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F5 · derivative.expiration_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.

SEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 9

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 114,018 shares

Expires not disclosed

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

F5 · derivative.exercise_price: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F5 · derivative.exercise_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F5 · derivative.expiration_date: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.

SEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 8

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 179,011 shares

Expires not disclosed

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

F4 · derivative.exercise_price: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F4 · derivative.exercise_date: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F4 · derivative.expiration_date: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.

SEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 7

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 182,387 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.

F3 · derivative.exercise_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.

F3 · derivative.expiration_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.

F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.

SEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 6

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,184 shares

Expires not disclosed

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

F3 · derivative.exercise_price: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.

F3 · derivative.exercise_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.

F3 · derivative.expiration_date: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.

F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.

SEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 5

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 135,833 shares

Expires not disclosed

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

F2 · derivative.exercise_price: The Series B Convertible Preferred Stock converted into Common Stock on a 2.00438849-for-1 basis and had no expiration date.

F2 · derivative.exercise_date: The Series B Convertible Preferred Stock converted into Common Stock on a 2.00438849-for-1 basis and had no expiration date.

F2 · derivative.expiration_date: The Series B Convertible Preferred Stock converted into Common Stock on a 2.00438849-for-1 basis and had no expiration date.

F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.

SEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 4

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 528,838 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F1 · derivative.exercise_date: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F1 · derivative.expiration_date: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.

SEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 3

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 837,328 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F1 · derivative.exercise_date: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F1 · derivative.expiration_date: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.

SEC source: 0000899243-16-032260 · doc4.xml · derivative · entry 2

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 264,419 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F1 · derivative.exercise_date: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F1 · derivative.expiration_date: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F6 · derivative.underlying_shares: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.

SEC source: 0000899243-16-032260 · doc4.xml · nonDerivative · entry 1

SYNERGY LIFE SCIENCE PARTNERS L P · CIK 0001384771 · 10% owner

Synergy Venture Partners, LLC · CIK 0001584405 · 10% owner

Jain Mudit K. · CIK 0001584404 · 10% owner

Stack Richard S. · CIK 0001584403 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,384,524

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

F1 · price: The Series A Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F2 · price: The Series B Convertible Preferred Stock converted into Common Stock on a 2.00438849-for-1 basis and had no expiration date.

F3 · price: The Series C Convertible Preferred Stock converted into Common Stock on a 2.24685484-for-1 basis and had no expiration date.

F4 · price: The Series D Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F5 · price: The Series E Convertible Preferred Stock converted into Common Stock on a 1-for-1 basis and had no expiration date.

F6 · balance_after: Reflects 5.882698 for 1 reverse stock split which became effective on October 5, 2016.

F7 · ownership.direct: Synergy Venture Partners, LLC ("SVP LLC") serves as the sole General Partner of Synergy Life Science Partners, LP ("Synergy"). As such, SVP LLC possesses sole voting and investment control over the securities owned by Synergy, and may be deemed to have indirect beneficial ownership of the securities held by Synergy. SVP LLC, however, owns no securities of the Issuer directly. Messrs. Stack, Jain and Starling are Managers of SVP LLC and share voting and dispositive power over the shares held by Synergy. Each Reporting Person disclaims beneficial ownership of the shares held by Synergy except to the extent of his or its proportionate pecuniary interest therein.