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Amado Rafael

Disclosed activity across 4 companies

Tapewire entity
53247
SEC CIK
0001662119

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Reported relationships

Latest disclosed role at each company.

CompanyLast reported asReport datePublished
Adaptimmune Therapeutics PLCADAP · Entity 9824President, R&DAugust 06, 2019August 08, 2019
Allogene Therapeutics, Inc.ALLO · Entity 5243EVP of R&DOctober 07, 2022October 11, 2022
Zai Lab LtdZLAB · Entity 4271See RemarksApril 06, 2026April 08, 2026

Disclosed balances

About these balances

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

Adaptimmune Therapeutics PLC

Report date August 06, 2019 · Filed August 08, 2019

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
American Depositary Shares representing Ordinary SharesSEC Table I · non-derivativeDirect17,237 Reported balance After 2019-08-06 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2019-08-06 · Sale · Disposed 11,043 · Balance 17,237

F1: Each American Depositary Share ("ADS") represents six ordinary shares, nominal value GBP 0.001 per ordinary share, of the Issuer. The ADSs were obtained from the exercise of approximately 25% of an RSU-style share option covering ordinary shares of the Issuer granted on August 6, 2018 and which vested on August 6, 2019. Once vested, the RSU-style options must be exercised within a restricted period or they are forfeited. The exercise of the portion of these RSU-style share options and the sale reported in this Form 4 were effected pursuant to a Sell to Cover exercise implemented automatically in accordance with the Issuer's option plan, under which sufficient ADSs were sold by the Issuer to satisfy the Reporting Person's tax withholding obligations and associated sale costs. The residual ADSs are held by the Reporting Person.

F2: The price reported in Column 4 is a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $2.02 to $2.085, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission full information regarding the ADSs sold at each separate price within the range set forth in this footnote.

F3: The ADSs reported in this Column 5 represent solely those residual ADSs held by the Reporting Person which result from the Sell to Cover exercise transaction reported on this Form 4. Additionally, the Reporting Person holds 20,974 ADSs and RSU-style options and other options covering an aggregate of 9,356,928 ordinary shares of the Issuer.

Filing footnotes · ownership attribution and instrument terms

F1: Each American Depositary Share ("ADS") represents six ordinary shares, nominal value GBP 0.001 per ordinary share, of the Issuer. The ADSs were obtained from the exercise of approximately 25% of an RSU-style share option covering ordinary shares of the Issuer granted on August 6, 2018 and which vested on August 6, 2019. Once vested, the RSU-style options must be exercised within a restricted period or they are forfeited. The exercise of the portion of these RSU-style share options and the sale reported in this Form 4 were effected pursuant to a Sell to Cover exercise implemented automatically in accordance with the Issuer's option plan, under which sufficient ADSs were sold by the Issuer to satisfy the Reporting Person's tax withholding obligations and associated sale costs. The residual ADSs are held by the Reporting Person.

F2: The price reported in Column 4 is a weighted average price. These ADSs were sold in multiple transactions at prices ranging from $2.02 to $2.085, inclusive. Upon request, the Reporting Person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission full information regarding the ADSs sold at each separate price within the range set forth in this footnote.

F3: The ADSs reported in this Column 5 represent solely those residual ADSs held by the Reporting Person which result from the Sell to Cover exercise transaction reported on this Form 4. Additionally, the Reporting Person holds 20,974 ADSs and RSU-style options and other options covering an aggregate of 9,356,928 ordinary shares of the Issuer.

Allogene Therapeutics, Inc.

Report date October 07, 2022 · Filed October 11, 2022

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect541,946 Ending reported balance After 2022-10-07 transaction · row 2
2 source rows · reconciled sequence

Row 1 · 2022-10-07 · Grant · Acquired 19,120 · Balance 550,410

F1: Represents the vesting of performance-based restricted stock units (Performance RSUs) granted on September 3, 2019. Performance RSUs vested upon the initiation of a Phase 2 clinical trial of ALLO-501A. Each Performance RSU represents the right to receive one share of common stock of the Issuer.

Row 2 · 2022-10-07 · Tax withholding · Disposed 8,464 · Balance 541,946

F2: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.7081 to $11.845, 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 sold at each separate price within the range set forth above.

Filing footnotes · ownership attribution and instrument terms

F1: Represents the vesting of performance-based restricted stock units (Performance RSUs) granted on September 3, 2019. Performance RSUs vested upon the initiation of a Phase 2 clinical trial of ALLO-501A. Each Performance RSU represents the right to receive one share of common stock of the Issuer.

F2: Represents the number of shares sold by the reporting person to cover tax withholding obligations in connection with the vesting of restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plan to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F3: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $11.7081 to $11.845, 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 sold at each separate price within the range set forth above.

Zai Lab Ltd

Report date April 06, 2026 · Filed April 08, 2026

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
American Depositary SharesSEC Table I · non-derivativeDirect57,022 Reported balance After 2026-04-06 transaction · row 1 Account or security details depend on footnotes; rows are not merged.
1 source row

Row 1 · 2026-04-06 · Sale · Disposed 2,739 · Balance 57,022

F1: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2: These ADSs were sold automatically to cover taxes upon vesting of Restricted Share Units.

Filing footnotes · ownership attribution and instrument terms

F1: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2: These ADSs were sold automatically to cover taxes upon vesting of Restricted Share Units.

Past disclosures · reporting ended (1)

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

Poseida Therapeutics, Inc.

Report date January 08, 2025 · Filed January 08, 2025

Section 16 reporting ended · disclosed 2025-01-08. Current position is not established by this disclosure.

Security / awardOwnership accountDisclosed shares / unitsDisclosure context
Common StockSEC Table I · non-derivativeDirect0 Reported balance After 2025-01-08 transaction · row 1
1 source row

Row 1 · 2025-01-08 · Other · Disposed 58,950 · Balance 0

F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2]

F2: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.76 · Expires 2033-04-30Direct0 Reported balance After 2025-01-08 transaction · row 2 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 2 · 2025-01-08 · Disposition to issuer · Disposed 55,200 · Balance 0

F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

Stock Option (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.81 · Expires 2034-06-16Direct0 Reported balance After 2025-01-08 transaction · row 3 Instrument identity requires review; Table II rows are not merged.
1 source row

Row 3 · 2025-01-08 · Disposition to issuer · Disposed 27,350 · Balance 0

F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

Filing footnotes · ownership attribution and instrument terms

F1: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2]

F2: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price.

F3: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

Transaction history

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

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

Transaction dateCompanyActivity / securityShares / unitsReported priceReported valueDetails
April 06, 2026 Filed Apr 8, 2026 23:33 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 2,739 $20.45 $56,007.07
Disclosure

SEC source: 0000905148-26-001603 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,022

F1 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · shares: These ADSs were sold automatically to cover taxes upon vesting of Restricted Share Units.

Read SEC document
April 02, 2026 Filed Apr 3, 2026 21:57 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionRestricted Share Units · Derivative 5,391 $0.00 $0.00
Disclosure

SEC source: 0000905148-26-001542 · form4.xml · derivative · entry 6

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,391

Underlying: American Depositary Shares · 5,391 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: Each RSU represents a contingent right to receive one ADS.

F8 · derivative.exercise_date: The RSUs vest in equal annual installments over four years beginning on 04/03/2024, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F8 · derivative.expiration_date: The RSUs vest in equal annual installments over four years beginning on 04/03/2024, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F1 · derivative.underlying: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
April 02, 2026 Filed Apr 3, 2026 21:57 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 9,910 $20.39 $202,064.90
Disclosure

SEC source: 0000905148-26-001542 · form4.xml · nonDerivative · entry 3

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,761

F1 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F4 · shares: These ADSs were sold automatically to cover taxes upon vesting of RSUs.

Read SEC document
April 02, 2026 Filed Apr 3, 2026 21:57 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionAmerican Depositary Shares 5,391 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-26-001542 · form4.xml · nonDerivative · entry 2

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,671

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 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · shares: ADSs acquired upon vesting of Restricted Share Units ("RSUs").

F3 · price: Each RSU represents a contingent right to receive one ADS.

Read SEC document
April 01, 2026 Filed Apr 3, 2026 21:57 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionRestricted Share Units · Derivative 19,523 $0.00 $0.00
Disclosure

SEC source: 0000905148-26-001542 · form4.xml · derivative · entry 5

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,046

Underlying: American Depositary Shares · 19,523 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: Each RSU represents a contingent right to receive one ADS.

F7 · derivative.exercise_date: The RSUs vest in equal annual installments over four years beginning on 04/01/2025, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F7 · derivative.expiration_date: The RSUs vest in equal annual installments over four years beginning on 04/01/2025, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F1 · derivative.underlying: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
April 01, 2026 Filed Apr 3, 2026 21:57 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionAmerican Depositary Shares 19,523 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-26-001542 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,280

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 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · shares: ADSs acquired upon vesting of Restricted Share Units ("RSUs").

F3 · price: Each RSU represents a contingent right to receive one ADS.

Read SEC document
March 13, 2026 Filed Mar 16, 2026 20:07 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 2,957 $18.63 $55,083.00
Disclosure

SEC source: 0000905148-26-001283 · form4.xml · nonDerivative · entry 2

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,757

F1 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F4 · shares: These ADSs were sold automatically to cover taxes upon vesting of RSUs.

Read SEC document
March 12, 2026 Filed Mar 16, 2026 20:07 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionRestricted Share Units · Derivative 5,323 $0.00 $0.00
Disclosure

SEC source: 0000905148-26-001283 · form4.xml · derivative · entry 5

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,971

Underlying: American Depositary Shares · 5,323 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: Each RSU represents a contingent right to receive one ADS.

F7 · derivative.exercise_date: The RSUs vest in equal annual installments over four years beginning on 03/12/2026, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F7 · derivative.expiration_date: The RSUs vest in equal annual installments over four years beginning on 03/12/2026, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F1 · derivative.underlying: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
March 12, 2026 Filed Mar 16, 2026 20:07 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionAmerican Depositary Shares 5,323 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-26-001283 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,714

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 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · shares: ADSs acquired upon vesting of Restricted Share Units ("RSUs").

F3 · price: Each RSU represents a contingent right to receive one ADS.

Read SEC document
March 04, 2026 Filed Mar 16, 2026 20:07 UTC Zai Lab Ltd ZLAB · Entity 4271 GrantRestricted Share Units · Derivative 33,783 $0.00 $0.00
Disclosure

SEC source: 0000905148-26-001283 · form4.xml · derivative · entry 4

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,783

Underlying: American Depositary Shares · 33,783 shares

Expires not disclosed

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one ADS.

F6 · derivative.exercise_date: The RSUs vest in equal annual installments over four years beginning on 03/04/2027, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F6 · derivative.expiration_date: The RSUs vest in equal annual installments over four years beginning on 03/04/2027, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F1 · derivative.underlying: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
March 04, 2026 Filed Mar 16, 2026 20:07 UTC Zai Lab Ltd ZLAB · Entity 4271 GrantStock Options (Right to Buy) · Derivative 103,950 $0.00 Strike: $19.27 $0.00
Disclosure

SEC source: 0000905148-26-001283 · form4.xml · derivative · entry 3

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,950

Underlying: American Depositary Shares · 103,950 shares

Expires 2036-03-04

F5 · derivative.exercise_date: The option vests in equal annual installments over four years beginning on 03/04/2027, the first anniversary of the date of grant, subject to continuous service.

F1 · derivative.underlying: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
March 04, 2026 Filed Apr 3, 2026 21:57 UTC Zai Lab Ltd ZLAB · Entity 4271 GrantPerformance-Based Share Units · Derivative 14,905 $0.00 $0.00
Disclosure

SEC source: 0000905148-26-001542 · form4.xml · derivative · entry 4

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,905

Underlying: American Depositary Shares · 14,905 shares

Expires not disclosed

F5 · derivative.exercise_price: Each performance-based share unit ("PSU") represents a contingent right to receive one ADS.

F6 · derivative.exercise_date: The reporting person was granted PSUs on March 12, 2025 based on the satisfaction of specified performance criteria between January 1, 2025 through December 31, 2025. On March 4, 2026, the performance-based vesting conditions were confirmed for PSUs representing 14,905 ADSs. The PSUs vest in full on March 12, 2028, the third anniversary of the date of grant, subject to continuous service.

F6 · derivative.expiration_date: The reporting person was granted PSUs on March 12, 2025 based on the satisfaction of specified performance criteria between January 1, 2025 through December 31, 2025. On March 4, 2026, the performance-based vesting conditions were confirmed for PSUs representing 14,905 ADSs. The PSUs vest in full on March 12, 2028, the third anniversary of the date of grant, subject to continuous service.

F1 · derivative.underlying: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
March 03, 2026 Filed Mar 5, 2026 21:07 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 10,000 $17.38 $173,800.00
Disclosure

SEC source: 0000905148-26-001174 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 42,391

F1 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · kind: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 15, 2025.

Read SEC document
December 31, 2025 Filed Jan 2, 2026 21:15 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 10,787 $17.43 $188,038.98
Disclosure

SEC source: 0000905148-26-000003 · form4.xml · nonDerivative · entry 2

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,391

F1 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F4 · kind: These ADSs were sold automatically to cover taxes upon vesting of RSUs.

Read SEC document
December 30, 2025 Filed Jan 2, 2026 21:15 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionRestricted Share Units · Derivative 21,000 $0.00 $0.00
Disclosure

SEC source: 0000905148-26-000003 · form4.xml · derivative · entry 3

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,000

Underlying: American Depositary Shares · 21,000 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: Each RSU represents a contingent right to receive one ADS.

F5 · derivative.exercise_date: These RSUs vest in equal annual installments over five years beginning on 12/30/2023, the first anniversary of the date of grant. Vested shares will be delivered to the reporting person following vesting.

F5 · derivative.expiration_date: These RSUs vest in equal annual installments over five years beginning on 12/30/2023, the first anniversary of the date of grant. Vested shares will be delivered to the reporting person following vesting.

F1 · derivative.underlying: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
December 30, 2025 Filed Jan 2, 2026 21:15 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionAmerican Depositary Shares 21,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-26-000003 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,178

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 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · shares: ADSs acquired upon vesting of Restricted Share Units ("RSUs").

F3 · price: Each RSU represents a contingent right to receive one ADS.

Read SEC document
August 08, 2025 Filed Aug 12, 2025 20:45 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 3,000 $35.00 $105,000.00
Disclosure

SEC source: 0000905148-25-002836 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 42,178

F1 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · kind: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 22, 2024.

Read SEC document
April 04, 2025 Filed Apr 7, 2025 20:48 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 3,029 $33.11 $100,284.13
Disclosure

SEC source: 0000905148-25-001113 · form4.xml · nonDerivative · entry 2

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,178

F1 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F4 · shares: These ADSs were sold automatically to cover taxes upon vesting of RSUs.

Read SEC document
April 03, 2025 Filed Apr 7, 2025 20:48 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionRestricted Share Units · Derivative 5,391 $0.00 $0.00
Disclosure

SEC source: 0000905148-25-001113 · form4.xml · derivative · entry 3

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,782

Underlying: American Depositary Shares · 5,391 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: Each RSU represents a contingent right to receive one ADS.

F5 · derivative.exercise_date: The RSUs vest in equal annual installments over four years beginning on 04/03/2024, the first anniversary of the date of grant. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F5 · derivative.expiration_date: The RSUs vest in equal annual installments over four years beginning on 04/03/2024, the first anniversary of the date of grant. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F1 · derivative.underlying: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
April 03, 2025 Filed Apr 7, 2025 20:48 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionAmerican Depositary Shares 5,391 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-25-001113 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,207

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 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · shares: ADSs acquired upon vesting of Restricted Share Units ("RSUs").

F3 · price: Each RSU represents a contingent right to receive one ADS.

Read SEC document
April 02, 2025 Filed Apr 3, 2025 21:06 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 7,541 $35.89 $270,676.65
Disclosure

SEC source: 0000905148-25-001078 · form4.xml · nonDerivative · entry 2

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,816

F1 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F4 · shares: These ADSs were sold automatically to cover taxes upon vesting of RSUs.

Read SEC document
April 01, 2025 Filed Apr 3, 2025 21:06 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionRestricted Share Units · Derivative 19,523 $0.00 $0.00
Disclosure

SEC source: 0000905148-25-001078 · form4.xml · derivative · entry 3

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,569

Underlying: American Depositary Shares · 19,523 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: Each RSU represents a contingent right to receive one ADS.

F5 · derivative.exercise_date: The RSUs vest in equal annual installments over four years beginning on 04/01/2025, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered to the reporting person following vesting.

F5 · derivative.expiration_date: The RSUs vest in equal annual installments over four years beginning on 04/01/2025, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered to the reporting person following vesting.

F1 · derivative.underlying: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
April 01, 2025 Filed Apr 3, 2025 21:06 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionAmerican Depositary Shares 19,523 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-25-001078 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,357

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 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · shares: ADSs acquired upon vesting of Restricted Share Units ("RSUs").

F3 · price: Each RSU represents a contingent right to receive one ADS.

Read SEC document
March 17, 2025 Filed Mar 19, 2025 20:41 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 3,000 $38.41 $115,230.00
Disclosure

SEC source: 0000905148-25-000969 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 30,834

F1 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · kind: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 22, 2024.

Read SEC document
March 12, 2025 Filed Mar 14, 2025 21:14 UTC Zai Lab Ltd ZLAB · Entity 4271 GrantRestricted Share Units · Derivative 21,294 $0.00 $0.00
Disclosure

SEC source: 0000905148-25-000922 · form4.xml · derivative · entry 2

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,294

Underlying: American Depositary Shares · 21,294 shares

Expires not disclosed

F3 · derivative.exercise_price: Each Restricted Share Unit ("RSU") represents a contingent right to receive one ADS.

F4 · derivative.exercise_date: The RSUs vest in equal annual installments over four years beginning on 03/12/2026, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F4 · derivative.expiration_date: The RSUs vest in equal annual installments over four years beginning on 03/12/2026, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F1 · derivative.underlying: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
March 12, 2025 Filed Mar 14, 2025 21:14 UTC Zai Lab Ltd ZLAB · Entity 4271 GrantStock Options (Right to Buy) · Derivative 65,523 $0.00 Strike: $35.55 $0.00
Disclosure

SEC source: 0000905148-25-000922 · form4.xml · derivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,523

Underlying: American Depositary Shares · 65,523 shares

Expires 2035-03-12

F2 · derivative.exercise_date: The option vests in equal annual installments over four years beginning on 03/12/2026, the first anniversary of the date of grant, subject to continuous service.

F1 · derivative.underlying: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
January 08, 2025 Filed Jan 8, 2025 19:17 UTC Poseida Therapeutics, Inc. PSTX · Entity 84243 Disposition to issuerStock Option (Right to Buy) · Derivative 27,350 $0.00 Strike: $2.81 $0.00
Disclosure

SEC source: 0001415889-25-001090 · form4-01082025_070147.xml · derivative · entry 3

Amado Rafael · CIK 0001662119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,350 shares

Expires 2034-06-16

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

Read SEC document
January 08, 2025 Filed Jan 8, 2025 19:17 UTC Poseida Therapeutics, Inc. PSTX · Entity 84243 Disposition to issuerStock Option (Right to Buy) · Derivative 55,200 $0.00 Strike: $2.76 $0.00
Disclosure

SEC source: 0001415889-25-001090 · form4-01082025_070147.xml · derivative · entry 2

Amado Rafael · CIK 0001662119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 55,200 shares

Expires 2033-04-30

F3 · derivative.exercise_date: As of immediately prior to and conditioned upon the effective time of the effective time of the Merger, pursuant to the Merger Agreement, each outstanding option to purchase Shares (each, an "Option") became fully vested and exercisable, and to the extent not exercised prior to the effective time of the Merger, was cancelled and converted into the right to receive (a) an amount in cash (without interest and subject to deduction for any required withholding tax) equal to the product of (1) the excess, if any, of the Cash Amount over the exercise price per share of each such Option and (2) the number of Shares underlying such Option immediately prior to the effective time of the Merger and (b) one CVR in respect of each Share underlying such Option (the "Option Consideration"); provided, however, that if the exercise price per Share of any Option was equal to or greater than the Cash Amount, but less than $13.00 (any such option, an "Underwater Option"), [continues to Footnote 4]

F4 · derivative.exercise_date: [Continues from Footnote 3] such Underwater Option was not entitled to any payment of the Cash Amount in respect thereof and each Underwater Option was converted into the right to receive the CVR included in the Option Consideration with respect to each Share underlying such Underwater Option and became entitled to receive, at each time a milestone payment becomes due and payable under the terms of the CVR Agreement, an amount in cash equal to the product of (a) the total number of Shares underlying such Underwater Option, multiplied by (b) the amount, if any, by which (1) the Cash Amount plus the amount of such milestone payment plus the amount of any other milestone payments that previously became due and payable under the terms of the CVR Agreement exceeds (2) the exercise price per Share with respect to such Underwater Option plus the Milestone Payment Amounts (as such term is defined in the CVR Agreement), [continues to Footnote 5]

F5 · derivative.exercise_date: [Continues from Footnote 4] if any, previously paid pursuant to the CVR Agreement in respect of each CVR granted in respect of such Underwater Option; provided further, that any Option with an exercise price that was equal to or greater than $13.00, was cancelled immediately prior to the effective time of the Merger without any payment being made in respect thereof.

Read SEC document
January 08, 2025 Filed Jan 8, 2025 19:17 UTC Poseida Therapeutics, Inc. PSTX · Entity 84243 OtherCommon Stock 58,950 Not disclosed Not disclosed
Disclosure

SEC source: 0001415889-25-001090 · form4-01082025_070147.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2]

F2 · shares: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price.

F1 · price: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of November 25, 2024, by and among Poseida Therapeutics, Inc. (the "Issuer"), Roche Holdings, Inc. ("Parent") and Blue Giant Acquisition Corp., a wholly owned subsidiary of Parent ("Merger Sub"). On January 8, 2025, Parent and Merger Sub completed a tender offer pursuant to the terms of the Merger Agreement for all outstanding shares of common stock of the Issuer (each, a "Share") for an offer price of (i) $9.00 per Share in cash (the "Cash Amount"), and (ii) one non-tradeable contingent value right (each, a "CVR") representing the right to receive certain contingent payments of up to an aggregate amount of $4.00 per Share, [continues to Footnote 2]

F2 · price: [continues from Footnote 1] in cash, upon the achievement of specified milestones, subject to and in accordance with the terms of the Contingent Value Rights Agreement (the "CVR Agreement"), in each case, without interest, and subject to any applicable withholding taxes (the Cash Amount plus one CVR, collectively, the "Offer Price"). Merger Sub thereafter merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Parent (the "Merger"). At the effective time of the Merger, each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price.

Read SEC document
December 31, 2024 Filed Jan 2, 2025 21:13 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 7,583 $26.28 $199,288.82
Disclosure

SEC source: 0000905148-25-000011 · form4.xml · nonDerivative · entry 2

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,834

F1 · security: Each American Depositary Share (ADS) represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F4 · kind: These ADSs were sold automatically to cover taxes upon vesting of RSUs.

Read SEC document
December 30, 2024 Filed Jan 2, 2025 21:13 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionRestricted Share Units · Derivative 21,000 $0.00 $0.00
Disclosure

SEC source: 0000905148-25-000011 · form4.xml · derivative · entry 3

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,000

Underlying: American Depositary Shares · 21,000 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: Each RSU represents a contingent right to receive one ADS.

F5 · derivative.exercise_date: These RSUs vest in equal annual installments over five years beginning on 12/30/2023, the first anniversary of the date of grant. Vested shares will be delivered to the reporting person following vesting.

F5 · derivative.expiration_date: These RSUs vest in equal annual installments over five years beginning on 12/30/2023, the first anniversary of the date of grant. Vested shares will be delivered to the reporting person following vesting.

F1 · derivative.underlying: Each American Depositary Share (ADS) represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
December 30, 2024 Filed Jan 2, 2025 21:13 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionAmerican Depositary Shares 21,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-25-000011 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,417

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 · security: Each American Depositary Share (ADS) represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · shares: ADSs acquired upon vesting of Restricted Share Units ("RSUs").

F3 · price: Each RSU represents a contingent right to receive one ADS.

Read SEC document
August 12, 2024 Filed Aug 14, 2024 20:18 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 3,115 $16.20 $50,463.00
Disclosure

SEC source: 0000905148-24-002230 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 20,417

F1 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · kind: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2023.

Read SEC document
June 17, 2024 Filed Jun 18, 2024 20:12 UTC Poseida Therapeutics, Inc. PSTX · Entity 84243 GrantStock Option (Right to buy) · Derivative 27,350 $0.00 Strike: $2.81 $0.00
Disclosure

SEC source: 0000950170-24-074862 · ownership.xml · derivative · entry 2

Amado Rafael · CIK 0001662119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,350

Underlying: Common Stock · 27,350 shares

Expires 2034-06-16

F2 · derivative.exercise_date: The stock option will vest and become fully exercisable on the earlier to occur of (i) the one year anniversary of the date of grant and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders.

Read SEC document
June 17, 2024 Filed Jun 18, 2024 20:12 UTC Poseida Therapeutics, Inc. PSTX · Entity 84243 GrantCommon Stock 19,650 $0.00 $0.00
Disclosure

SEC source: 0000950170-24-074862 · ownership.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 58,950

F1 · kind: Represents restricted stock units granted pursuant to the Issuer's Equity Incentive Plan. The RSUs are scheduled to vest on the earlier to occur of (i) the one year anniversary of the date of grant and (ii) the day preceding the date of the next annual meeting of the Issuer's stockholders.

Read SEC document
April 04, 2024 Filed Apr 5, 2024 21:47 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 1,952 $15.67 $30,593.70
Disclosure

SEC source: 0000905148-24-001109 · form4.xml · nonDerivative · entry 2

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,532

F1 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F3 · shares: These ADSs were sold automatically to cover taxes upon vesting of RSUs.

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April 03, 2024 Filed Apr 5, 2024 21:47 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionRestricted Share Units · Derivative 5,391 $0.00 $0.00
Disclosure

SEC source: 0000905148-24-001109 · form4.xml · derivative · entry 3

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,173

Underlying: American Depositary Shares · 5,391 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: Each RSU represents a contingent right to receive one ADS.

F5 · derivative.exercise_date: The RSUs vest in equal annual installments over four years beginning on 04/03/2024, the first anniversary of the date of grant. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F5 · derivative.expiration_date: The RSUs vest in equal annual installments over four years beginning on 04/03/2024, the first anniversary of the date of grant. Vested shares will be delivered in the form of ADSs to the reporting person following vesting.

F1 · derivative.underlying: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

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April 03, 2024 Filed Apr 5, 2024 21:47 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionAmerican Depositary Shares 5,391 $15.90 $85,716.90
Disclosure

SEC source: 0000905148-24-001109 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,484

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 · security: Each American Depositary Share ("ADS") represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · shares: ADSs acquired upon vesting of Restricted Share Units ("RSUs").

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April 01, 2024 Filed Apr 4, 2024 01:43 UTC Zai Lab Ltd ZLAB · Entity 4271 GrantRestricted Share Units · Derivative 78,092 $0.00 $0.00
Disclosure

SEC source: 0000905148-24-001090 · form4.xml · derivative · entry 2

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,092

Underlying: American Depositary Shares · 78,092 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Share Unit ("RSU") represents a contingent right to receive one ADS, which represents ten Ordinary Shares of the issuer.

F5 · derivative.exercise_date: The RSUs vest in equal annual installments over four years beginning on 04/01/2025, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered to the reporting person following vesting.

F5 · derivative.expiration_date: The RSUs vest in equal annual installments over four years beginning on 04/01/2025, the first anniversary of the date of grant, subject to continuous service. Vested shares will be delivered to the reporting person following vesting.

F3 · derivative.underlying: Each ADS represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

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April 01, 2024 Filed Apr 4, 2024 01:43 UTC Zai Lab Ltd ZLAB · Entity 4271 GrantStock Options (Right to Buy) · Derivative 120,141 $0.00 Strike: $16.72 $0.00
Disclosure

SEC source: 0000905148-24-001090 · form4.xml · derivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,141

Underlying: American Depositary Shares · 120,141 shares

Expires 2034-04-01

F1 · security: Each Stock Option is exercisable for one American Depositary Share ("ADS"), which represents ten Ordinary Shares of the issuer.

F2 · derivative.exercise_date: The option vests in equal annual installments over four years beginning on 04/01/2025, the first anniversary of the date of grant, subject to continuous service.

F3 · derivative.underlying: Each ADS represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

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March 15, 2024 Filed Mar 19, 2024 20:12 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 2,544 $18.86 $47,979.84
Disclosure

SEC source: 0000905148-24-000977 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 20,093

F1 · security: Each American Depositary Share (ADS) represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · kind: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 15, 2023.

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January 02, 2024 Filed Jan 4, 2024 00:26 UTC Zai Lab Ltd ZLAB · Entity 4271 SaleAmerican Depositary Shares 19,363 $26.30 $509,169.45
Disclosure

SEC source: 0000905148-24-000063 · form4.xml · nonDerivative · entry 3

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,637

F1 · security: Each American Depositary Share (ADS) represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F7 · shares: These ADSs were sold automatically to cover taxes upon vesting of Restricted Share Units.

Read SEC document
December 29, 2023 Filed Jan 4, 2024 00:26 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionRestricted Share Units · Derivative 21,000 $0.00 $0.00
Disclosure

SEC source: 0000905148-24-000063 · form4.xml · derivative · entry 5

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,000

Underlying: American Depositary Shares · 21,000 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: Each Restricted Share Unit represents a contingent right to receive one ADS, which represents ten Ordinary Shares of the issuer.

F6 · derivative.exercise_date: These Restricted Share Units vest in equal annual installments over five years beginning on 12/30/2023, the first anniversary of the date of grant. Vested shares will be delivered to the reporting person following vesting.

F6 · derivative.expiration_date: These Restricted Share Units vest in equal annual installments over five years beginning on 12/30/2023, the first anniversary of the date of grant. Vested shares will be delivered to the reporting person following vesting.

F1 · derivative.underlying: Each American Depositary Share (ADS) represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
December 29, 2023 Filed Jan 4, 2024 00:26 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionRestricted Share Units · Derivative 21,000 $0.00 $0.00
Disclosure

SEC source: 0000905148-24-000063 · form4.xml · derivative · entry 4

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: American Depositary Shares · 21,000 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: Each Restricted Share Unit represents a contingent right to receive one ADS, which represents ten Ordinary Shares of the issuer.

F5 · derivative.exercise_date: These Restricted Share Units vested in full on 12/30/2023, the first anniversary of the date of grant. Vested shares were delivered to the reporting person following vesting.

F5 · derivative.expiration_date: These Restricted Share Units vested in full on 12/30/2023, the first anniversary of the date of grant. Vested shares were delivered to the reporting person following vesting.

F1 · derivative.underlying: Each American Depositary Share (ADS) represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

Read SEC document
December 29, 2023 Filed Jan 4, 2024 00:26 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionAmerican Depositary Shares 21,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-24-000063 · form4.xml · nonDerivative · entry 2

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,000

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

F1 · security: Each American Depositary Share (ADS) represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · shares: ADSs acquired on vesting of Restricted Share Units. Each ADS represents ten Ordinary Shares of the issuer.

F3 · price: Each Restricted Share Unit represents a contingent right to receive one ADS, which represents ten Ordinary Shares of the issuer.

Read SEC document
December 29, 2023 Filed Jan 4, 2024 00:26 UTC Zai Lab Ltd ZLAB · Entity 4271 Exercise / conversionAmerican Depositary Shares 21,000 Not disclosed Not disclosed
Disclosure

SEC source: 0000905148-24-000063 · form4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,000

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

F1 · security: Each American Depositary Share (ADS) represents ten Ordinary Shares of the issuer. Our ADSs and Ordinary Shares are fully fungible. For purposes of this Form 4, we are reporting this in terms of ADSs.

F2 · shares: ADSs acquired on vesting of Restricted Share Units. Each ADS represents ten Ordinary Shares of the issuer.

F3 · price: Each Restricted Share Unit represents a contingent right to receive one ADS, which represents ten Ordinary Shares of the issuer.

F4 · balance_after: This number reflects a net reduction of 126,000 ADSs, which represents Restricted Share Units that were previously reported as aggregated with ADSs in Table I and are now separately reported in Table II.

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May 01, 2023 Filed May 2, 2023 20:14 UTC Poseida Therapeutics, Inc. PSTX · Entity 84243 GrantStock Option (Right to Buy) · Derivative 55,200 $0.00 Strike: $2.76 $0.00
Disclosure

SEC source: 0001209191-23-026474 · doc4.xml · derivative · entry 2

Amado Rafael · CIK 0001662119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,200

Underlying: Common Stock · 55,200 shares

Expires 2033-04-30

F2 · derivative.exercise_date: The stock option will vest and become exercisable in 36 equal monthly installments following May 1, 2023.

Read SEC document
May 01, 2023 Filed May 2, 2023 20:14 UTC Poseida Therapeutics, Inc. PSTX · Entity 84243 GrantCommon Stock 39,300 $0.00 $0.00
Disclosure

SEC source: 0001209191-23-026474 · doc4.xml · nonDerivative · entry 1

Amado Rafael · CIK 0001662119 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,300

F1 · kind: Represents shares issuable upon the vesting of restricted stock units ("RSUs") granted pursuant to the Issuer's Equity Incentive Plan. The RSUs are scheduled to vest in three successive equal annual installments following May 1, 2023.

Read SEC document
April 03, 2023 Filed Apr 5, 2023 20:05 UTC Zai Lab Ltd ZLAB · Entity 4271 GrantRestricted Share Units · Derivative 21,564 $0.00 $0.00
Disclosure

SEC source: 0000899243-23-010711 · doc4.xml · derivative · entry 2

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,564

Underlying: American Depositary Shares · 21,564 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Share Unit represents a contingent right to receive one American Depositary Share (ADS), which represents ten Ordinary Shares of the issuer.

F5 · derivative.exercise_date: The Restricted Share Units vest in equal annual installments over four years beginning on 04/03/2024, the first anniversary of the date of grant. Vested shares will be delivered to the reporting person following vesting.

F5 · derivative.expiration_date: The Restricted Share Units vest in equal annual installments over four years beginning on 04/03/2024, the first anniversary of the date of grant. Vested shares will be delivered to the reporting person following vesting.

F3 · derivative.underlying: Each ADS represents ten Ordinary Shares of the issuer.

Read SEC document
April 03, 2023 Filed Apr 5, 2023 20:05 UTC Zai Lab Ltd ZLAB · Entity 4271 GrantStock Options (Right to Buy) · Derivative 113,217 $0.00 Strike: $33.95 $0.00
Disclosure

SEC source: 0000899243-23-010711 · doc4.xml · derivative · entry 1

Amado Rafael · CIK 0001662119 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,217

Underlying: American Depositary Shares · 113,217 shares

Expires 2033-04-03

F1 · shares: The Stock Options are exercisable for American Depositary Shares (ADSs). The number of securities underlying each option and the exercise price therefor are represented in ADSs. Each ADS represents ten Ordinary Shares of the issuer.

F2 · derivative.exercise_date: The Stock Options vest in equal annual installments over four years beginning on 04/03/2024, the first anniversary of the date of grant.

F3 · derivative.underlying: Each ADS represents ten Ordinary Shares of the issuer.

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