Nichtberger Steven

SEC source: 0001193125-26-086123 · ownership.xml · derivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 674,000

Underlying: Common Stock · 674,000 shares

Expires 2036-03-01

F1 · derivative.exercise_date: 25% of the shares underlying this option shall vest and become exercisable on March 1, 2027, with the remainder vesting in twelve substantially equal quarterly installments thereafter, subject to the reporting person's continued service on each such vesting date.

SEC source: 0001193125-26-018318 · ownership.xml · nonDerivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,031,483

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased at prices ranging from $2.1985 to $2.26, inclusive. The reporting person has provided to the Issuer, and undertakes to provide any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0000950170-25-074826 · ownership.xml · derivative · entry 12

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 353,000

Underlying: Common Stock · 353,000 shares

Expires 2034-02-28

F3 · derivative.exercise_price: The exercise price of the option is $1.92 per share, representing the fair market value per share of the Issuer's Common Stock on the Repricing Date. Under the terms of the stock option award repricing, a repriced stock option award will revert to its original exercise price if exercised during the Retention Period. The "Retention Period", through which the option holder must remain in service to the Issuer, commenced on the Repricing Date and ends upon the earliest of (i) the one-year anniversary of the Repricing Date, (ii) a Sale Event (as defined in the 2018 Plan and 2019 Plan, as applicable) and (iii) the termination of the Reporting Person's Service Relationship (as defined in the 2018 Plan and 2019 Plan, as applicable) due to the Reporting Person's death or disability.

F1 · kind: On May 15, 2025, the Issuer's board of directors approved an option repricing (the "Repricing"), to be effective May 19, 2025 (the "Repricing Date"). All of the other terms of the options remain unchanged. The transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act of 1934, as amended, as applicable.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Cabaletta Bio, Inc. 2018 Stock Option and Incentive Plan, as amended (the "2018 Plan") or the Cabaletta Bio, Inc. 2019 Stock Option and Incentive Plan, as amended (the "2019 Plan"), as applicable, and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form 4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0000950170-25-074826 · ownership.xml · derivative · entry 11

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 353,000 shares

Expires 2034-02-28

F1 · kind: On May 15, 2025, the Issuer's board of directors approved an option repricing (the "Repricing"), to be effective May 19, 2025 (the "Repricing Date"). All of the other terms of the options remain unchanged. The transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act of 1934, as amended, as applicable.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Cabaletta Bio, Inc. 2018 Stock Option and Incentive Plan, as amended (the "2018 Plan") or the Cabaletta Bio, Inc. 2019 Stock Option and Incentive Plan, as amended (the "2019 Plan"), as applicable, and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form 4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0000950170-25-074826 · ownership.xml · derivative · entry 10

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 411,600

Underlying: Common Stock · 411,600 shares

Expires 2033-01-17

F3 · derivative.exercise_price: The exercise price of the option is $1.92 per share, representing the fair market value per share of the Issuer's Common Stock on the Repricing Date. Under the terms of the stock option award repricing, a repriced stock option award will revert to its original exercise price if exercised during the Retention Period. The "Retention Period", through which the option holder must remain in service to the Issuer, commenced on the Repricing Date and ends upon the earliest of (i) the one-year anniversary of the Repricing Date, (ii) a Sale Event (as defined in the 2018 Plan and 2019 Plan, as applicable) and (iii) the termination of the Reporting Person's Service Relationship (as defined in the 2018 Plan and 2019 Plan, as applicable) due to the Reporting Person's death or disability.

F1 · kind: On May 15, 2025, the Issuer's board of directors approved an option repricing (the "Repricing"), to be effective May 19, 2025 (the "Repricing Date"). All of the other terms of the options remain unchanged. The transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act of 1934, as amended, as applicable.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Cabaletta Bio, Inc. 2018 Stock Option and Incentive Plan, as amended (the "2018 Plan") or the Cabaletta Bio, Inc. 2019 Stock Option and Incentive Plan, as amended (the "2019 Plan"), as applicable, and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form 4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0000950170-25-074826 · ownership.xml · derivative · entry 9

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 411,600 shares

Expires 2033-01-17

F1 · kind: On May 15, 2025, the Issuer's board of directors approved an option repricing (the "Repricing"), to be effective May 19, 2025 (the "Repricing Date"). All of the other terms of the options remain unchanged. The transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act of 1934, as amended, as applicable.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Cabaletta Bio, Inc. 2018 Stock Option and Incentive Plan, as amended (the "2018 Plan") or the Cabaletta Bio, Inc. 2019 Stock Option and Incentive Plan, as amended (the "2019 Plan"), as applicable, and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form 4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0000950170-25-074826 · ownership.xml · derivative · entry 8

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 380,000

Underlying: Common Stock · 380,000 shares

Expires 2032-01-17

F3 · derivative.exercise_price: The exercise price of the option is $1.92 per share, representing the fair market value per share of the Issuer's Common Stock on the Repricing Date. Under the terms of the stock option award repricing, a repriced stock option award will revert to its original exercise price if exercised during the Retention Period. The "Retention Period", through which the option holder must remain in service to the Issuer, commenced on the Repricing Date and ends upon the earliest of (i) the one-year anniversary of the Repricing Date, (ii) a Sale Event (as defined in the 2018 Plan and 2019 Plan, as applicable) and (iii) the termination of the Reporting Person's Service Relationship (as defined in the 2018 Plan and 2019 Plan, as applicable) due to the Reporting Person's death or disability.

F1 · kind: On May 15, 2025, the Issuer's board of directors approved an option repricing (the "Repricing"), to be effective May 19, 2025 (the "Repricing Date"). All of the other terms of the options remain unchanged. The transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act of 1934, as amended, as applicable.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Cabaletta Bio, Inc. 2018 Stock Option and Incentive Plan, as amended (the "2018 Plan") or the Cabaletta Bio, Inc. 2019 Stock Option and Incentive Plan, as amended (the "2019 Plan"), as applicable, and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form 4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0000950170-25-074826 · ownership.xml · derivative · entry 7

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 380,000 shares

Expires 2032-01-17

F1 · kind: On May 15, 2025, the Issuer's board of directors approved an option repricing (the "Repricing"), to be effective May 19, 2025 (the "Repricing Date"). All of the other terms of the options remain unchanged. The transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act of 1934, as amended, as applicable.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Cabaletta Bio, Inc. 2018 Stock Option and Incentive Plan, as amended (the "2018 Plan") or the Cabaletta Bio, Inc. 2019 Stock Option and Incentive Plan, as amended (the "2019 Plan"), as applicable, and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form 4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0000950170-25-074826 · ownership.xml · derivative · entry 6

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 333,500

Underlying: Common Stock · 333,500 shares

Expires 2031-02-28

F3 · derivative.exercise_price: The exercise price of the option is $1.92 per share, representing the fair market value per share of the Issuer's Common Stock on the Repricing Date. Under the terms of the stock option award repricing, a repriced stock option award will revert to its original exercise price if exercised during the Retention Period. The "Retention Period", through which the option holder must remain in service to the Issuer, commenced on the Repricing Date and ends upon the earliest of (i) the one-year anniversary of the Repricing Date, (ii) a Sale Event (as defined in the 2018 Plan and 2019 Plan, as applicable) and (iii) the termination of the Reporting Person's Service Relationship (as defined in the 2018 Plan and 2019 Plan, as applicable) due to the Reporting Person's death or disability.

F1 · kind: On May 15, 2025, the Issuer's board of directors approved an option repricing (the "Repricing"), to be effective May 19, 2025 (the "Repricing Date"). All of the other terms of the options remain unchanged. The transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act of 1934, as amended, as applicable.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Cabaletta Bio, Inc. 2018 Stock Option and Incentive Plan, as amended (the "2018 Plan") or the Cabaletta Bio, Inc. 2019 Stock Option and Incentive Plan, as amended (the "2019 Plan"), as applicable, and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form 4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0000950170-25-074826 · ownership.xml · derivative · entry 5

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 333,500 shares

Expires 2031-02-28

F1 · kind: On May 15, 2025, the Issuer's board of directors approved an option repricing (the "Repricing"), to be effective May 19, 2025 (the "Repricing Date"). All of the other terms of the options remain unchanged. The transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act of 1934, as amended, as applicable.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Cabaletta Bio, Inc. 2018 Stock Option and Incentive Plan, as amended (the "2018 Plan") or the Cabaletta Bio, Inc. 2019 Stock Option and Incentive Plan, as amended (the "2019 Plan"), as applicable, and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form 4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0000950170-25-074826 · ownership.xml · derivative · entry 4

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2030-02-28

F3 · derivative.exercise_price: The exercise price of the option is $1.92 per share, representing the fair market value per share of the Issuer's Common Stock on the Repricing Date. Under the terms of the stock option award repricing, a repriced stock option award will revert to its original exercise price if exercised during the Retention Period. The "Retention Period", through which the option holder must remain in service to the Issuer, commenced on the Repricing Date and ends upon the earliest of (i) the one-year anniversary of the Repricing Date, (ii) a Sale Event (as defined in the 2018 Plan and 2019 Plan, as applicable) and (iii) the termination of the Reporting Person's Service Relationship (as defined in the 2018 Plan and 2019 Plan, as applicable) due to the Reporting Person's death or disability.

F1 · kind: On May 15, 2025, the Issuer's board of directors approved an option repricing (the "Repricing"), to be effective May 19, 2025 (the "Repricing Date"). All of the other terms of the options remain unchanged. The transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act of 1934, as amended, as applicable.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Cabaletta Bio, Inc. 2018 Stock Option and Incentive Plan, as amended (the "2018 Plan") or the Cabaletta Bio, Inc. 2019 Stock Option and Incentive Plan, as amended (the "2019 Plan"), as applicable, and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form 4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0000950170-25-074826 · ownership.xml · derivative · entry 3

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires 2030-02-28

F1 · kind: On May 15, 2025, the Issuer's board of directors approved an option repricing (the "Repricing"), to be effective May 19, 2025 (the "Repricing Date"). All of the other terms of the options remain unchanged. The transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act of 1934, as amended, as applicable.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Cabaletta Bio, Inc. 2018 Stock Option and Incentive Plan, as amended (the "2018 Plan") or the Cabaletta Bio, Inc. 2019 Stock Option and Incentive Plan, as amended (the "2019 Plan"), as applicable, and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form 4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0000950170-25-074826 · ownership.xml · derivative · entry 2

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,714

Underlying: Common Stock · 99,714 shares

Expires 2029-10-23

F3 · derivative.exercise_price: The exercise price of the option is $1.92 per share, representing the fair market value per share of the Issuer's Common Stock on the Repricing Date. Under the terms of the stock option award repricing, a repriced stock option award will revert to its original exercise price if exercised during the Retention Period. The "Retention Period", through which the option holder must remain in service to the Issuer, commenced on the Repricing Date and ends upon the earliest of (i) the one-year anniversary of the Repricing Date, (ii) a Sale Event (as defined in the 2018 Plan and 2019 Plan, as applicable) and (iii) the termination of the Reporting Person's Service Relationship (as defined in the 2018 Plan and 2019 Plan, as applicable) due to the Reporting Person's death or disability.

F1 · kind: On May 15, 2025, the Issuer's board of directors approved an option repricing (the "Repricing"), to be effective May 19, 2025 (the "Repricing Date"). All of the other terms of the options remain unchanged. The transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act of 1934, as amended, as applicable.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Cabaletta Bio, Inc. 2018 Stock Option and Incentive Plan, as amended (the "2018 Plan") or the Cabaletta Bio, Inc. 2019 Stock Option and Incentive Plan, as amended (the "2019 Plan"), as applicable, and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form 4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0000950170-25-074826 · ownership.xml · derivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 99,714 shares

Expires 2029-10-23

F1 · kind: On May 15, 2025, the Issuer's board of directors approved an option repricing (the "Repricing"), to be effective May 19, 2025 (the "Repricing Date"). All of the other terms of the options remain unchanged. The transactions were exempt pursuant to Rule 16b-6(d) and Rule 16b-3 of the Exchange Act of 1934, as amended, as applicable.

F2 · derivative.exercise_date: This stock option award was issued pursuant to the Cabaletta Bio, Inc. 2018 Stock Option and Incentive Plan, as amended (the "2018 Plan") or the Cabaletta Bio, Inc. 2019 Stock Option and Incentive Plan, as amended (the "2019 Plan"), as applicable, and becomes exercisable in accordance with the vesting schedule specified in the award agreement and as previously reported on applicable Form 4, subject to the Reporting Person's continued service with the Issuer as of the applicable vesting date.

SEC source: 0000950170-25-032271 · ownership.xml · derivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2035-03-02

F1 · derivative.exercise_date: 25% of the shares underlying this option shall vest and become exercisable on March 3, 2026, with the remainder vesting in twelve substantially equal quarterly installments thereafter, subject to the reporting person's continued service on each such vesting date.

SEC source: 0000950170-24-025012 · ownership.xml · derivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 353,000

Underlying: Common Stock · 353,000 shares

Expires 2034-02-28

F1 · derivative.exercise_date: 25% of the shares underlying this option shall vest and become exercisable on March 1, 2025, with the remainder vesting in twelve substantially equal quarterly installments thereafter, subject to the reporting person's continued service on each such vesting date.

SEC source: 0000899243-23-002914 · doc4.xml · derivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,600

Underlying: Common Stock · 411,600 shares

Expires 2033-01-17

F1 · derivative.exercise_date: 25% of the shares underlying this option shall vest and become exercisable on January 18, 2024, with the remainder vesting in twelve substantially equal quarterly installments thereafter, subject to the reporting person's continued service on each such vesting date.

SEC source: 0000899243-22-033850 · doc4.xml · nonDerivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 986,483

SEC source: 0000899243-22-033779 · doc4.xml · nonDerivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 978,356

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased at prices ranging from $0.9473 to $1.00, inclusive. The reporting person has provided to the Issuer, and undertakes to provide any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0000899243-22-004158 · doc4.xml · derivative · entry 3

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,677

Underlying: Common Stock · 50,000 shares

Expires 2028-10-28

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

F2 · derivative.exercise_date: On October 29, 2018, the reporting person was granted a stock option to purchase 279,677 shares of common stock. The shares vest and become exercisable over four years, with 25% vested on October 11, 2019, and the remaining shares vesting in 36 equal monthly installments thereafter. On January 31, 2022 the reporting person exercised this option for 50,000 shares.

SEC source: 0000899243-22-004158 · doc4.xml · nonDerivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 836,483

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

SEC source: 0000899243-22-002509 · doc4.xml · derivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,000

Underlying: Common Stock · 380,000 shares

Expires 2032-01-17

F1 · derivative.exercise_date: 25% of the shares underlying this option shall vest and become exercisable on January 18, 2023, with the remainder vesting in twelve substantially equal quarterly installments thereafter, subject to the reporting person's continued service on each such vesting date.

SEC source: 0000899243-21-009236 · doc4.xml · derivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,500

Underlying: Common Stock · 333,500 shares

Expires 2031-02-28

F1 · derivative.exercise_date: 25% of the shares shall vest on March 1, 2022, and the remaining shares shall vest in 12 equal quarterly installments thereafter.

SEC source: 0000899243-20-033173 · doc4.xml · derivative · entry 3

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,226

Underlying: Common Stock · 93,226 shares

Expires 2028-10-28

F2 · derivative.exercise_date: On October 29, 2018, the reporting person was granted an performance stock option to purchase 279,677 shares of common stock, of which 93,226 of the shares shall vest and become exercisable upon the first dosing of a patient in a Phase 1 clinical trial for the treatment of pemphigus vulgaris. This performance criteria was met on December 8, 2020, resulting in vesting of the option as to 93,226 shares.

SEC source: 0000899243-20-006867 · doc4.xml · derivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2030-02-28

F1 · derivative.exercise_date: 25% of the shares shall vest on March 1, 2021, and the remaining shares shall vest in 12 equal quarterly installments thereafter.

SEC source: 0000899243-20-004511 · doc5.xml · derivative · entry 3

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,225

Underlying: Common Stock · 93,225 shares

Expires 2028-10-28

F2 · derivative.exercise_date: On October 29, 2018, the reporting person was granted an performance stock option to purchase 279,677 shares of common stock, of which 93,225 of the shares shall vest upon affirmative approval by our board of directors of a clinical candidate for treatment of MG with in vivo proof-of-concept to support a decision to move forward with IND-enabling development of such clinical candidate. This performance criteria was met on December 10,2019, resulting in vesting of the option as to 93,225 shares.

SEC source: 0000899243-19-026345 · doc4.xml · derivative · entry 3

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,483 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: Upon the closing of the Issuer's initial public offering, all shares of Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-1.5 basis. The Series A-1 Preferred Stock had no expiration date.

F1 · price: Upon the closing of the Issuer's initial public offering, all shares of Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-1.5 basis. The Series A-1 Preferred Stock had no expiration date.

F1 · derivative.exercise_date: Upon the closing of the Issuer's initial public offering, all shares of Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-1.5 basis. The Series A-1 Preferred Stock had no expiration date.

F1 · derivative.expiration_date: Upon the closing of the Issuer's initial public offering, all shares of Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-1.5 basis. The Series A-1 Preferred Stock had no expiration date.

SEC source: 0000899243-19-026345 · doc4.xml · nonDerivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 786,483

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: Upon the closing of the Issuer's initial public offering, all shares of Series A-1 Preferred Stock automatically converted into shares of Common Stock of the Issuer on a one-for-1.5 basis. The Series A-1 Preferred Stock had no expiration date.

SEC source: 0000899243-19-026017 · doc4.xml · derivative · entry 1

Nichtberger Steven · CIK 0001487989 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,714

Underlying: Common Stock · 99,714 shares

Expires 2029-10-23

F1 · derivative.exercise_date: This option vests over four years, with 25% vesting on October 24, 2020, and the remaining shares vesting in 12 equal quarterly installments thereafter.