Cassella James V

SEC source: 0001193125-26-061399 · ownership.xml · derivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 215,000

Underlying: Common Stock · 215,000 shares

Expires 2036-02-18

F1 · derivative.exercise_date: This option was granted on February 19, 2026. The 215,000 shares of common stock underlying the option are scheduled to vest in equal monthly installments through February 19, 2030, subject to the reporting person's continued service with the issuer.

SEC source: 0000950170-25-024116 · ownership.xml · derivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 257,500

Underlying: Common Stock · 257,500 shares

Expires 2035-02-17

F1 · derivative.exercise_date: This option was granted on February 18, 2025. The 257,500 shares of common stock underlying the option are scheduled to vest as to 25% of the shares on February 18, 2026 and as to the remaining 75% of the shares in equal monthly installments thereafter through February 18, 2029.

SEC source: 0000950170-24-110921 · ownership.xml · derivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2034-09-29

F1 · derivative.exercise_date: This option was granted on September 30, 2024. The 400,000 shares of common stock underlying the option are scheduled to vest as to 25% of the shares on September 30, 2025 and as to the remaining 75% of the shares in equal monthly installments thereafter, through September 30, 2028.

SEC source: 0000950170-24-073728 · ownership.xml · derivative · entry 1

Cassella James V · CIK 0001353528 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-06-12

F1 · derivative.exercise_date: This option was granted on June 13, 2024. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer.

SEC source: 0001209191-23-040289 · doc4.xml · derivative · entry 1

Cassella James V · CIK 0001353528 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-06-27

F1 · derivative.exercise_date: This option was granted on June 28, 2023. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer.

SEC source: 0001209191-23-016163 · doc4.xml · derivative · entry 10

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,400 shares

Expires 2031-01-04

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016163 · doc4.xml · derivative · entry 9

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 42,430 shares

Expires 2030-02-13

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016163 · doc4.xml · derivative · entry 8

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2029-01-03

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016163 · doc4.xml · derivative · entry 7

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 49,500 shares

Expires 2028-01-03

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016163 · doc4.xml · derivative · entry 6

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 70,000 shares

Expires 2027-01-03

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016163 · doc4.xml · derivative · entry 5

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2026-01-06

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016163 · doc4.xml · derivative · entry 4

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 140,000 shares

Expires 2025-03-04

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · price: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each option that had a per share exercise price that was less than the Cash Amount (whether vested or unvested) that was outstanding and unexercised immediately prior to the Effective Time, was cancelled and converted into the right to receive, for each Share underlying such option, (i) an amount in cash equal to the excess of the Cash Amount over the per share exercise price of such option and (ii) one CVR. Each option that was outstanding and unexercised immediately prior to the Effective Time that had a per share exercise price greater than or equal to the Cash Amount, and less than $11.50, was cancelled and converted into the right to receive, for each Share underlying such option, upon the occurrence of any Milestone Payment, (i) an amount in cash equal to the Cash Amount, plus the applicable Milestone Payment, plus any Milestone Payment previously paid with respect to such Share, (continued in Footnote 6)

F6 · derivative.exercise_date: minus the per share exercise price of the option, minus (ii) any amount previously paid out for such option pursuant to any previous Milestone Payment.

SEC source: 0001209191-23-016163 · doc4.xml · derivative · entry 3

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 34,700 shares

Expires not disclosed

F4 · derivative.exercise_price: This line item represents unvested performance-based restricted stock units with respect to the Issuer's common stock ("PSUs") held by the Reporting Person. Each PSU represents a contingent right to receive one Share. Pursuant to the terms of the Merger Agreement, at the Effective Time, each unvested PSU that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive, at such time and subject to the satisfaction of the same performance and vesting terms and conditions as applied to such PSU immediately prior to the Effective Time, for each Share underlying such PSU, the Per Share Consideration, subject to withholding of applicable taxes and without interest.

F4 · price: This line item represents unvested performance-based restricted stock units with respect to the Issuer's common stock ("PSUs") held by the Reporting Person. Each PSU represents a contingent right to receive one Share. Pursuant to the terms of the Merger Agreement, at the Effective Time, each unvested PSU that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive, at such time and subject to the satisfaction of the same performance and vesting terms and conditions as applied to such PSU immediately prior to the Effective Time, for each Share underlying such PSU, the Per Share Consideration, subject to withholding of applicable taxes and without interest.

F4 · derivative.exercise_date: This line item represents unvested performance-based restricted stock units with respect to the Issuer's common stock ("PSUs") held by the Reporting Person. Each PSU represents a contingent right to receive one Share. Pursuant to the terms of the Merger Agreement, at the Effective Time, each unvested PSU that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive, at such time and subject to the satisfaction of the same performance and vesting terms and conditions as applied to such PSU immediately prior to the Effective Time, for each Share underlying such PSU, the Per Share Consideration, subject to withholding of applicable taxes and without interest.

F4 · derivative.expiration_date: This line item represents unvested performance-based restricted stock units with respect to the Issuer's common stock ("PSUs") held by the Reporting Person. Each PSU represents a contingent right to receive one Share. Pursuant to the terms of the Merger Agreement, at the Effective Time, each unvested PSU that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive, at such time and subject to the satisfaction of the same performance and vesting terms and conditions as applied to such PSU immediately prior to the Effective Time, for each Share underlying such PSU, the Per Share Consideration, subject to withholding of applicable taxes and without interest.

SEC source: 0001209191-23-016163 · doc4.xml · nonDerivative · entry 2

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · shares: This line item represents unvested time-based restricted stock units with respect to the Issuer's common stock ("RSUs") held by the Reporting Person. Pursuant to the terms of the Merger Agreement, at the Effective Time, each unvested RSU that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive, for each Share underlying such RSU, the Per Share Consideration, subject to withholding of applicable taxes and without interest.

F3 · price: This line item represents unvested time-based restricted stock units with respect to the Issuer's common stock ("RSUs") held by the Reporting Person. Pursuant to the terms of the Merger Agreement, at the Effective Time, each unvested RSU that was outstanding immediately prior to the Effective Time was cancelled and converted into the right to receive, for each Share underlying such RSU, the Per Share Consideration, subject to withholding of applicable taxes and without interest.

SEC source: 0001209191-23-016163 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of January 19, 2023, by and among Concert Pharmaceuticals, Inc. (the "Issuer"), Sun Pharmaceutical Industries Ltd. ("Parent") and Foliage Merger Sub, Inc., an indirect wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer, effective as of March 6, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $8.00 in cash (the "Cash Amount"), plus one non-tradeable contingent value right (a "CVR," and together with the Cash Amount, the "Per Share Consideration"), which represents the right to receive contingent payments of up to $3.50 per Share, in cash, (continued in Footnote 2)

F2 · price: in the aggregate, upon the achievement of certain milestones (such applicable payment, each, a "Milestone Payment") prior to December 31, 2029, subject to any applicable withholding of taxes and without interest.

SEC source: 0001209191-23-009949 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,061

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan entered into on June 28, 2022.

F2 · shares: These shares were sold to satisfy tax obligations associated with the vesting of restricted stock units.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $8.33 to $8.36, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

SEC source: 0001209191-23-005620 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,823

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan entered into on June 28, 2022.

F2 · shares: These shares were sold to satisfy tax obligations associated with the vesting of restricted stock units.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $8.34 to $8.38, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

SEC source: 0001209191-23-002551 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,929

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan entered into on June 28, 2022.

F2 · shares: These shares were sold to satisfy tax obligations associated with the vesting of restricted stock units.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $6.19 to $7.74, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

SEC source: 0001209191-22-038901 · doc4.xml · derivative · entry 1

Cassella James V · CIK 0001353528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-22

F1 · derivative.exercise_date: This option was granted on June 23, 2022. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer.

SEC source: 0001209191-22-040292 · doc4a.xml · derivative · entry 1

Cassella James V · CIK 0001353528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-22

F1 · derivative.exercise_date: This option was granted on June 23, 2022. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer.

F2 · ownership.direct: This amendment to the Form 4 originally filed for the reporting person on June 23, 2022 is being filed solely to attach the power of attorney exhibit that was inadvertently excluded from the original filing.

SEC source: 0001209191-22-010072 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,822

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan.

F2 · shares: These shares were sold to satisfy tax obligations associated with the vesting of restricted stock units.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $3.01 to $3.18, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

SEC source: 0001209191-22-005876 · doc4.xml · nonDerivative · entry 2

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,584

F3 · shares: Represents a grant of RSUs. Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. These RSUs vest one business day after the date on which the Food and Drug Administration notifies the Issuer that it has accepted for filing a New Drug Application for CTP-543, provided that the date of acceptance is on or before a certain date in 2023. The amount listed represents the maximum number of shares that may be delivered pursuant to the grant.

F2 · price: Not applicable.

SEC source: 0001209191-22-005876 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,884

F1 · shares: Represents a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. These RSUs vest in equal annual installments over a three-year period measured from the date of grant. The amount listed represents the maximum number of shares of Common Stock of the Issuer that may be delivered pursuant to the grant.

F2 · price: Not applicable.

SEC source: 0001209191-22-002401 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,084

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan.

F2 · shares: These shares were sold to satisfy tax obligations associated with the vesting of restricted stock units.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $3.07 to $3.33, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

SEC source: 0001209191-21-051819 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,978

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan entered into on March 22, 2021.

F2 · shares: These shares were sold to satisfy tax obligations associated with the vesting of restricted stock units.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $3.25 to $3.35, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

SEC source: 0001209191-21-041392 · doc4.xml · derivative · entry 1

Cassella James V · CIK 0001353528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2031-06-15

F1 · derivative.exercise_date: This option was granted on June 16, 2021. This option is scheduled to fully vest on the earlier of (i) the first anniversary of the date of grant and (ii) the date of the next annual meeting of stockholders of the Issuer held following the date of grant, subject to the recipient's continued service as a director, employee or consultant of the Issuer.

SEC source: 0001209191-21-011614 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,064

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan entered into on November 6, 2020.

F2 · shares: These shares were sold to satisfy tax obligations associated with the vesting of restricted stock units.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $7.23 to $7.46, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

SEC source: 0001209191-21-002509 · doc4.xml · derivative · entry 2

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,400

Underlying: Common Stock · 60,400 shares

Expires 2031-01-04

F3 · derivative.exercise_date: The shares underlying this option vest in equal quarterly installments over a four-year period measured from the date of grant.

SEC source: 0001209191-21-002509 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,827

F1 · shares: Represents a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock of the Issuer. These RSUs vest in equal annual installments over a three-year period measured from the date of grant. The amount listed represents the maximum number of shares that may be delivered pursuant to the grant.

F2 · price: Not applicable.

SEC source: 0001209191-20-047577 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,127

F1 · kind: This sale was effected pursuant to a Rule 10b5-1 trading plan.

F2 · shares: These shares were sold to satisfy tax obligations associated with the vesting of restricted stock units.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $10.08 to $10.53, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such range.

SEC source: 0001209191-20-010481 · doc4.xml · derivative · entry 2

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,430

Underlying: Common Stock · 42,430 shares

Expires 2030-02-13

F4 · derivative.exercise_date: The shares underlying this option vest in equal quarterly installments over a four-year period measured from the date of grant.

SEC source: 0001209191-20-010481 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,481

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Common Stock of the Issuer.

F2 · shares: The RSUs granted to Mr. Cassella will vest in three equal annual installments measured from the date of grant. The number above represents the maximum number of shares that may be delivered pursuant to the award.

F3 · price: Not applicable.

SEC source: 0000899243-20-004880 · doc4.xml · derivative · entry 1

Cassella James V · CIK 0001353528 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,684

Underlying: Common Stock · 23,684 shares

Expires 2030-02-12

F1 · derivative.exercise_date: This option was granted on February 13, 2020. This option is scheduled to vest as to (i) 50% of the underlying shares on the earlier of (A) the first anniversary of the date of grant and (B) the date of the first annual meeting of stockholders of the Issuer held following the date of grant and (ii) the remaining 50% of the underlying shares on the earlier of (A) the second anniversary of the date of grant and (B) the date of the second annual meeting of stockholders of the Issuer held following the date of grant.

SEC source: 0001209191-19-046444 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,265

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Common Stock of the Issuer.

F2 · shares: 35% of the RSUs granted to Mr. Cassella will vest on August 15, 2020, and the remaining 65% of the RSUs will vest on August 15, 2021. The number above represents the maximum number of shares that may be delivered pursuant to the award.

F3 · price: Not applicable.

SEC source: 0001209191-19-022405 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,165

F1 · shares: Transaction represents withholding of shares to satisfy tax withholding obligations upon the vesting of restricted stock units.

SEC source: 0001209191-19-002754 · doc4.xml · derivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2029-01-03

F1 · derivative.exercise_date: This option vests in sixteen equal quarterly installments beginning on April 4, 2019.

SEC source: 0001209191-18-025549 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F1 · kind: This transaction was effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on February 8, 2018.

SEC source: 0001209191-18-022939 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,582

F1 · shares: Transaction represents withholding of shares to satisfy tax withholding obligations upon the vesting of restricted stock units.

SEC source: 0001209191-18-024845 · doc4a.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,582

F1 · shares: Transaction represents withholding of shares to satisfy tax withholding obligations upon the vesting of restricted stock units.

F2 · balance_after: This amendment is being filed to reduce the number of securities beneficially owned by the reporting person by 15,000 shares of common stock due to the failure to achieve certain performance criteria set forth in the restricted stock unit grant agreement with the reporting person dated July 6, 2017.

SEC source: 0001209191-18-002793 · doc4.xml · derivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,500

Underlying: Common Stock · 49,500 shares

Expires 2028-01-03

F1 · derivative.exercise_date: This option vests in sixteen equal quarterly installments beginning on April 4, 2018.

SEC source: 0001209191-17-044473 · doc4.xml · nonDerivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Common Stock of the Issuer.

F2 · shares: 50% of the RSUs granted to Mr. Cassella are eligible to vest on March 31, 2018, subject to the achievement certain performance criteria prior to March 31, 2018, including the closing of the Asset Purchase Agreement with Vertex Pharmaceuticals, Inc. and the institution by the Patent Trial and Appeal Board of a Post Grant Review petition filed by the Issuer against Incyte Corporation, and the remaining 50% of the RSUs are time-based awards and will vest on March 31, 2019. The number above represents the maximum number of shares that may be delivered pursuant to the award.

F3 · price: Not applicable.

SEC source: 0001209191-17-002681 · doc4.xml · derivative · entry 1

Cassella James V · CIK 0001353528 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2027-01-03

F1 · derivative.exercise_date: This option vests in sixteen equal quarterly installments beginning on April 4, 2017.