HUNT RONALD

SEC source: 0001739410-26-000015 · wk-form4_1771627849.xml · derivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,305

Underlying: Common Stock · 14,305 shares

Expires 2036-02-18

F2 · price: This option was issued to the reporting person pursuant to the Company's 2021 Equity Incentive Plan in lieu of retainer fees of $51,500.

F1 · derivative.exercise_date: The option vests as to the underlying shares of Common Stock in 11 equal installments, each on the last day of each remaining month of calendar year 2026.

SEC source: 0001739410-25-000085 · wk-form4_1747343299.xml · derivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,500

Underlying: Common Stock · 28,500 shares

Expires 2035-05-13

F1 · derivative.exercise_date: The option was granted under the Company's 2021 Equity Incentive Plan. The option vests on the earlier of May 13, 2026 or the date of the Company's 2026 Annual Meeting of Stockholders.

SEC source: 0000950170-25-008443 · ownership.xml · derivative · entry 2

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Leaf Biopharma Opportunities II, L.P.

Disclosed balance after: Not disclosed

Underlying: Ordinary Shares · 432,787 shares

Expires 2025-01-13

F1 · derivative.exercise_price: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. The Exchangeable Notes were exchangeable into, at the Company's election, ordinary shares, nominal value $0.01 per share of the Company (the "Ordinary Shares"), cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 Ordinary Shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share), subject to anti-dilution adjustments as set forth in the indenture governing the Exchangeable Notes.

F2 · derivative.exercise_price: (Continued from Footnote 1) Subject to the terms of the indenture governing the Exchangeable Notes (the "Indenture"), on or after January 21, 2021 until January 13, 2025, the second scheduled trading day immediately preceding January 15, 2025, holders could exchange the Exchangeable Notes (the "Final Exchange Date"). The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms.

F3 · date: In accordance with the terms of the Indenture, the Exchangeable Notes are no longer exchangeable after the Final Exchange Date. The Reporting Person did not sell or dispose of the Exchangeable Notes or the Ordinary Shares underlying the Exchangeable Notes.

F1 · kind: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. The Exchangeable Notes were exchangeable into, at the Company's election, ordinary shares, nominal value $0.01 per share of the Company (the "Ordinary Shares"), cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 Ordinary Shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share), subject to anti-dilution adjustments as set forth in the indenture governing the Exchangeable Notes.

F2 · kind: (Continued from Footnote 1) Subject to the terms of the indenture governing the Exchangeable Notes (the "Indenture"), on or after January 21, 2021 until January 13, 2025, the second scheduled trading day immediately preceding January 15, 2025, holders could exchange the Exchangeable Notes (the "Final Exchange Date"). The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms.

F3 · kind: In accordance with the terms of the Indenture, the Exchangeable Notes are no longer exchangeable after the Final Exchange Date. The Reporting Person did not sell or dispose of the Exchangeable Notes or the Ordinary Shares underlying the Exchangeable Notes.

F1 · derivative.exercise_date: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. The Exchangeable Notes were exchangeable into, at the Company's election, ordinary shares, nominal value $0.01 per share of the Company (the "Ordinary Shares"), cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 Ordinary Shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share), subject to anti-dilution adjustments as set forth in the indenture governing the Exchangeable Notes.

F2 · derivative.exercise_date: (Continued from Footnote 1) Subject to the terms of the indenture governing the Exchangeable Notes (the "Indenture"), on or after January 21, 2021 until January 13, 2025, the second scheduled trading day immediately preceding January 15, 2025, holders could exchange the Exchangeable Notes (the "Final Exchange Date"). The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms.

F3 · derivative.expiration_date: In accordance with the terms of the Indenture, the Exchangeable Notes are no longer exchangeable after the Final Exchange Date. The Reporting Person did not sell or dispose of the Exchangeable Notes or the Ordinary Shares underlying the Exchangeable Notes.

F4 · derivative.underlying_shares: Represents the amount of Ordinary Shares that were underlying the relevant Exchangeable Note based on the current exchange rate of 546.4481 Ordinary Shares per $1,000 of principal and interest on such Exchangeable Note.

F6 · ownership.nature: The Exchangeable Note is held directly by New Leaf Biopharma Opportunities II, L.P. ("NBPO-II"). New Leaf BPO Associates II, L.P. ("NBPO-IIA") is the general partner of NBPO-II and New Leaf BPO Management II, L.L.C. ("NBPO-IIM") is the general partner of NBPO-IIA, and each of NBPO-IIA and NBPO-IIM may be deemed to have sole voting, investment and dispositive power with respect to the Exchangeable Note held by NBPO-II. The Reporting Person, a member of the Company's Board of Directors, is a managing director of NBPO-IIM and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the Exchangeable Note held by NBPO-II. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NBPO-II, except to the extent of his pecuniary interest therein, if any.

SEC source: 0000950170-25-008443 · ownership.xml · derivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Leaf Ventures III, L.P.

Disclosed balance after: Not disclosed

Underlying: Ordinary Shares · 1,206,557 shares

Expires 2025-01-13

F1 · derivative.exercise_price: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. The Exchangeable Notes were exchangeable into, at the Company's election, ordinary shares, nominal value $0.01 per share of the Company (the "Ordinary Shares"), cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 Ordinary Shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share), subject to anti-dilution adjustments as set forth in the indenture governing the Exchangeable Notes.

F2 · derivative.exercise_price: (Continued from Footnote 1) Subject to the terms of the indenture governing the Exchangeable Notes (the "Indenture"), on or after January 21, 2021 until January 13, 2025, the second scheduled trading day immediately preceding January 15, 2025, holders could exchange the Exchangeable Notes (the "Final Exchange Date"). The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms.

F3 · date: In accordance with the terms of the Indenture, the Exchangeable Notes are no longer exchangeable after the Final Exchange Date. The Reporting Person did not sell or dispose of the Exchangeable Notes or the Ordinary Shares underlying the Exchangeable Notes.

F1 · kind: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. The Exchangeable Notes were exchangeable into, at the Company's election, ordinary shares, nominal value $0.01 per share of the Company (the "Ordinary Shares"), cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 Ordinary Shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share), subject to anti-dilution adjustments as set forth in the indenture governing the Exchangeable Notes.

F2 · kind: (Continued from Footnote 1) Subject to the terms of the indenture governing the Exchangeable Notes (the "Indenture"), on or after January 21, 2021 until January 13, 2025, the second scheduled trading day immediately preceding January 15, 2025, holders could exchange the Exchangeable Notes (the "Final Exchange Date"). The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms.

F3 · kind: In accordance with the terms of the Indenture, the Exchangeable Notes are no longer exchangeable after the Final Exchange Date. The Reporting Person did not sell or dispose of the Exchangeable Notes or the Ordinary Shares underlying the Exchangeable Notes.

F1 · derivative.exercise_date: On January 21, 2020, Iterum Therapeutics Bermuda Limited (the "Issuer"), a wholly-owned subsidiary of Iterum Therapeutics plc (the "Company"), issued and sold, among other things, 6.500% exchangeable senior subordinated notes due 2025 (the "Exchangeable Notes") pursuant to a securities purchase agreement among the Issuer, the Company, the Company's wholly-owned subsidiaries and a group of accredited investors. The Exchangeable Notes were exchangeable into, at the Company's election, ordinary shares, nominal value $0.01 per share of the Company (the "Ordinary Shares"), cash or a combination of Ordinary Shares and cash, at an initial exchange rate of 1,000 Ordinary Shares per $1,000 principal amount of Exchangeable Notes (equivalent to an initial exchange price of approximately $1.00 per Ordinary Share), subject to anti-dilution adjustments as set forth in the indenture governing the Exchangeable Notes.

F2 · derivative.exercise_date: (Continued from Footnote 1) Subject to the terms of the indenture governing the Exchangeable Notes (the "Indenture"), on or after January 21, 2021 until January 13, 2025, the second scheduled trading day immediately preceding January 15, 2025, holders could exchange the Exchangeable Notes (the "Final Exchange Date"). The Exchangeable Notes mature on January 31, 2025, unless earlier exchanged, redeemed or repurchased in accordance with their terms.

F3 · derivative.expiration_date: In accordance with the terms of the Indenture, the Exchangeable Notes are no longer exchangeable after the Final Exchange Date. The Reporting Person did not sell or dispose of the Exchangeable Notes or the Ordinary Shares underlying the Exchangeable Notes.

F4 · derivative.underlying_shares: Represents the amount of Ordinary Shares that were underlying the relevant Exchangeable Note based on the current exchange rate of 546.4481 Ordinary Shares per $1,000 of principal and interest on such Exchangeable Note.

F5 · ownership.nature: The Exchangeable Note is held directly by New Leaf Ventures III, L.P. ("NLV-III"). New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the Exchangeable Note held by NLV-III. The Reporting Person, a member of the Company's Board of Directors, is a managing director of NLVM-III LLC and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the Exchangeable Note held by NLV-III. The Reporting Person disclaims Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001739410-25-000007 · wk-form4_1736201216.xml · derivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,571

Underlying: Common Stock · 73,571 shares

Expires 2035-01-02

F2 · price: This option was issued to the reporting person pursuant to the Company's 2021 Equity Incentive Plan in lieu of retainer fees of $51,500.

F1 · derivative.exercise_date: The option vests as to the underlying shares of Common Stock in 12 equal installments, each on the last day of each month of calendar year 2025.

SEC source: 0000950170-24-095094 · ownership.xml · derivative · entry 8

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Leaf Biopharma Opportunities II, L.P.

Disclosed balance after: 65,481

Underlying: Ordinary Shares · 65,481 shares

Expires 2029-08-09

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

F3 · price: The reported securities were purchased in the Issuer's rights offering (the "Offering") which closed on August 9, 2024. As part of the Offering, New Leaf Biopharma Opportunities II, L.P. ("NBPO-II") purchased 65,481 units at a subscription price of $1.21 per whole unit. Each unit consisted of (a) one ordinary share, (b) a warrant to purchase 0.50 ordinary shares, at an exercise price of $1.21 per whole ordinary share from the date of issuance through its expiration one year from the date of issuance ("1-year warrants"), and (c) a warrant to purchase one ordinary share, at an exercise price of $1.21 per whole ordinary share from the date of issuance through its expiration five years from the date of issuance ("5-year warrants").

SEC source: 0000950170-24-095094 · ownership.xml · derivative · entry 7

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Leaf Biopharma Opportunities II, L.P.

Disclosed balance after: 65,481

Underlying: Ordinary Shares · 32,740 shares

Expires 2025-08-09

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

F3 · price: The reported securities were purchased in the Issuer's rights offering (the "Offering") which closed on August 9, 2024. As part of the Offering, New Leaf Biopharma Opportunities II, L.P. ("NBPO-II") purchased 65,481 units at a subscription price of $1.21 per whole unit. Each unit consisted of (a) one ordinary share, (b) a warrant to purchase 0.50 ordinary shares, at an exercise price of $1.21 per whole ordinary share from the date of issuance through its expiration one year from the date of issuance ("1-year warrants"), and (c) a warrant to purchase one ordinary share, at an exercise price of $1.21 per whole ordinary share from the date of issuance through its expiration five years from the date of issuance ("5-year warrants").

SEC source: 0000950170-24-095094 · ownership.xml · derivative · entry 6

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Leaf Biopharma Opportunities II, L.P.

Disclosed balance after: 0

Underlying: Units · Not disclosed shares

Expires 2024-08-06

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

F6 · derivative.underlying_shares: NBPO-II validly exercised 130,962 subscription rights to acquire 65,481 units composed of (i) 65,481 ordinary shares, (ii) 65,481 1-year warrants and (iii) 65,481 5-year warrants.

SEC source: 0000950170-24-095094 · ownership.xml · derivative · entry 5

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Leaf Ventures III, L.P.

Disclosed balance after: 182,453

Underlying: Ordinary Shares · 182,453 shares

Expires 2029-08-09

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

F1 · price: The reported securities were purchased in the Issuer's rights offering (the "Offering") which closed on August 9, 2024. As part of the Offering, New Leaf Ventures III, L.P. ("NLV-III") purchased 182,453 units at a subscription price of $1.21 per whole unit. Each unit consisted of (a) one ordinary share, (b) a warrant to purchase 0.50 ordinary shares, at an exercise price of $1.21 per whole ordinary share from the date of issuance through its expiration one year from the date of issuance ("1-year warrants"), and (c) a warrant to purchase one ordinary share, at an exercise price of $1.21 per whole ordinary share from the date of issuance through its expiration five years from the date of issuance ("5-year warrants").

SEC source: 0000950170-24-095094 · ownership.xml · derivative · entry 4

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Leaf Ventures III, L.P.

Disclosed balance after: 182,453

Underlying: Ordinary Shares · 91,226 shares

Expires 2025-08-09

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

F1 · price: The reported securities were purchased in the Issuer's rights offering (the "Offering") which closed on August 9, 2024. As part of the Offering, New Leaf Ventures III, L.P. ("NLV-III") purchased 182,453 units at a subscription price of $1.21 per whole unit. Each unit consisted of (a) one ordinary share, (b) a warrant to purchase 0.50 ordinary shares, at an exercise price of $1.21 per whole ordinary share from the date of issuance through its expiration one year from the date of issuance ("1-year warrants"), and (c) a warrant to purchase one ordinary share, at an exercise price of $1.21 per whole ordinary share from the date of issuance through its expiration five years from the date of issuance ("5-year warrants").

SEC source: 0000950170-24-095094 · ownership.xml · derivative · entry 3

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Leaf Ventures III, L.P.

Disclosed balance after: 0

Underlying: Units · Not disclosed shares

Expires 2024-08-06

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

F5 · derivative.underlying_shares: NLV-III validly exercised 364,906 subscription rights to acquire 182,453 units composed of (i) 182,453 ordinary shares, (ii) 182,453 1-year warrants and (iii) 182,453 5-year warrants.

SEC source: 0000950170-24-095094 · ownership.xml · nonDerivative · entry 2

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Leaf Biopharma Opportunities II, L.P.

Disclosed balance after: 91,122

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

F3 · price: The reported securities were purchased in the Issuer's rights offering (the "Offering") which closed on August 9, 2024. As part of the Offering, New Leaf Biopharma Opportunities II, L.P. ("NBPO-II") purchased 65,481 units at a subscription price of $1.21 per whole unit. Each unit consisted of (a) one ordinary share, (b) a warrant to purchase 0.50 ordinary shares, at an exercise price of $1.21 per whole ordinary share from the date of issuance through its expiration one year from the date of issuance ("1-year warrants"), and (c) a warrant to purchase one ordinary share, at an exercise price of $1.21 per whole ordinary share from the date of issuance through its expiration five years from the date of issuance ("5-year warrants").

F4 · ownership.nature: These shares are held directly by NBPO-II. New Leaf BPO Associates II, L.P. ("NBPO-IIA") is the general partner of NBPO-II and New Leaf BPO Management II, L.L.C. ("NBPO-IIM") is the general partner of NBPO-IIA, and each of NBPO-IIA and NBPO-IIM may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NBPO-II. The reporting person, a member of the Issuer's Board of Directors, is a managing director of NBPO-IIM and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NBPO-II. The reporting person disclaims Section 16 beneficial ownership of the securities held by NBPO-II, except to the extent of his pecuniary interest therein, if any.

SEC source: 0000950170-24-095094 · ownership.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By New Leaf Ventures III, L.P.

Disclosed balance after: 253,898

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

F1 · price: The reported securities were purchased in the Issuer's rights offering (the "Offering") which closed on August 9, 2024. As part of the Offering, New Leaf Ventures III, L.P. ("NLV-III") purchased 182,453 units at a subscription price of $1.21 per whole unit. Each unit consisted of (a) one ordinary share, (b) a warrant to purchase 0.50 ordinary shares, at an exercise price of $1.21 per whole ordinary share from the date of issuance through its expiration one year from the date of issuance ("1-year warrants"), and (c) a warrant to purchase one ordinary share, at an exercise price of $1.21 per whole ordinary share from the date of issuance through its expiration five years from the date of issuance ("5-year warrants").

F2 · ownership.nature: These shares are held directly by NLV-III. New Leaf Venture Associates III, L.P. ("NLVA-III LP") is the general partner of NLV-III and New Leaf Venture Management III, L.L.C. ("NLVM-III LLC") is the general partner of NLVA-III LP, and each of NLVA-III LP and NLVM-III LLC may be deemed to have sole voting, investment and dispositive power with respect to the shares held by NLV-III. The reporting person, a member of the Issuer's Board of Directors, is a managing director of NLVM-III LLC and, in his capacity as a managing director, may be deemed to have shared voting, investment and dispositive power with respect to the shares held by NLV-III. The reporting person disclaims Section 16 beneficial ownership of the securities held by NLV-III, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001739410-24-000094 · wk-form4_1715979961.xml · derivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,500

Underlying: Common Stock · 16,500 shares

Expires 2034-05-15

F1 · derivative.exercise_date: The option was granted under the Company's 2021 Equity Incentive Plan. The option vests on the earlier of May 15, 2025 or the date of the Company's 2025 Annual Meeting of Stockholders.

SEC source: 0000950170-24-029446 · ownership.xml · derivative · entry 12

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,300 shares

Expires not disclosed

F2 · kind: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F12 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,

F13 · price: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F12 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,

F13 · derivative.exercise_date: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F12 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,

F13 · derivative.expiration_date: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

SEC source: 0000950170-24-029446 · ownership.xml · derivative · entry 11

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,214 shares

Expires not disclosed

F2 · kind: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F12 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,

F13 · price: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F12 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,

F13 · derivative.exercise_date: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F12 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,

F13 · derivative.expiration_date: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

SEC source: 0000950170-24-029446 · ownership.xml · derivative · entry 10

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,016 shares

Expires not disclosed

F2 · kind: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F12 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,

F13 · price: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F12 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,

F13 · derivative.exercise_date: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F12 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,

F13 · derivative.expiration_date: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

SEC source: 0000950170-24-029446 · ownership.xml · derivative · entry 9

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,033 shares

Expires not disclosed

F2 · kind: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F12 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,

F13 · price: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F12 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,

F13 · derivative.exercise_date: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

F12 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding option to purchase shares of Common Stock granted under an Issuer equity plan (each, a "Stock Option"), to the extent unvested, became fully vested and exercisable effective immediately prior to, and contingent upon, the Effective Time. Pursuant to the terms of the Merger Agreement, at the Effective Time,

F13 · derivative.expiration_date: (continued from footnote 12) (i) each Stock Option that was outstanding and unexercised immediately prior to the Effective Time and that had a per share exercise price that is less than the Common Stock Merger Consideration (each, an "In the Money Option") was cancelled in exchange for the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (1) the total number of shares of Common Stock subject to such Stock Option immediately prior to the Effective Time and (2) the excess of the Common Stock Merger Consideration over the per share exercise price payable for such Stock Option immediately prior to the Effective Time and (ii) each Stock Option other than an In the Money Option then outstanding and unexercised was cancelled with no consideration payable in respect thereof.

SEC source: 0000950170-24-029446 · ownership.xml · derivative · entry 8

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 85,750 shares

Expires 2026-10-25

F2 · kind: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F11 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time.

F8 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F9 · ownership.nature: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000950170-24-029446 · ownership.xml · derivative · entry 7

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 686,000 shares

Expires 2026-10-25

F2 · kind: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F11 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time.

F6 · ownership.nature: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F7 · ownership.nature: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000950170-24-029446 · ownership.xml · derivative · entry 6

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 299,430 shares

Expires 2031-03-23

F2 · kind: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F11 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, by virtue of the Merger and without any further action on the part of the holders thereof or the parties to the Merger Agreement, each warrant that was outstanding and unexercised immediately prior to the Effective Time, in accordance with its terms, ceased to represent a warrant exercisable for Common Stock and became a warrant exercisable for the Common Stock Merger Consideration that such holder would have been entitled to receive if such warrant had been exercised immediately prior to the Effective Time.

F6 · ownership.nature: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F7 · ownership.nature: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000950170-24-029446 · ownership.xml · nonDerivative · entry 5

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F2 · kind: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F10 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each share of the Issuer's Series A Redeemable Preferred Stock, par value of $0.0001 per share ("Series A Preferred Stock") issued and outstanding was cancelled and the holder thereof was entitled to receive 3,577.77 per share of Series A Preferred Stock in respect of each Series A Preferred Stock determined in accordance with the terms of the Series A Preferred Stock, subject to applicable withholding taxes.

F2 · acquired: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F6 · ownership.nature: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F7 · ownership.nature: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000950170-24-029446 · ownership.xml · nonDerivative · entry 4

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F2 · kind: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration").

F2 · acquired: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F8 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F9 · ownership.nature: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000950170-24-029446 · ownership.xml · nonDerivative · entry 3

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F2 · kind: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration").

F2 · acquired: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F6 · ownership.nature: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F7 · ownership.nature: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000950170-24-029446 · ownership.xml · nonDerivative · entry 2

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · kind: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

F3 · shares: Includes 13,224 RSUs which are subject to rounding as a result of the 1:10 reverse stock split effective September 1, 2023.

F4 · price: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding RSU was cancelled and automatically converted into the right to receive an amount in cash (without interest and subject to any applicable withholding or other taxes) equal to the product of (i) the Common Stock Merger Consideration (as defined below) payable with respect to such RSU multiplied by (ii) the total number of shares of Common Stock subject to such RSU immediately prior to the Effective Time, with the number of shares of Company Common Stock subject to any such Company RSU that vests based on the achievement of performance goals determined in accordance with the applicable award agreement.

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding share of Common Stock was cancelled and automatically converted into the right to receive $23.00 in cash, without interest (the "Common Stock Merger Consideration").

F2 · acquired: 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 7, 2024, by and among the Issuer, Merck Sharp & Dohme LLC, a New Jersey limited liability company ("Parent"), and Hawaii Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer on March 11, 2024, with the Issuer surviving the merger as a wholly owned subsidiary of Parent (the "Merger").

SEC source: 0000950170-24-029446 · ownership.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,224

F1 · kind: Represents shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") issuable upon the settlement of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of Common Stock. The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of prorated retainer fees totaling $9,753.00 for the first quarter of 2024.

SEC source: 0001739410-24-000003 · wk-form4_1704408977.xml · derivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,096

Underlying: Common Stock · 29,096 shares

Expires 2034-01-02

F2 · price: This option was issued to the reporting person pursuant to the Company's 2021 Equity Incentive Plan in lieu of retainer fees of $51,500.

F1 · derivative.exercise_date: The option vests as to the underlying shares of Common Stock in 12 equal installments, each on the last day of each month of calendar year 2024.

SEC source: 0000950170-24-000960 · ownership.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,801

F1 · shares: Represents shares of common stock issuable upon the settlement of restricted stock units ("RSUs"). The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $12,500.

SEC source: 0001209191-23-056796 · doc4.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,729

F1 · shares: Represents shares of common stock issuable upon the settlement of restricted stock units ("RSUs"). 25% of the RSUs will vest on each May 27th and November 27th of 2024 and 2025, subject to acceleration and vesting in full upon a Change in Control (as defined in the Issuer's 2019 Equity Incentive Plan) of the Issuer, and subject to the continuing employment of the Reporting Person on each vesting date.

SEC source: 0001209191-23-053737 · doc4.xml · derivative · entry 6

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 85,750

Underlying: Common Stock · 85,750 shares

Expires 2026-10-25

F7 · derivative.exercise_price: The exercise price is also subject to adjustment pursuant to the Common Stock Purchase Warrant issued on October 25, 2023.

F1 · price: Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant.

F4 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-23-053737 · doc4.xml · derivative · entry 5

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnotes

Disclosed balance after: 686,000

Underlying: Common Stock · 686,000 shares

Expires 2026-10-25

F7 · derivative.exercise_price: The exercise price is also subject to adjustment pursuant to the Common Stock Purchase Warrant issued on October 25, 2023.

F1 · price: Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant.

F2 · ownership.nature: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-23-053737 · doc4.xml · nonDerivative · entry 2

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 395,783

F1 · price: Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant.

F4 · ownership.nature: These shares are held directly by New Leaf Ventures III, L.P. ("NLV-III"). The sole general partner of NLV-III is New Leaf Venture Associates III, L.P. ("NLVA-III"). The sole general partner of NLVA-III is New Leaf Venture Management III, L.L.C. ("Management-III"). Each of NLVA-III and Management-III disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLVA-III or Management-III are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F5 · ownership.nature: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "NLV-III Managers") are managing directors of Management-III and may be deemed to have shared voting and investment power with respect to these securities. Each of the NLV-III Managers disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-23-053737 · doc4.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,463,386

F1 · price: Shares of the Issuer's Common Stock and accompanying warrants were purchased in the Issuer's private placement of Common Stock and warrants pursuant to a Securities Purchase Agreement, dated October 22, 2023, by and among the Issuer and the other purchasers named therein. The shares of Common Stock and warrants acquired were purchased at a price representative of $5.8345 per share of Common Stock and accompanying warrant.

F2 · ownership.nature: These shares are held directly by New Leaf Biopharma Opportunities II, L.P. ("BPO-II"). The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (collectively, the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0001209191-23-051149 · doc4.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,729

F1 · shares: Represents shares of common stock issuable upon the settlement of restricted stock units ("RSUs"). The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $12,500.

F2 · balance_after: Shares reflect 1:10 reverse stock split effective September 1, 2023.

SEC source: 0001209191-23-050912 · doc4.xml · derivative · entry 4

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 5,479 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: Restricted share units ("RSUs") converted into ordinary shares on a one-for-one basis upon vesting of the RSUs.

F4 · derivative.exercise_date: On December 23, 2022, the reporting person was granted an award of 5,479 RSUs, which vested in full on October 1, 2023.

F4 · derivative.expiration_date: On December 23, 2022, the reporting person was granted an award of 5,479 RSUs, which vested in full on October 1, 2023.

SEC source: 0001209191-23-050912 · doc4.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,346

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: Restricted share units ("RSUs") converted into ordinary shares on a one-for-one basis upon vesting of the RSUs.

SEC source: 0001209191-23-040405 · doc4.xml · derivative · entry 4

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 2,796 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: Restricted share units ("RSUs") converted into ordinary shares on a one-for-one basis upon vesting of the RSUs.

F4 · derivative.exercise_date: On September 25, 2022, the reporting person was granted an award of 2,796 RSUs, which vested in full on July 1, 2023.

F4 · derivative.expiration_date: On September 25, 2022, the reporting person was granted an award of 2,796 RSUs, which vested in full on July 1, 2023.

SEC source: 0001209191-23-040405 · doc4.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,867

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: Restricted share units ("RSUs") converted into ordinary shares on a one-for-one basis upon vesting of the RSUs.

SEC source: 0001209191-23-041671 · doc4.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,941

F1 · shares: Represents shares of common stock issuable upon the settlement of restricted stock units ("RSUs"). The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $12,500.

SEC source: 0001209191-23-039413 · doc4.xml · derivative · entry 1

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The stock option will fully vest and become exercisable on June 21, 2024, subject to the continuous service of the Reporting Person with the Issuer on such date.

SEC source: 0000899243-23-013396 · doc4.xml · derivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,490

Underlying: Common Stock · 15,490 shares

Expires 2033-05-17

F1 · derivative.exercise_date: The option was granted under the Company's 2021 Equity Incentive Plan. The option vests on the earlier of May 17, 2024 or the date of the Company's 2024 Annual Meeting of Stockholders.

SEC source: 0001209191-23-022424 · doc4.xml · derivative · entry 2

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 2,041 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: Restricted share units ("RSUs") converted into ordinary shares on a one-for-one basis upon vesting of the RSUs.

F2 · derivative.exercise_date: On June 25, 2022, the reporting person was granted an award of 2,041 RSUs, which vested in full on April 1, 2023.

F2 · derivative.expiration_date: On June 25, 2022, the reporting person was granted an award of 2,041 RSUs, which vested in full on April 1, 2023.

F3 · derivative.underlying_shares: On August 17, 2022 the Issuer effected a 1 for 15 reverse share split (the "Reverse Share Split"). The number of ordinary shares reported in this Form 4 have been adjusted to reflect the Reverse Share Split.

SEC source: 0001209191-23-022424 · doc4.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,071

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: Restricted share units ("RSUs") converted into ordinary shares on a one-for-one basis upon vesting of the RSUs.

SEC source: 0001209191-23-022802 · doc4.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,285

F1 · shares: Represents shares of common stock issuable upon the settlement of restricted stock units ("RSUs"). The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $12,500.

SEC source: 0000899243-23-009741 · doc4.xml · derivative · entry 4

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 2,994,305

Underlying: Common Stock · 2,994,305 shares

Expires 2031-03-23

F1 · price: Shares of the Issuer's non-convertible, non-voting 8.000% Series A Redeemable Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), were purchased by New Leaf Biopharma Opportunities II, L.P. ("BPO-II") in the Issuer's private placement of Series A Preferred Stock and warrants and pursuant to a Securities Purchase Agreement, dated March 22, 2023, by and among the Issuer, BPO-II and the other purchasers named therein. The terms of the Series A Preferred Stock are set forth in the Certificate of Designation filed as Exhibit 3.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission on March 27, 2023. The shares of Series A Preferred Stock and Warrants acquired by BPO-II were purchased at a price representative of $1,000 per share for the Series A Preferred Stock.

F2 · ownership.nature: These shares are held directly by BPO-II. The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-23-009741 · doc4.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 10,000

F1 · shares: Shares of the Issuer's non-convertible, non-voting 8.000% Series A Redeemable Preferred Stock, par value $0.0001 per share (the "Series A Preferred Stock"), were purchased by New Leaf Biopharma Opportunities II, L.P. ("BPO-II") in the Issuer's private placement of Series A Preferred Stock and warrants and pursuant to a Securities Purchase Agreement, dated March 22, 2023, by and among the Issuer, BPO-II and the other purchasers named therein. The terms of the Series A Preferred Stock are set forth in the Certificate of Designation filed as Exhibit 3.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission on March 27, 2023. The shares of Series A Preferred Stock and Warrants acquired by BPO-II were purchased at a price representative of $1,000 per share for the Series A Preferred Stock.

F2 · ownership.nature: These shares are held directly by BPO-II. The sole general partner of BPO-II is New Leaf BPO Associates II, L.P. ("NLBA-II"). The sole general partner of NLBA-II is New Leaf BPO Management II, L.L.C. ("BPO Management-II"). Each of NLBA-II and BPO Management-II disclaim beneficial ownership of these securities and this report shall not be deemed an admission that NLBA-II or BPO Management-II are beneficial owners of such securities for purposes of Section 16 or any other purpose, except to the extent of their respective pecuniary interests therein.

F3 · ownership.nature: The Reporting Person, a board member of the Issuer, and Vijay K. Lathi (the "BPO-II Managing Directors") are managing directors of BPO Management-II and may each be deemed to have shared voting and investment power with respect to these securities. Each of the BPO-II Managing Directors disclaims beneficial ownership of these securities and this report shall not be deemed an admission that any of them is the beneficial owner of such securities for purposes of Section 16 or for any other purpose, except to the extent of their respective pecuniary interests therein.

SEC source: 0000899243-23-001044 · doc4.xml · derivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,099

Underlying: Common Stock · 11,099 shares

Expires 2033-01-03

F1 · derivative.exercise_date: The option vests as to the underlying shares of Common Stock in 12 equal installments, each on the last day of each month of calendar year 2023.

SEC source: 0001209191-23-001286 · doc4.xml · derivative · entry 4

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 1,197 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: Restricted share units ("RSUs") converted into ordinary shares on a one-for-one basis upon vesting of the RSUs.

F5 · derivative.exercise_date: On March 25, 2022, the reporting person was granted an award of 17,955 RSUs (the "RSU Grant"), which vested on January 1, 2023.

F5 · derivative.expiration_date: On March 25, 2022, the reporting person was granted an award of 17,955 RSUs (the "RSU Grant"), which vested on January 1, 2023.

F6 · derivative.underlying_shares: The number of ordinary shares underlying the RSU Grant have been adjusted to reflect the Reverse Share Split.

SEC source: 0001209191-23-001286 · doc4.xml · nonDerivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,030

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: Restricted share units ("RSUs") converted into ordinary shares on a one-for-one basis upon vesting of the RSUs.

F2 · balance_after: On August 17, 2022 the Issuer effected a 1 for 15 reverse share split (the "Reverse Share Split"). The number of ordinary shares reported on this Form 4 have been adjusted to reflect the Reverse Share Split.

SEC source: 0001209191-22-062872 · doc4.xml · derivative · entry 1

HUNT RONALD · CIK 0001247851 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,479

Underlying: Ordinary Shares · 5,479 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted share unit ("RSU") represents the contingent right to receive one ordinary share upon vesting of the RSU.

F2 · derivative.exercise_date: Subject to the reporting person providing continuous service to the Issuer and the other terms and conditions of the Issuer's 2018 Amended and Restated Equity Incentive Plan, as amended, the RSUs shall vest in full on October 1, 2023.

F2 · derivative.expiration_date: Subject to the reporting person providing continuous service to the Issuer and the other terms and conditions of the Issuer's 2018 Amended and Restated Equity Incentive Plan, as amended, the RSUs shall vest in full on October 1, 2023.