Smith Thomas B

SEC source: 0001748462-26-000002 · form4-02122026_040205.xml · nonDerivative · entry 4

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,651

F5 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon the vesting of RSUs.

SEC source: 0001748462-26-000002 · form4-02122026_040205.xml · nonDerivative · entry 3

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,189

F4 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon the vesting of PSUs.

SEC source: 0001748462-26-000002 · form4-02122026_040205.xml · nonDerivative · entry 2

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,086

F3 · shares: Effective February 10, 2026, the Compensation Committee of the Board of Directors of the Issuer determined that performance-vesting criteria were met with regard to an aggregate of 22,774 performance share units ("PSUs") granted in the Issuer's three prior fiscal years.

SEC source: 0001748462-26-000002 · form4-02122026_040205.xml · nonDerivative · entry 1

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,312

F1 · shares: Reflects the grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. One-third (33%) of the RSUs shall vest on February 10, 2027, with the balance of the RSUs vesting in equal annual installments over the following two-year period, subject to the Reporting Person's continued service with the Issuer. The RSUs will be settled on each applicable vesting date in shares of the Issuer's common stock.

F2 · balance_after: Includes 376 and 404 shares acquired on July 18, 2025 and January 16, 2026, respectively, under the Issuer's employee stock purchase plan.

SEC source: 0001062993-25-015277 · form4.xml · nonDerivative · entry 1

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,264

F1 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $38.37 to $38.48, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001062993-25-002180 · form4.xml · nonDerivative · entry 4

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,742

F5 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon the vesting of RSUs.

SEC source: 0001062993-25-002180 · form4.xml · nonDerivative · entry 3

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,141

F4 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon the vesting of PSUs.

SEC source: 0001062993-25-002180 · form4.xml · nonDerivative · entry 2

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,639

F3 · shares: Effective February 10, 2025, the Compensation Committee of the Board of Directors of the Issuer determined that performance-vesting criteria were met with regard to an aggregate of 5,313 performance share units ("PSUs") granted in the Issuer's prior fiscal year.

SEC source: 0001062993-25-002180 · form4.xml · nonDerivative · entry 1

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,326

F1 · shares: Reflects the grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. One-third (33%) of the RSUs shall vest on February 10, 2026, with the balance of the RSUs vesting in equal annual installments over the following two-year period, subject to the Reporting Person's continued service with the Issuer. The RSUs will be settled on each applicable vesting date in shares of the Issuer's common stock.

F2 · balance_after: Includes 373 and 375 shares acquired on July 19, 2024 and January 17, 2025, respectively, under the Issuer's employee stock purchase plan.

SEC source: 0001062993-24-016699 · form4.xml · nonDerivative · entry 1

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,816

F1 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $36.56 to $36.98, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001062993-24-005212 · form4.xml · nonDerivative · entry 1

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,409

SEC source: 0001062993-24-003168 · form4.xml · nonDerivative · entry 4

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,404

F5 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon the vesting of PSUs.

SEC source: 0001062993-24-003168 · form4.xml · nonDerivative · entry 3

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,704

F4 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon the vesting of RSUs.

SEC source: 0001062993-24-003168 · form4.xml · nonDerivative · entry 2

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,603

F3 · shares: Effective February 12, 2024, the Compensation Committee of the Board of Directors of the Issuer determined that performance-vesting criteria were met with regard to an aggregate of 4,623 performance share units ("PSUs") granted in the Issuer's prior fiscal year.

SEC source: 0001062993-24-003168 · form4.xml · nonDerivative · entry 1

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,980

F1 · shares: Reflects the grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. One-third (33%) of the RSUs shall vest on February 10, 2025, with the balance of the RSUs vesting in equal annual installments over the following two-year period, subject to the Reporting Person's continued service with the Issuer. The RSUs will be settled on each applicable vesting date in shares of the Issuer's common stock.

F2 · balance_after: Includes 442 and 553 shares acquired on each of July 21, 2023 and January 19, 2024, respectively, under the Issuer's employee stock purchase plan.

SEC source: 0001062993-23-003481 · form4.xml · nonDerivative · entry 1

Smith Thomas B · CIK 0001748462 · EVP and Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,185

F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. Twenty-five percent (25%) of the restricted stock units vest on February 10, 2024, and the balance of the restricted stock units vest in equal annual installments over the following three-year period, subject to the reporting person's continued service with the issuer. The restricted stock units will be settled on each applicable vesting date in shares of the issuer's common stock.

SEC source: 0001103021-22-000072 · wf-form4_164798378306510.xml · derivative · entry 6

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 259,186 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000072 · wf-form4_164798378306510.xml · derivative · entry 5

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 287,194 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000072 · wf-form4_164798378306510.xml · derivative · entry 4

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 130,000 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000072 · wf-form4_164798378306510.xml · derivative · entry 3

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 117,691 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000072 · wf-form4_164798378306510.xml · derivative · entry 2

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 88,719 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one Share.

F3 · price: Each Issuer RSUs that was outstanding immediately prior to the Effective Time, was cancelled and converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the Merger Consideration.

F3 · derivative.exercise_date: Each Issuer RSUs that was outstanding immediately prior to the Effective Time, was cancelled and converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the Merger Consideration.

F3 · derivative.expiration_date: Each Issuer RSUs that was outstanding immediately prior to the Effective Time, was cancelled and converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the Merger Consideration.

SEC source: 0001103021-22-000072 · wf-form4_164798378306510.xml · nonDerivative · entry 1

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · 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 February 14, 2022, by and among the Issuer, Collegium Pharmaceutical, Inc., ("Parent"), and Bristol Acquisition Company Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of Issuer, $0.001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 22, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $5.60 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.

F1 · shares: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 14, 2022, by and among the Issuer, Collegium Pharmaceutical, Inc., ("Parent"), and Bristol Acquisition Company Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of Issuer, $0.001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 22, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $5.60 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.

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 February 14, 2022, by and among the Issuer, Collegium Pharmaceutical, Inc., ("Parent"), and Bristol Acquisition Company Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of Issuer, $0.001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 22, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $5.60 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.

SEC source: 0001103021-22-000018 · wf-form4_164366989604193.xml · derivative · entry 8

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,667 shares

Expires 2022-01-31

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.

F7 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of RSUs granted to the Reporting Person on January 31, 2019, under the Issuer's 2011 Equity Incentive Plan, as amended.

SEC source: 0001103021-22-000018 · wf-form4_164366989604193.xml · nonDerivative · entry 3

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,530

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

SEC source: 0001103021-22-000018 · wf-form4_164366989604193.xml · nonDerivative · entry 2

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,863

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

SEC source: 0001103021-22-000018 · wf-form4_164366989604193.xml · derivative · entry 7

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,549

Underlying: Common Stock · 7,548 shares

Expires 2023-01-29

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.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of RSUs granted to the Reporting Person on January 29, 2020, under the Plan. The remaining RSUs vest on January 29, 2023.

SEC source: 0001103021-22-000018 · wf-form4_164366989604193.xml · derivative · entry 6

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,722

Underlying: Common Stock · 17,361 shares

Expires 2024-01-27

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

F5 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of RSUs granted to the Reporting Person on January 27, 2021, under the Plan. The remaining RSUs vest in equal portions on: (i) January 27, 2023; and (ii) January 27, 2024.

SEC source: 0001103021-22-000018 · wf-form4_164366989604193.xml · derivative · entry 5

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,448

Underlying: Common Stock · 46,448 shares

Expires 2025-01-27

F3 · kind: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2022, pursuant to a grant under the Plan. The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2023; (ii) January 27, 2024; and (iii) January 27, 2025.

F4 · derivative.exercise_date: Upon vesting, each RSU entitles the Reporting Person to one share of the Issuer's common stock.

SEC source: 0001103021-22-000018 · wf-form4_164366989604193.xml · derivative · entry 4

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,186

Underlying: Common Stock · 259,186 shares

Expires 2032-01-26

F1 · derivative.exercise_price: The exercise price of the stock options issued to the Reporting Person is equal to the closing price of the Issuer's common stock on January 27, 2022.

F2 · kind: The stock options were issued to the Reporting Person on January 27, 2022, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2023; (ii) January 27, 2024; and (iii) January 27, 2025.

F2 · derivative.exercise_date: The stock options were issued to the Reporting Person on January 27, 2022, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2023; (ii) January 27, 2024; and (iii) January 27, 2025.

SEC source: 0001103021-22-000018 · wf-form4_164366989604193.xml · nonDerivative · entry 1

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,315

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

SEC source: 0001103021-21-000012 · wf-form4_161230652858649.xml · derivative · entry 4

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,667

Underlying: Common Stock · 7,667 shares

Expires 2022-01-31

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

F2 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of RSUs granted to the Reporting Person on January 31, 2019, under the Issuer's 2011 Equity Incentive Plan, as amended. The remaining RSUs will vest on January 31, 2022.

SEC source: 0001103021-21-000012 · wf-form4_161230652858649.xml · nonDerivative · entry 2

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,954

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

SEC source: 0001103021-21-000012 · wf-form4_161230652858649.xml · derivative · entry 3

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,097

Underlying: Common Stock · 7,548 shares

Expires 2023-01-29

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_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of Restricted Stock Units ("RSUs") granted to the Reporting Person on January 29, 2020, under the Issuer's 2019 Stock Option Incentive Plan. The remaining RSUs vest equally on January 29, 2022 and January 29, 2023.

SEC source: 0001103021-21-000012 · wf-form4_161230652858649.xml · nonDerivative · entry 1

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,287

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

SEC source: 0001103021-21-000006 · wf-form4_161196510268074.xml · derivative · entry 2

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,083

Underlying: Common Stock · 52,083 shares

Expires 2024-01-27

F3 · kind: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2021, pursuant to a grant under the Plan. The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2022; (ii) January 27, 2023; and (iii) January 27, 2024.

F4 · derivative.exercise_date: Upon vesting, each RSU entitles the Reporting Person to one share of the Issuer's common stock.

SEC source: 0001103021-21-000006 · wf-form4_161196510268074.xml · derivative · entry 1

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,194

Underlying: Common Stock · 287,194 shares

Expires 2031-01-26

F1 · derivative.exercise_price: The exercise price of the stock options issued to the Reporting Person is equal to the closing price of the Issuer's common stock on January 27, 2021.

F2 · kind: The stock options were issued to the Reporting Person on January 27, 2021, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2022; (ii) January 27, 2023; and (iii) January 27, 2024.

F2 · derivative.exercise_date: The stock options were issued to the Reporting Person on January 27, 2021, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 27, 2022; (ii) January 27, 2023; and (iii) January 27, 2024.

SEC source: 0001103021-20-000032 · wf-form4_158086269668380.xml · derivative · entry 3

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,334

Underlying: Common Stock · 7,666 shares

Expires 2022-01-31

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_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of Restricted Stock Units ("RSUs") granted to the Reporting Person on January 31, 2019, under the Issuer's 2011 Equity Incentive Plan, as amended. The remaining RSUs vest equally on January 31, 2021 and January 31, 2022.

SEC source: 0001103021-20-000032 · wf-form4_158086269668380.xml · nonDerivative · entry 2

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,739

F2 · security: The shares of Common Stock were automatically sold under a pre-planned 10b5-1 trading plan to cover the Reporting Person's tax liability upon the vesting of the RSUs.

F3 · price: On January 31, 2019, the Reporting Person sold an aggregate of 2,927 shares of the Issuer's Common Stock at a weighted average price of $5.38 per share. The highest sale price for the Common Stock was $5.40 per share and the lowest sale price was $5.36 per share. The Reporting Person undertakes to provide the Company, any security holder of the Company or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in these footnotes.

SEC source: 0001103021-20-000032 · wf-form4_158086269668380.xml · nonDerivative · entry 1

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,666

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 shares of common stock were acquired by the Reporting Person as a result of the vesting of Restricted Stock Units ("RSUs") granted to the Reporting Person on January 31, 2019, under the Issuer's 2011 Equity Incentive Plan, as amended. The remaining RSUs vest equally on January 31, 2021 and January 31, 2022.

SEC source: 0001103021-20-000018 · wf-form4_158051070415115.xml · derivative · entry 2

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,645

Underlying: Common Stock · 22,645 shares

Expires 2023-01-29

F3 · kind: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 29, 2020, pursuant to a grant under the Plan. The award is subject to time-based vesting and will vest in equal portions on: (i) January 29, 2021; (ii) January 29, 2022; and (iii) January 29, 2023.

F4 · derivative.exercise_date: Upon vesting, each RSU entitles the Reporting Person to one share of the Issuer's common stock.

SEC source: 0001103021-20-000018 · wf-form4_158051070415115.xml · derivative · entry 1

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,122

Underlying: Common Stock · 110,122 shares

Expires 2030-01-29

F1 · derivative.exercise_price: The exercise price of the stock options issued to the Reporting Person is the volume-weighted average price of the Issuer's common stock for the 30-day period ending on January 28, 2020.

F2 · kind: The stock options were issued to the Reporting Person on January 29, 2020, pursuant to a grant under the Issuer's 2019 Stock Option and Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 29, 2021; (ii) January 29, 2022; and (iii) January 29, 2023.

F2 · derivative.exercise_date: The stock options were issued to the Reporting Person on January 29, 2020, pursuant to a grant under the Issuer's 2019 Stock Option and Incentive Plan (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 29, 2021; (ii) January 29, 2022; and (iii) January 29, 2023.

SEC source: 0000899243-19-002525 · doc4.xml · derivative · entry 2

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2029-01-31

F3 · derivative.exercise_price: The exercise price of the stock options issued to the Reporting Person is the volume-weighted average price of the Company's common stock for the 30-day period ending on January 30, 2019.

F4 · kind: The stock options were issued to the Reporting Person on January 31, 2019, pursuant to a grant under the Plan. The award is subject to time-based vesting and will vest in equal portions on: (i) January 31, 2020; (ii) January 31, 2021; and (iii) January 31, 2022.

F4 · derivative.exercise_date: The stock options were issued to the Reporting Person on January 31, 2019, pursuant to a grant under the Plan. The award is subject to time-based vesting and will vest in equal portions on: (i) January 31, 2020; (ii) January 31, 2021; and (iii) January 31, 2022.

SEC source: 0000899243-19-002525 · doc4.xml · derivative · entry 1

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2022-01-31

F1 · kind: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 31, 2019, pursuant to a grant under the Issuer's 2011 Equity Incentive Plan, as amended (the "Plan"). The award is subject to time-based vesting and will vest in equal portions on: (i) January 31, 2020; (ii) January 31, 2021; and (iii) January 31, 2022.

F2 · derivative.exercise_date: Upon vesting, each RSU entitles the Reporting Person to one share of the Issuer's common stock. The Reporting Person has been granted the right to elect to defer actual payment of a vested RSU award, subject to compliance with Internal Revenue Code Section 409A.

SEC source: 0000899243-18-021008 · doc4.xml · derivative · entry 1

Smith Thomas B · CIK 0001748462 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,691

Underlying: Common Stock · 117,691 shares

Expires 2028-08-01

F1 · derivative.exercise_price: The exercise price of the stock options issued to the Reporting Person is the volume-weighted average price of the Company's Common Stock for the 30-day period preceding August 1, 2018.

F2 · kind: The stock options were issued to the Reporting Person on August 1, 2018, pursuant to a grant under the Company's Equity Incentive Plan. The award is subject to time-based vesting and will vest in equal portions on: (i) August 1, 2019; (ii) August 1, 2020; and (iii) August 1, 2021.

F2 · derivative.exercise_date: The stock options were issued to the Reporting Person on August 1, 2018, pursuant to a grant under the Company's Equity Incentive Plan. The award is subject to time-based vesting and will vest in equal portions on: (i) August 1, 2019; (ii) August 1, 2020; and (iii) August 1, 2021.