Kim Helen Susan

SEC source: 0001193125-26-010566 · ownership.xml · derivative · entry 8

Kim Helen Susan · CIK 0001422772 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 26,613 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.

F5 · derivative.exercise_price: The Series B Redeemable Convertible Preferred Stock had no expiration date and automatically converted into the Issuer's Common Stock on a 3.8044-for-1 basis immediately prior to the closing of the Issuer's initial public offering of its Common Stock without payment of additional consideration.

F5 · derivative.exercise_date: The Series B Redeemable Convertible Preferred Stock had no expiration date and automatically converted into the Issuer's Common Stock on a 3.8044-for-1 basis immediately prior to the closing of the Issuer's initial public offering of its Common Stock without payment of additional consideration.

F5 · derivative.expiration_date: The Series B Redeemable Convertible Preferred Stock had no expiration date and automatically converted into the Issuer's Common Stock on a 3.8044-for-1 basis immediately prior to the closing of the Issuer's initial public offering of its Common Stock without payment of additional consideration.

F3 · ownership.nature: These shares are held by Vida Ventures II-A, LLC ("VV II-A"). VVM II is the manager of VV II-A and may be deemed to have voting, investment and dispositive power with respect to the shares held by VV II-A. Arie Belldegrun, Fred Cohen, and Leonard Potter, the members of the management committee of VVM II, along with the other members of the investment committee of VVM II, Rajul Jain, Joshua Kazam, and the Reporting Person, a member of the Issuer's board of directors, may be deemed to share voting, investment and dispositive power over the shares held by VV II-A and each such person disclaims beneficial ownership of the securities except to the extent of such person's pecuniary interest therein.

SEC source: 0001193125-26-010566 · ownership.xml · derivative · entry 7

Kim Helen Susan · CIK 0001422772 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 959,086 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.

F5 · derivative.exercise_price: The Series B Redeemable Convertible Preferred Stock had no expiration date and automatically converted into the Issuer's Common Stock on a 3.8044-for-1 basis immediately prior to the closing of the Issuer's initial public offering of its Common Stock without payment of additional consideration.

F5 · derivative.exercise_date: The Series B Redeemable Convertible Preferred Stock had no expiration date and automatically converted into the Issuer's Common Stock on a 3.8044-for-1 basis immediately prior to the closing of the Issuer's initial public offering of its Common Stock without payment of additional consideration.

F5 · derivative.expiration_date: The Series B Redeemable Convertible Preferred Stock had no expiration date and automatically converted into the Issuer's Common Stock on a 3.8044-for-1 basis immediately prior to the closing of the Issuer's initial public offering of its Common Stock without payment of additional consideration.

F2 · ownership.nature: These shares are held by Vida Ventures II, LLC ("VV II"). VV Manager II, LLC ("VVM II") is the manager of VV II and may be deemed to have voting, investment and dispositive power with respect to the shares held by VV II. Arie Belldegrun, Fred Cohen, and Leonard Potter, the members of the management committee of VVM II, along with the other members of the investment committee of VVM II, Rajul Jain, Joshua Kazam, and the Reporting Person, a member of the Issuer's board of directors, may be deemed to share voting, investment and dispositive power over the shares held by VV II and each such person disclaims beneficial ownership of the securities except to the extent of such person's pecuniary interest therein.

SEC source: 0001193125-26-010566 · ownership.xml · derivative · entry 6

Kim Helen Susan · CIK 0001422772 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 108,229 shares

Expires not disclosed

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

F4 · derivative.exercise_price: The Series A Redeemable Convertible Preferred Stock had no expiration date and automatically converted into the Issuer's Common Stock on a 3.8044-for-1 basis immediately prior to the closing of the Issuer's initial public offering of its Common Stock without payment of additional consideration.

F4 · derivative.exercise_date: The Series A Redeemable Convertible Preferred Stock had no expiration date and automatically converted into the Issuer's Common Stock on a 3.8044-for-1 basis immediately prior to the closing of the Issuer's initial public offering of its Common Stock without payment of additional consideration.

F4 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock had no expiration date and automatically converted into the Issuer's Common Stock on a 3.8044-for-1 basis immediately prior to the closing of the Issuer's initial public offering of its Common Stock without payment of additional consideration.

F3 · ownership.nature: These shares are held by Vida Ventures II-A, LLC ("VV II-A"). VVM II is the manager of VV II-A and may be deemed to have voting, investment and dispositive power with respect to the shares held by VV II-A. Arie Belldegrun, Fred Cohen, and Leonard Potter, the members of the management committee of VVM II, along with the other members of the investment committee of VVM II, Rajul Jain, Joshua Kazam, and the Reporting Person, a member of the Issuer's board of directors, may be deemed to share voting, investment and dispositive power over the shares held by VV II-A and each such person disclaims beneficial ownership of the securities except to the extent of such person's pecuniary interest therein.

SEC source: 0001193125-26-010566 · ownership.xml · derivative · entry 5

Kim Helen Susan · CIK 0001422772 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 3,900,284 shares

Expires not disclosed

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

F4 · derivative.exercise_price: The Series A Redeemable Convertible Preferred Stock had no expiration date and automatically converted into the Issuer's Common Stock on a 3.8044-for-1 basis immediately prior to the closing of the Issuer's initial public offering of its Common Stock without payment of additional consideration.

F4 · derivative.exercise_date: The Series A Redeemable Convertible Preferred Stock had no expiration date and automatically converted into the Issuer's Common Stock on a 3.8044-for-1 basis immediately prior to the closing of the Issuer's initial public offering of its Common Stock without payment of additional consideration.

F4 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock had no expiration date and automatically converted into the Issuer's Common Stock on a 3.8044-for-1 basis immediately prior to the closing of the Issuer's initial public offering of its Common Stock without payment of additional consideration.

F2 · ownership.nature: These shares are held by Vida Ventures II, LLC ("VV II"). VV Manager II, LLC ("VVM II") is the manager of VV II and may be deemed to have voting, investment and dispositive power with respect to the shares held by VV II. Arie Belldegrun, Fred Cohen, and Leonard Potter, the members of the management committee of VVM II, along with the other members of the investment committee of VVM II, Rajul Jain, Joshua Kazam, and the Reporting Person, a member of the Issuer's board of directors, may be deemed to share voting, investment and dispositive power over the shares held by VV II and each such person disclaims beneficial ownership of the securities except to the extent of such person's pecuniary interest therein.

SEC source: 0001193125-26-010566 · ownership.xml · nonDerivative · entry 4

Kim Helen Susan · CIK 0001422772 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 157,387

F3 · ownership.nature: These shares are held by Vida Ventures II-A, LLC ("VV II-A"). VVM II is the manager of VV II-A and may be deemed to have voting, investment and dispositive power with respect to the shares held by VV II-A. Arie Belldegrun, Fred Cohen, and Leonard Potter, the members of the management committee of VVM II, along with the other members of the investment committee of VVM II, Rajul Jain, Joshua Kazam, and the Reporting Person, a member of the Issuer's board of directors, may be deemed to share voting, investment and dispositive power over the shares held by VV II-A and each such person disclaims beneficial ownership of the securities except to the extent of such person's pecuniary interest therein.

SEC source: 0001193125-26-010566 · ownership.xml · nonDerivative · entry 3

Kim Helen Susan · CIK 0001422772 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 134,842

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 · kind: Represents shares of the Issuer's Common Stock received upon conversion of shares of the Series A Redeemable Convertible Preferred Stock and Series B Redeemable Convertible Preferred Stock on a 3.8044-for-1 basis without payment of additional consideration.

F1 · price: Represents shares of the Issuer's Common Stock received upon conversion of shares of the Series A Redeemable Convertible Preferred Stock and Series B Redeemable Convertible Preferred Stock on a 3.8044-for-1 basis without payment of additional consideration.

F3 · ownership.nature: These shares are held by Vida Ventures II-A, LLC ("VV II-A"). VVM II is the manager of VV II-A and may be deemed to have voting, investment and dispositive power with respect to the shares held by VV II-A. Arie Belldegrun, Fred Cohen, and Leonard Potter, the members of the management committee of VVM II, along with the other members of the investment committee of VVM II, Rajul Jain, Joshua Kazam, and the Reporting Person, a member of the Issuer's board of directors, may be deemed to share voting, investment and dispositive power over the shares held by VV II-A and each such person disclaims beneficial ownership of the securities except to the extent of such person's pecuniary interest therein.

SEC source: 0001193125-26-010566 · ownership.xml · nonDerivative · entry 2

Kim Helen Susan · CIK 0001422772 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 5,671,825

F2 · ownership.nature: These shares are held by Vida Ventures II, LLC ("VV II"). VV Manager II, LLC ("VVM II") is the manager of VV II and may be deemed to have voting, investment and dispositive power with respect to the shares held by VV II. Arie Belldegrun, Fred Cohen, and Leonard Potter, the members of the management committee of VVM II, along with the other members of the investment committee of VVM II, Rajul Jain, Joshua Kazam, and the Reporting Person, a member of the Issuer's board of directors, may be deemed to share voting, investment and dispositive power over the shares held by VV II and each such person disclaims beneficial ownership of the securities except to the extent of such person's pecuniary interest therein.

SEC source: 0001193125-26-010566 · ownership.xml · nonDerivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 4,859,370

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 · kind: Represents shares of the Issuer's Common Stock received upon conversion of shares of the Series A Redeemable Convertible Preferred Stock and Series B Redeemable Convertible Preferred Stock on a 3.8044-for-1 basis without payment of additional consideration.

F1 · price: Represents shares of the Issuer's Common Stock received upon conversion of shares of the Series A Redeemable Convertible Preferred Stock and Series B Redeemable Convertible Preferred Stock on a 3.8044-for-1 basis without payment of additional consideration.

F2 · ownership.nature: These shares are held by Vida Ventures II, LLC ("VV II"). VV Manager II, LLC ("VVM II") is the manager of VV II and may be deemed to have voting, investment and dispositive power with respect to the shares held by VV II. Arie Belldegrun, Fred Cohen, and Leonard Potter, the members of the management committee of VVM II, along with the other members of the investment committee of VVM II, Rajul Jain, Joshua Kazam, and the Reporting Person, a member of the Issuer's board of directors, may be deemed to share voting, investment and dispositive power over the shares held by VV II and each such person disclaims beneficial ownership of the securities except to the extent of such person's pecuniary interest therein.

SEC source: 0000905148-25-001832 · form4.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,183

Underlying: Ordinary Shares · 20,183 shares

Expires 2035-05-14

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or the day of the annual general meeting in 2026 of the Issuer's shareholders, assuming continuous service as a director until such vesting date.

SEC source: 0000905148-24-001538 · form4.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Ordinary Shares · 15,000 shares

Expires 2034-05-15

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or the day of the annual general meeting in 2025 of the Issuer's shareholders, assuming continuous service as a director until such vesting date.

SEC source: 0001140361-23-025826 · form4.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Ordinary Shares · 15,000 shares

Expires 2033-05-17

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 100% of the total number of shares subject to the option on the earlier of the first anniversary of the grant date or the day of the annual general meeting in 2024 of the Issuer's shareholders, assuming continuous service as a director until such vesting date.

SEC source: 0001567619-22-017016 · doc1.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Ordinary Shares · 30,000 shares

Expires 2032-08-31

F1 · derivative.exercise_date: The shares subject to the option will vest and become exercisable as to 33 and 1/3% of the total number of shares subject to the option on the first anniversary of the grant date, 33 and 1/3% on the second anniversary of the grant date, and the remaining 33 and 1/3% on the earlier of the third anniversary of the grant date or the day of the annual general meeting in 2025 of the Issuer's shareholders, assuming continuous services as a director until each such vesting date.

SEC source: 0001209191-21-053763 · doc4.xml · nonDerivative · entry 4

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 575,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person on July 7, 2021.

F5 · price: The price reported in column is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.25 to $31.98, inclusive. The reporting person undertakes to provide Applied Molecular Transport, Inc., any security holder of Applied Molecular Transport, Inc. 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 this footnote.

SEC source: 0001209191-21-053763 · doc4.xml · nonDerivative · entry 3

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 575,250

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person on July 7, 2021.

F4 · price: The price reported in column is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.25 to $31.24, inclusive. The reporting person undertakes to provide Applied Molecular Transport, Inc., any security holder of Applied Molecular Transport, Inc. 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 this footnote.

SEC source: 0001209191-21-053763 · doc4.xml · nonDerivative · entry 2

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 575,951

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person on July 7, 2021.

F3 · price: The price reported in column is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.00 to $31.045, inclusive. The reporting person undertakes to provide Applied Molecular Transport, Inc., any security holder of Applied Molecular Transport, Inc. 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 this footnote.

SEC source: 0001209191-21-053763 · doc4.xml · nonDerivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 576,509

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person on July 7, 2021.

F2 · price: The price reported in column is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.915, inclusive. The reporting person undertakes to provide Applied Molecular Transport, Inc., any security holder of Applied Molecular Transport, Inc. 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 this footnote.

SEC source: 0001209191-21-053411 · doc4.xml · nonDerivative · entry 3

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 590,014

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person on July 7, 2021.

F2 · price: The price reported in column is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.18, inclusive. The reporting person undertakes to provide Applied Molecular Transport, Inc., any security holder of Applied Molecular Transport, Inc. 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 this footnote.

SEC source: 0001209191-21-053411 · doc4.xml · nonDerivative · entry 2

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 599,492

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person on July 7, 2021.

SEC source: 0001209191-21-053411 · doc4.xml · nonDerivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 599,495

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person on July 7, 2021.

SEC source: 0001209191-21-045674 · doc4.xml · nonDerivative · entry 2

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,000

F1 · price: The price reported in column is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.97 to $46.47, inclusive. The reporting person undertakes to provide Applied Molecular Transport, Inc., any security holder of Applied Molecular Transport, Inc. 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 this footnote.

SEC source: 0001209191-21-045674 · doc4.xml · nonDerivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 601,241

SEC source: 0001209191-21-034605 · doc4.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,343

Underlying: Common Stock · 14,343 shares

Expires 2031-05-18

F1 · derivative.exercise_date: 100% of the stock option granted on May 18, 2021 will become vested on the earlier of (i) May 18, 2022 or (ii) the business day prior to the date of the 2022 annual meeting of stockholders.

SEC source: 0001209191-20-041090 · doc4.xml · derivative · entry 2

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 800,000 shares

Expires 2025-05-28

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

SEC source: 0001209191-20-041090 · doc4.xml · nonDerivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 800,000

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

SEC source: 0001209191-20-036636 · doc4.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-06-11

F1 · derivative.exercise_date: Grant of stock options. The stock options vest, assuming continuous service, upon the earlier of (1) June 11, 2021 and (2) the date of the Issuer's 2021 annual meeting of stockholders.

SEC source: 0001209191-20-035123 · doc4.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,693

Underlying: Common Stock · 21,693 shares

Expires 2030-06-03

F1 · derivative.exercise_date: The shares subject to the option will vest as to 1/12 of the underlying shares monthly from the vesting commencement date of June 4, 2020, provided the Reporting Person remains in continuous service on each vesting date.

SEC source: 0001698530-19-000057 · wf-form4_156054783184281.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,693

Underlying: Common Stock · 21,693 shares

Expires 2029-06-13

F1 · derivative.exercise_date: This option vests in 12 substantially equal monthly installments from June 14, 2019, provided that the option will vest in full on the Issuer's next regularly scheduled annual meeting of stockholders that occurs following the Grant Date, subject to the Reporting Person's continued service with the Issuer through each such date or, if earlier, such annual meeting and certain change of control provisions.

SEC source: 0001144204-19-027159 · tv521925_4.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2029-05-17

F1 · derivative.exercise_date: The shares of common stock underlying the option will vest upon the earlier of (i) May 17, 2020 and (ii) the date of the Issuer's 2020 annual meeting of stockholders.

SEC source: 0001698530-18-000032 · wf-form4_152961915548719.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,693

Underlying: Common Stock · 21,693 shares

Expires 2028-06-18

F1 · derivative.exercise_date: This option vests in 12 substantially equal monthly installments from June 19, 2018, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions.

SEC source: 0001144204-18-032468 · tv495553_4.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2028-05-30

F1 · derivative.exercise_date: The shares of common stock underlying the option will vest upon the earlier of (i) May 30, 2019 and (ii) the date of the Issuer's 2019 annual meeting of stockholders.

SEC source: 0001144204-18-013977 · tv488258_4.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2028-03-08

F1 · derivative.exercise_date: The shares of common stock underlying the option will vest in equal annual installments on the first, second and third anniversaries of the grant date.

SEC source: 0001209191-17-056220 · doc4.xml · derivative · entry 9

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,500 shares

Expires 2026-12-21

F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation (the "Merger") and becoming a wholly-owned subsidiary of Parent.

F7 · price: Pursuant to the terms of the Merger Agreement, each option to purchase Company common stock (each, a "Company Option") then outstanding and unexercised, other than any vested in-the-money Company Option, was assumed and converted into an option to purchase a number of shares of Parent common stock, on the same terms and subject to the same conditions as were applicable to such Company Option, equal to the product of (i) the total number of shares of Company common stock subject to such Company Option multiplied by (ii) the Equity Award Conversion Ratio, and with an exercise price equal to the quotient of (i) the exercise price of such Company Option divided by (ii) the Equity Award Conversion Ratio.

F9 · derivative.exercise_date: This option provides for 25% vesting on December 22, 2017, and vesting thereafter in 36 equal monthly installments.

SEC source: 0001209191-17-056220 · doc4.xml · derivative · entry 8

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,562 shares

Expires 2025-12-16

F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation (the "Merger") and becoming a wholly-owned subsidiary of Parent.

F7 · price: Pursuant to the terms of the Merger Agreement, each option to purchase Company common stock (each, a "Company Option") then outstanding and unexercised, other than any vested in-the-money Company Option, was assumed and converted into an option to purchase a number of shares of Parent common stock, on the same terms and subject to the same conditions as were applicable to such Company Option, equal to the product of (i) the total number of shares of Company common stock subject to such Company Option multiplied by (ii) the Equity Award Conversion Ratio, and with an exercise price equal to the quotient of (i) the exercise price of such Company Option divided by (ii) the Equity Award Conversion Ratio.

F8 · derivative.exercise_date: This option provided for 25% vesting on December 17, 2016, and vesting thereafter in 36 equal monthly installments.

SEC source: 0001209191-17-056220 · doc4.xml · derivative · entry 7

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,438 shares

Expires 2025-12-16

F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation (the "Merger") and becoming a wholly-owned subsidiary of Parent.

F6 · price: This vested option was cancelled at the effective time of the Merger in exchange for a cash payment equal to $180.00, less the exercise price of the option.

F8 · derivative.exercise_date: This option provided for 25% vesting on December 17, 2016, and vesting thereafter in 36 equal monthly installments.

SEC source: 0001209191-17-056220 · doc4.xml · derivative · entry 6

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,000 shares

Expires 2025-05-18

F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation (the "Merger") and becoming a wholly-owned subsidiary of Parent.

F7 · price: Pursuant to the terms of the Merger Agreement, each option to purchase Company common stock (each, a "Company Option") then outstanding and unexercised, other than any vested in-the-money Company Option, was assumed and converted into an option to purchase a number of shares of Parent common stock, on the same terms and subject to the same conditions as were applicable to such Company Option, equal to the product of (i) the total number of shares of Company common stock subject to such Company Option multiplied by (ii) the Equity Award Conversion Ratio, and with an exercise price equal to the quotient of (i) the exercise price of such Company Option divided by (ii) the Equity Award Conversion Ratio.

F5 · derivative.exercise_date: This option provided for 25% vesting on November 10, 2015, and vesting thereafter in 36 equal monthly installments.

SEC source: 0001209191-17-056220 · doc4.xml · derivative · entry 5

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,499 shares

Expires 2025-05-18

F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation (the "Merger") and becoming a wholly-owned subsidiary of Parent.

F6 · price: This vested option was cancelled at the effective time of the Merger in exchange for a cash payment equal to $180.00, less the exercise price of the option.

F5 · derivative.exercise_date: This option provided for 25% vesting on November 10, 2015, and vesting thereafter in 36 equal monthly installments.

SEC source: 0001209191-17-056220 · doc4.xml · derivative · entry 4

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 52,500 shares

Expires 2024-12-14

F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation (the "Merger") and becoming a wholly-owned subsidiary of Parent.

F7 · price: Pursuant to the terms of the Merger Agreement, each option to purchase Company common stock (each, a "Company Option") then outstanding and unexercised, other than any vested in-the-money Company Option, was assumed and converted into an option to purchase a number of shares of Parent common stock, on the same terms and subject to the same conditions as were applicable to such Company Option, equal to the product of (i) the total number of shares of Company common stock subject to such Company Option multiplied by (ii) the Equity Award Conversion Ratio, and with an exercise price equal to the quotient of (i) the exercise price of such Company Option divided by (ii) the Equity Award Conversion Ratio.

F5 · derivative.exercise_date: This option provided for 25% vesting on November 10, 2015, and vesting thereafter in 36 equal monthly installments.

SEC source: 0001209191-17-056220 · doc4.xml · derivative · entry 3

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,752 shares

Expires 2024-12-14

F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation (the "Merger") and becoming a wholly-owned subsidiary of Parent.

F6 · price: This vested option was cancelled at the effective time of the Merger in exchange for a cash payment equal to $180.00, less the exercise price of the option.

F5 · derivative.exercise_date: This option provided for 25% vesting on November 10, 2015, and vesting thereafter in 36 equal monthly installments.

SEC source: 0001209191-17-056220 · doc4.xml · nonDerivative · entry 2

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation (the "Merger") and becoming a wholly-owned subsidiary of Parent.

F3 · shares: Represents shares of Company common stock underlying restricted stock units with respect to Company common stock, including all time-vesting and all performance-vesting restricted stock units (each a "Company Restricted Stock Unit"), held by the Reporting Person.

F4 · shares: Pursuant to the terms of the Merger Agreement, each Company Restricted Stock Unit was assumed and converted into a restricted stock unit denominated in shares of Parent common stock, on the same terms and conditions as were then applicable under such Company Restricted Stock Unit (including applicable performance vesting conditions), and relating to a number of shares of Parent common stock equal to the product of (i) the total number of shares of Company common stock subject to such Company Restricted Stock Unit multiplied by (ii) the quotient of (A) $180.00 divided by (B) the volume-weighted average closing sale price of a share of Parent common stock for the fifteen full consecutive trading days ending on and including September 28, 2017 ($83.12) (such quotient, the "Equity Award Conversion Ratio").

F4 · price: Pursuant to the terms of the Merger Agreement, each Company Restricted Stock Unit was assumed and converted into a restricted stock unit denominated in shares of Parent common stock, on the same terms and conditions as were then applicable under such Company Restricted Stock Unit (including applicable performance vesting conditions), and relating to a number of shares of Parent common stock equal to the product of (i) the total number of shares of Company common stock subject to such Company Restricted Stock Unit multiplied by (ii) the quotient of (A) $180.00 divided by (B) the volume-weighted average closing sale price of a share of Parent common stock for the fifteen full consecutive trading days ending on and including September 28, 2017 ($83.12) (such quotient, the "Equity Award Conversion Ratio").

SEC source: 0001209191-17-056220 · doc4.xml · nonDerivative · entry 1

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

F1 · date: On August 27, 2017, Kite Pharma, Inc., a Delaware corporation (the "Company"), entered into an Agreement and Plan of Merger (the "Merger Agreement") with Gilead Sciences, Inc., a Delaware corporation ("Parent"), and Dodgers Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Purchaser"). On October 3, 2017, Purchaser merged with and into the Company pursuant to Section 251(h) of the General Corporation Law of the State of Delaware, with the Company being the surviving corporation (the "Merger") and becoming a wholly-owned subsidiary of Parent.

F2 · shares: Pursuant to the terms of the Merger Agreement and the Offer (as defined in the Merger Agreement), each share of Company common stock held by the Reporting Person, other than the shares described in Notes 3 and 4 below, was validly tendered for $180 per share in cash, without interest and subject to any required withholding of taxes.

SEC source: 0000899243-17-022830 · doc4.xml · derivative · entry 3

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,824

Underlying: Common Stock · 24,824 shares

Expires 2027-01-04

F1 · derivative.exercise_price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. (Exicure OpCo), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio").

F2 · derivative.exercise_price: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.

F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. (Exicure OpCo), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio").

F2 · shares: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.

F2 · price: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.

F5 · derivative.exercise_date: This option vests in 12 substantially equal monthly installments from January 4, 2017, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions.

F1 · derivative.underlying_shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. (Exicure OpCo), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio").

F2 · derivative.underlying_shares: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.

SEC source: 0000899243-17-022830 · doc4.xml · derivative · entry 2

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,824

Underlying: Common Stock · 24,824 shares

Expires 2025-04-28

F1 · derivative.exercise_price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. (Exicure OpCo), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio").

F2 · derivative.exercise_price: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.

F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. (Exicure OpCo), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio").

F2 · shares: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.

F2 · price: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.

F4 · derivative.exercise_date: This option vests in 48 substantially equal monthly installments from February 20, 2015, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions.

F1 · derivative.underlying_shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. (Exicure OpCo), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio").

F2 · derivative.underlying_shares: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.

SEC source: 0000899243-17-022830 · doc4.xml · derivative · entry 1

Kim Helen Susan · CIK 0001422772 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,649

Underlying: Common Stock · 49,649 shares

Expires 2024-10-02

F1 · derivative.exercise_price: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. (Exicure OpCo), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio").

F2 · derivative.exercise_price: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.

F1 · shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. (Exicure OpCo), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio").

F2 · shares: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.

F2 · price: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.

F3 · derivative.exercise_date: This option vested 25% on October 3, 2015, and the remaining 75% vests in 36 substantially equal monthly installments thereafter, subject to the Reporting Person's continued service with the Issuer and certain change of control provisions.

F1 · derivative.underlying_shares: Pursuant to that certain Agreement and Plan of Merger and Reorganization (the "Merger Agreement"), dated as of September 26, 2017, by and among the Issuer then known as Max-1 Acquisition Corporation, Max-1 Acquisition Sub, Inc. and the corporation then known as Exicure, Inc. (Exicure OpCo), each outstanding share of Exicure OpCo capital stock (other than shares of Series C Preferred Stock of Exicure OpCo) was converted into 0.49649 shares of the Issuer's common stock (the "Conversion Ratio") and each outstanding share of Series C Preferred Stock of Exicure OpCo was converted into 0.7666652 shares of the Issuer's common stock (the "Series C Conversion Ratio").

F2 · derivative.underlying_shares: Each option to purchase shares of Exicure OpCo outstanding and unexercised was assumed by the Issuer pursuant to the Merger Agreement and was converted into an option, subject to vesting, to purchase shares of common stock of the Issuer, with the number of shares of the Issuer's common stock underlying such option and the exercises price for such option adjusted to reflect the Conversion Ratio.

SEC source: 0001209191-17-054199 · doc4.xml · nonDerivative · entry 2

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,693

F2 · kind: The shares were sold to cover the tax obligation that occurred upon the vesting of an RSU.

SEC source: 0001209191-17-054199 · doc4.xml · nonDerivative · entry 1

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,864

F1 · balance_after: Reflects the correction of an error in the total shares held, which was incorrectly reported in the Reporting Person's Form 4 filed August 16, 2016.

SEC source: 0001209191-17-048786 · doc4.xml · derivative · entry 5

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,344

Underlying: Common Stock · 2,656 shares

Expires 2025-05-18

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

F3 · derivative.exercise_date: 25% of the 120,000 shares subject to the stock option vested and became exercisable on November 10, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.

SEC source: 0001209191-17-048786 · doc4.xml · derivative · entry 4

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,407

Underlying: Common Stock · 3,595 shares

Expires 2024-12-14

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: 25% of the 180,000 shares subject to the stock option vested and became exercisable on November 10, 2015, and the remaining shares subject to the stock option vest and become exercisable in 36 equal monthly installments thereafter.

SEC source: 0001209191-17-048786 · doc4.xml · nonDerivative · entry 3

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,664

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 29, 2017.

SEC source: 0001209191-17-048786 · doc4.xml · nonDerivative · entry 2

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,915

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: 0001209191-17-048786 · doc4.xml · nonDerivative · entry 1

Kim Helen Susan · CIK 0001422772 · EVP, Business Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,259

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.