Sherman Michael A.

SEC source: 0000950170-25-086169 · ownership.xml · derivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,000

Underlying: Common Stock · 27,000 shares

Expires 2035-06-11

F1 · derivative.exercise_date: The option was granted on June 12, 2025. The shares underlying the option vest in full on the earlier of the first anniversary of the grant date and the next annual meeting of stockholders following the grant date, subject to the reporting person's continued service as a director.

SEC source: 0001415889-25-011081 · form4-04212025_080438.xml · derivative · entry 9

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,000 shares

Expires 2034-06-19

F3 · price: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001415889-25-011081 · form4-04212025_080438.xml · derivative · entry 8

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 557,050 shares

Expires 2033-01-16

F3 · price: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001415889-25-011081 · form4-04212025_080438.xml · derivative · entry 7

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 875,000 shares

Expires 2032-01-17

F3 · price: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001415889-25-011081 · form4-04212025_080438.xml · derivative · entry 6

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 700,000 shares

Expires 2031-01-21

F4 · price: Pursuant to the Merger Agreement, each option to purchase Shares other than an In the Money Option that is then outstanding and unexercised, whether or not vested, was cancelled at the Effective Time with no consideration payable in respect thereof.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase Shares other than an In the Money Option that is then outstanding and unexercised, whether or not vested, was cancelled at the Effective Time with no consideration payable in respect thereof.

SEC source: 0001415889-25-011081 · form4-04212025_080438.xml · derivative · entry 5

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 632,500 shares

Expires 2030-01-20

F3 · price: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001415889-25-011081 · form4-04212025_080438.xml · derivative · entry 4

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,150,000 shares

Expires 2029-04-07

F3 · price: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001415889-25-011081 · form4-04212025_080438.xml · nonDerivative · entry 3

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 4, 2025, by and among Chimerix, Inc. ("Chimerix"), Jazz Pharmaceuticals Public Limited Company ("Parent") and Pinetree Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the Merger Agreement, Parent and Purchaser launched a tender offer (the "Offer") for all outstanding shares of common stock of Chimerix (each, a "Share") for an offer price of $8.55 per Share in cash (the "Offer Price"), without interest and subject to reduction for any applicable withholding taxes. The Offer expired at the end of the day, one minute after 11:59 p.m. Eastern Time on April 17, 2025. [continues to Footnote 2]

F2 · shares: [continues from Footnote 1] On April 21, 2025, following the filing of the certificate of merger with the Secretary of State of the State of Delaware (the "Effective Time"), Purchaser merged with and into Chimerix, with Chimerix continuing as a surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). At the Effective Time , each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price, without any interest and subject to any withholding of applicable taxes.

F3 · shares: Pursuant to the Merger Agreement, each option to purchase Shares (each, an "Option") that was outstanding and unexercised as of immediately prior to the Effective Time, which has a per share exercise price that is less than the Offer Price (an "In the Money Option"), to the extent unvested, was accelerated and became fully vested and exercisable. Each outstanding and unexercised vested option (after giving effect to the acceleration treatment set forth in the preceding sentence) at the Effective Time was cancelled and converted into the right to receive a cash payment equal to (i) the excess of (A) the Offer Price over (B) the exercise price payable per Share of such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Option immediately prior to the Effective Time (without regard to vesting).

SEC source: 0001415889-25-011081 · form4-04212025_080438.xml · nonDerivative · entry 2

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Sherman Investors LLC

Disclosed balance after: 0

F1 · shares: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 4, 2025, by and among Chimerix, Inc. ("Chimerix"), Jazz Pharmaceuticals Public Limited Company ("Parent") and Pinetree Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the Merger Agreement, Parent and Purchaser launched a tender offer (the "Offer") for all outstanding shares of common stock of Chimerix (each, a "Share") for an offer price of $8.55 per Share in cash (the "Offer Price"), without interest and subject to reduction for any applicable withholding taxes. The Offer expired at the end of the day, one minute after 11:59 p.m. Eastern Time on April 17, 2025. [continues to Footnote 2]

F2 · shares: [continues from Footnote 1] On April 21, 2025, following the filing of the certificate of merger with the Secretary of State of the State of Delaware (the "Effective Time"), Purchaser merged with and into Chimerix, with Chimerix continuing as a surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). At the Effective Time , each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price, without any interest and subject to any withholding of applicable taxes.

SEC source: 0001415889-25-011081 · form4-04212025_080438.xml · nonDerivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Michael A Sherman Trust Dated June 29, 2007

Disclosed balance after: 0

F1 · shares: Disposed of pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 4, 2025, by and among Chimerix, Inc. ("Chimerix"), Jazz Pharmaceuticals Public Limited Company ("Parent") and Pinetree Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"). Pursuant to the Merger Agreement, Parent and Purchaser launched a tender offer (the "Offer") for all outstanding shares of common stock of Chimerix (each, a "Share") for an offer price of $8.55 per Share in cash (the "Offer Price"), without interest and subject to reduction for any applicable withholding taxes. The Offer expired at the end of the day, one minute after 11:59 p.m. Eastern Time on April 17, 2025. [continues to Footnote 2]

F2 · shares: [continues from Footnote 1] On April 21, 2025, following the filing of the certificate of merger with the Secretary of State of the State of Delaware (the "Effective Time"), Purchaser merged with and into Chimerix, with Chimerix continuing as a surviving corporation and an indirect wholly owned subsidiary of Parent (the "Merger"). At the Effective Time , each issued and outstanding Share (other than any Excluded Shares (as such term is defined in the Merger Agreement)) was cancelled in exchange for the right to receive the Offer Price, without any interest and subject to any withholding of applicable taxes.

SEC source: 0001415889-24-017766 · form4-06212024_030648.xml · derivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2034-06-19

F1 · derivative.exercise_date: The shares subject to the option vest in a series of 12 equal monthly installments from the date of grant; provided, however, that the option shall become fully vested on the date that is the earlier of (i) the one-year anniversary of the date of grant and (ii) the date of the Company's 2024 annual stockholder meeting.

SEC source: 0000950170-24-064834 · ownership.xml · derivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2034-05-23

F1 · derivative.exercise_date: The option was granted on May 24, 2024. The shares underlying the option vest in full on the earlier of the first anniversary of the grant date and the next annual meeting of stockholders following the grant date, subject to the reporting person's continued service as a director.

SEC source: 0000899243-23-016373 · doc4.xml · derivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,200

Underlying: Common Stock · 13,200 shares

Expires 2033-06-20

F1 · derivative.exercise_date: The option was granted on June 21, 2023. The shares underlying the option vest in full on the earlier of the first anniversary of the grant date and the next annual meeting of stockholders following the grant date, subject to the reporting person's continued service as a director.

SEC source: 0001209191-23-029760 · doc4.xml · nonDerivative · entry 2

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Michael A Sherman Trust Dated June 29, 2007

Disclosed balance after: 87,000

SEC source: 0001209191-23-029760 · doc4.xml · nonDerivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · By Michael A Sherman Trust Dated June 29, 2007

Disclosed balance after: 11,985

SEC source: 0001209191-23-004145 · doc4.xml · derivative · entry 3

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 557,050

Underlying: Common Stock · 557,050 shares

Expires 2033-01-16

F3 · derivative.exercise_date: 1/48th of the shares subject to the option vest in equal monthly installments over a four year period following the date of grant.

SEC source: 0001209191-23-004145 · doc4.xml · nonDerivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,995

F1 · shares: The shares being reported are being issued pursuant to restricted stock unit awards ("RSUs"), each one of which represents a contingent right to receive one share of the Issuer's common stock. 23,237 shares subject to the RSUs will vest on the one-year anniversary of the date of grant, 23,237 shares subject to the RSUs will vest on the second-year anniversary of the date of grant, 23,237 shares subject to the RSUs will vest on the third-year anniversary of the date of grant, and 23,239 shares subject to the RSUs will vest on the fourth-year anniversary of the date of grant.

F2 · balance_after: Includes 4,681 shares acquired under the Issuer's Employee Stock Purchase Plan on September 9, 2022.

SEC source: 0001209191-22-043240 · doc4.xml · derivative · entry 2

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,150,000

Underlying: Common Stock · 100,000 shares

Expires 2029-04-07

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: One-fourth of the shares subject to the stock option vest and become exercisable on the first anniversary of the date of grant, and the remaining shares vest in 36 equal monthly installments thereafter.

SEC source: 0001209191-22-043240 · doc4.xml · nonDerivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,364

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 · balance_after: Includes 5,147 shares acquired under the Issuer's Employee Stock Purchase Plan (the "ESPP") on September 10, 2020, 5,147 shares acquired under the Issuer's ESPP on March 10, 2021, 5,147 shares acquired under the Issuer's ESPP on September 10, 2021 and 5,233 shares acquired under the Issuer's ESPP on March 10, 2022.

SEC source: 0001209191-22-043250 · doc4a.xml · derivative · entry 3

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,150,000

Underlying: Common Stock · 100,000 shares

Expires 2029-04-07

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: One-fourth of the shares subject to the stock option vest and become exercisable on the first anniversary of the date of grant, and the remaining shares vest in 36 equal monthly installments thereafter.

SEC source: 0001209191-22-043250 · doc4a.xml · nonDerivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,364

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 · balance_after: Includes 5,147 shares acquired under the Issuer's Employee Stock Purchase Plan (the "ESPP") on September 10, 2020, 5,147 shares acquired under the Issuer's ESPP on March 10, 2021, 5,147 shares acquired under the Issuer's ESPP on September 10, 2021 and 5,233 shares acquired under the Issuer's ESPP on March 10, 2022.

SEC source: 0000899243-22-020981 · doc4.xml · derivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,600

Underlying: Common Stock · 11,600 shares

Expires 2032-05-31

F1 · derivative.exercise_date: The option was granted on June 1, 2022. The shares underlying the option vest in full on the earlier of the first anniversary of the grant date and the next annual meeting of stockholders following the grant date, subject to the reporting person's continued service as a director.

SEC source: 0001209191-22-004177 · doc4.xml · derivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 875,000

Underlying: Common Stock · 875,000 shares

Expires 2032-01-17

F1 · derivative.exercise_date: 1/48th of the shares subject to the option vest in equal monthly installments over a four year period following the date of grant.

SEC source: 0001785530-21-000013 · wf-form4_162220363642407.xml · derivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,200

Underlying: Common Stock · 23,200 shares

Expires 2031-05-26

F1 · derivative.exercise_date: The option was granted on May 27, 2021. The shares underlying the option vest over three years, with one-third of the shares vesting on the first anniversary of the date of grant and the remaining shares vesting in equal monthly installments thereafter.

SEC source: 0001209191-21-005380 · doc4.xml · derivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,000

Underlying: Common Stock · 700,000 shares

Expires 2031-01-21

F1 · derivative.exercise_date: 1/48th of the shares subject to the option vest in equal monthly installments over a four year period following the date of grant.

SEC source: 0000899243-20-032449 · doc4.xml · derivative · entry 2

Sherman Michael A. · CIK 0001509463 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2030-05-01

F2 · derivative.exercise_date: Upon the consummation of the Merger, pursuant to the Merger Agreement, the stock options, which provided for vesting in three equal annual installments following the grant date (May 1, 2020), were canceled in exchange for a cash payment of $197,220.00, representing the product obtained by multiplying (x) the aggregate number of shares of common stock underlying the stock options by (y) the amount by which the offer price ($88.50) exceeds the per share exercise price of such stock option.

SEC source: 0000899243-20-032449 · doc4.xml · nonDerivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Upon the consummation of the merger (the "Merger") contemplated by that certain Agreement and Plan of Merger, by and among BioSpecifics Technologies Corp., Endo International plc, and Beta Acquisition Corp., dated October 19, 2020 (the "Merger Agreement"), 2,018 outstanding restricted stock units ("RSUs") were canceled in exchange for a cash payment of $178,593.00, representing the product obtained by multiplying (x) the aggregate number of shares of common stock underlying the RSUs, by (y) the offer price ($88.50).

SEC source: 0000899243-20-011918 · doc4.xml · derivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2030-05-01

F1 · kind: The stock options were granted under the BioSpecifics Technologies Corp. 2019 Omnibus Incentive Compensation Plan.

F2 · derivative.exercise_date: The stock options vest in three equal installments over the three-year period following the date of grant.

SEC source: 0000899243-20-010756 · doc4.xml · nonDerivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,018

F1 · kind: Grant of restricted stock units under the BioSpecifics Technologies Corp. 2019 Omnibus Incentive Compensation Plan. The restricted stock units vest in full one year from the date of grant.

SEC source: 0001209191-20-019140 · doc4.xml · nonDerivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sherman Investors LLC

Disclosed balance after: 102,995

F1 · price: The price reported in Column 4 is weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.37 to $1.41, inclusive. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information will be provided regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-20-004692 · doc4.xml · derivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 632,500

Underlying: Common Stock · 632,500 shares

Expires 2030-01-20

F1 · derivative.exercise_date: 1/48th of the shares subject to the option vest in equal monthly installments over a four year period following the date of grant.

SEC source: 0001209191-19-031416 · doc4.xml · nonDerivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sherman Investors LLC

Disclosed balance after: 30,000

SEC source: 0001209191-19-024163 · doc4.xml · derivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,250,000

Underlying: Common Stock · 1,250,000 shares

Expires 2029-04-07

F1 · derivative.exercise_date: One-fourth of the shares subject to the stock option vest and become exercisable on the first anniversary of the date of grant, and the remaining shares vest in 36 equal monthly installments thereafter.

SEC source: 0001104659-18-074340 · a4.xml · derivative · entry 16

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 225,000 shares

Expires 2028-02-08

F11 · price: This Company stock option was scheduled to vest 1/4 annually over a period of 4 years beginning on February 8, 2019. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F11 · derivative.exercise_date: This Company stock option was scheduled to vest 1/4 annually over a period of 4 years beginning on February 8, 2019. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · derivative · entry 15

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 187,500 shares

Expires 2027-02-02

F10 · price: This Company stock option was scheduled to vest 1/4 annually over a period of 4 years beginning on February 2, 2018. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F10 · derivative.exercise_date: This Company stock option was scheduled to vest 1/4 annually over a period of 4 years beginning on February 2, 2018. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · derivative · entry 14

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,000 shares

Expires 2026-06-16

F9 · price: This Company stock option was scheduled to vest 1/4 annually over a period of 4 years beginning on June 16, 2017. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F9 · derivative.exercise_date: This Company stock option was scheduled to vest 1/4 annually over a period of 4 years beginning on June 16, 2017. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · derivative · entry 13

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,248 shares

Expires 2026-02-04

F8 · price: This Company stock option was scheduled to vest 1/4 annually over a period of 4 years beginning on February 4, 2017. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F8 · derivative.exercise_date: This Company stock option was scheduled to vest 1/4 annually over a period of 4 years beginning on February 4, 2017. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · derivative · entry 12

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,247 shares

Expires 2025-02-04

F7 · price: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F7 · derivative.exercise_date: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · derivative · entry 11

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 36,000 shares

Expires 2024-02-06

F7 · price: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F7 · derivative.exercise_date: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · derivative · entry 10

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 58,719 shares

Expires 2023-02-19

F7 · price: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F7 · derivative.exercise_date: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · derivative · entry 9

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 74,998 shares

Expires 2022-02-28

F7 · price: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F7 · derivative.exercise_date: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · derivative · entry 8

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,800 shares

Expires 2021-04-14

F7 · price: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

F7 · derivative.exercise_date: This Company stock option was fully vested immediately prior to the Effective Time. Pursuant to the Merger Agreement, at the Effective Time, each Company stock option that was outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to the excess of $24.00 over the exercise price with respect to such stock option, multiplied by the number of shares of Company common stock subject to such stock option, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · nonDerivative · entry 7

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F6 · price: This RSU award provided for vesting and settlement 1/4 annually over a period of 4 years beginning on February 8, 2019 in the form of one share of Company common stock for each RSU. Pursuant to the Merger Agreement, at the Effective Time, each RSU outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to $24.00, multiplied by the number of shares of Company common stock subject to such RSU, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · nonDerivative · entry 6

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F5 · price: This RSU award, which originally consisted of 125,000 RSUs and of which 62,500 RSUs had vested and been settled as of immediately prior to the Effective Time, provided for vesting and settlement 1/2 annually over a period of 2 years beginning on October 4, 2018 in the form of one share of Company common stock for each RSU. Pursuant to the Merger Agreement, at the Effective Time, each RSU outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to $24.00, multiplied by the number of shares of Company common stock subject to such RSU, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · nonDerivative · entry 5

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · price: This RSU award, which originally consisted of 31,250 RSUs and of which 7,812 RSUs had vested and been settled as of immediately prior to the Effective Time, provided for vesting and settlement 1/4 annually over a period of 4 years beginning on February 2, 2018 in the form of one share of Company common stock for each RSU. Pursuant to the Merger Agreement, at the Effective Time, each RSU outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to $24.00, multiplied by the number of shares of Company common stock subject to such RSU, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · nonDerivative · entry 4

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · price: This RSU award, which originally consisted of 10,000 RSUs and of which 5,000 RSUs had vested and been settled as of immediately prior to the Effective Time, provided for vesting and settlement 1/4 annually over a period of 4 years beginning on June 16, 2017 in the form of one share of Company common stock for each RSU. Pursuant to the Merger Agreement, at the Effective Time, each RSU outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to $24.00, multiplied by the number of shares of Company common stock subject to such RSU, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · nonDerivative · entry 3

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · price: This restricted stock unit ("RSU") award, which originally consisted of 14,375 RSUs and of which 7,187 RSUs had vested and been settled as of immediately prior to the Effective Time, provided for vesting and settlement 1/4 annually over a period of 4 years beginning on February 4, 2017 in the form of one share of Company common stock for each RSU. Pursuant to the Merger Agreement, at the Effective Time, each RSU outstanding immediately prior to the Effective Time was canceled and converted into the right to receive an amount in cash, without interest, equal to $24.00, multiplied by the number of shares of Company common stock subject to such RSU, less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · nonDerivative · entry 2

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sherman Investors, LLC

Disclosed balance after: 0

F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

SEC source: 0001104659-18-074340 · a4.xml · nonDerivative · entry 1

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of October 17, 2018 (the "Merger Agreement"), by and among Endocyte, Inc. (the "Company"), Novartis AG ("Novartis") and Edinburgh Merger Corporation, a wholly owned subsidiary of Novartis ("Merger Sub"), at the effective time (the "Effective Time") of the merger of Merger Sub with and into the Company, which Effective Time occurred on December 21, 2018, each share of Company common stock was converted into the right to receive an amount in cash equal to $24.00, without interest and less any applicable withholding taxes.

SEC source: 0001179110-18-014133 · edgar.xml · derivative · entry 20

Sherman Michael A. · CIK 0001509463 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,248

Underlying: Common Stock · 2 shares

Expires 2026-02-04

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: Shares subject to this option vest 1/4 annually over a period of four years beginning February 4, 2017.