Brazzell Romulus K

SEC source: 0001298079-25-000003 · form4-10242025_081004.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,952

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.82 to $0.85, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · balance_after: Includes 35,952 unvested RSUs.

SEC source: 0001415889-25-018318 · form4-06262025_080603.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,698

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 9, 2020 to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's restricted stock units ("RSUs") granted on June 22, 2023.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.87 to $4.12, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 35,952 unvested RSUs.

SEC source: 0001415889-25-015678 · form4-06042025_080604.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,949

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 9, 2020 to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's restricted stock units ("RSUs") granted on May 31, 2023.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.52 to $4.05, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 52,402 unvested RSUs.

SEC source: 0001415889-25-001061 · form4-01082025_010135.xml · derivative · entry 3

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,200

Underlying: Common Stock · 45,200 shares

Expires 2035-01-05

F5 · derivative.exercise_date: This option was granted on January 6, 2025 and vests over four years beginning on the vesting commencement date of January 6, 2025, with 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter until January 6, 2029, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0001415889-25-001061 · form4-01082025_010135.xml · nonDerivative · entry 2

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,418

F3 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's RSUs granted on January 4, 2023 and January 4, 2024.

F4 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.48 to $7.63, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · balance_after: Includes 62,961 unvested RSUs.

SEC source: 0001415889-25-001061 · form4-01082025_010135.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 94,864

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the Reporting Person's continued employment with the Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 6, 2026, as to 1/3 of the shares underlying the RSUs on January 6, 2027 and as to the final 1/3 of shares underlying the RSUs on January 6, 2028

F2 · balance_after: Includes 62,961 unvested RSUs.

SEC source: 0001415889-24-018373 · form4-06272024_080602.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,982

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 9, 2020 to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's restricted stock units ("RSUs") granted on June 22, 2023.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.50 to $5.09, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 59,293 unvested RSUs.

SEC source: 0001415889-24-015223 · form4-06032024_080605.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,471

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on November 9, 2020 to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's restricted stock units ("RSUs") granted on May 31, 2023.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.07 to $6.58, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 75,743 unvested RSUs.

SEC source: 0001415889-24-000770 · form4-01052024_090119.xml · derivative · entry 3

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,300

Underlying: Common Stock · 29,300 shares

Expires 2034-01-03

F6 · derivative.exercise_date: This option was granted on January 4, 2024 and vests over four years beginning on the vesting commencement date of January 4, 2024, with 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter until January 4, 2028, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0001415889-24-000770 · form4-01052024_090119.xml · nonDerivative · entry 2

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,473

F3 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's RSUs granted on January 4, 2023 and January 4, 2021.

F4 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.73 to $6.98, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F5 · balance_after: Includes 82,306 unvested RSUs.

SEC source: 0001415889-24-000770 · form4-01052024_090119.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,090

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the Reporting Person's continued employment with the Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 4, 2025, as to 1/3 of the shares underlying the RSUs on January 4, 2026 and as to the final 1/3 of shares underlying the RSUs on January 4, 2027

F2 · balance_after: Includes 86,756 unvested RSUs and 782 shares acquired under the Issuer's Amended and Restated 2017 Employee Stock Purchase Plan on July 3, 2023.

SEC source: 0001415889-23-010284 · form4-06232023_080607.xml · derivative · entry 2

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,808

Underlying: Common Stock · 65,808 shares

Expires 2033-06-21

F3 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010284 · form4-06232023_080607.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,808

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 80,256 unvested RSUs.

SEC source: 0001415889-23-009135 · form4-06022023_080609.xml · derivative · entry 10

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 864 shares

Expires 2032-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 13,130 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 4,786 RSUs that vest over three years, with 83% of such RSUs vesting on May 31, 2025 and 17% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F12 · derivative.exercise_date: The canceled option was granted on January 3, 2022 and provided for the purchase of up to 2,160 shares of common stock of the issuer based on the level of achievement of specified performance metrics relating to financial, operational and scientific matters, of which, prior to the option exchange program, options to purchase 576 shares had vested, options to purchase 1,152 shares had been forfeited and options to purchase up to 432 shares were unvested assuming maximum level of achievement (options to purchase 288 shares were unvested assuming target level of achievement). The vested portion of the option and the unvested portion of the option assuming target level of achievement were eligible for the issuer's option exchange program.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009135 · form4-06022023_080609.xml · derivative · entry 9

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,759 shares

Expires 2032-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 13,130 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 4,786 RSUs that vest over three years, with 83% of such RSUs vesting on May 31, 2025 and 17% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F11 · derivative.exercise_date: The canceled option was granted on January 3, 2022 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009135 · form4-06022023_080609.xml · derivative · entry 8

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,199 shares

Expires 2031-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 13,130 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 4,786 RSUs that vest over three years, with 83% of such RSUs vesting on May 31, 2025 and 17% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F10 · derivative.exercise_date: The canceled option was granted on January 4, 2021 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009135 · form4-06022023_080609.xml · derivative · entry 7

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,399 shares

Expires 2030-01-01

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 13,130 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 4,786 RSUs that vest over three years, with 83% of such RSUs vesting on May 31, 2025 and 17% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F9 · derivative.exercise_date: The canceled option was granted on January 2, 2020 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009135 · form4-06022023_080609.xml · derivative · entry 6

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,999 shares

Expires 2029-01-01

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 13,130 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 4,786 RSUs that vest over three years, with 83% of such RSUs vesting on May 31, 2025 and 17% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F8 · derivative.exercise_date: The canceled option was granted on January 2, 2019 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009135 · form4-06022023_080609.xml · derivative · entry 5

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,399 shares

Expires 2028-02-06

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 13,130 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 4,786 RSUs that vest over three years, with 83% of such RSUs vesting on May 31, 2025 and 17% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F7 · derivative.exercise_date: The canceled option was granted on February 7, 2018 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009135 · form4-06022023_080609.xml · derivative · entry 4

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 942 shares

Expires 2027-07-18

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 13,130 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 4,786 RSUs that vest over three years, with 83% of such RSUs vesting on May 31, 2025 and 17% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F6 · derivative.exercise_date: The canceled option was granted on July 19, 2017 and provided for vesting over four years with 1/48th of the shares underlying the option vested on August 31, 2017 and an additional 1/48th of the shares vested at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009135 · form4-06022023_080609.xml · derivative · entry 3

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,047 shares

Expires 2026-06-17

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 13,130 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 4,786 RSUs that vest over three years, with 83% of such RSUs vesting on May 31, 2025 and 17% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F5 · derivative.exercise_date: The cancelled option was granted on June 17, 2016 and provided for vesting over four years, with 25% of the shares underlying the option vested on June 17, 2017 and an additional 1/48th vested at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009135 · form4-06022023_080609.xml · derivative · entry 2

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 308 shares

Expires 2025-10-02

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 13,130 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 4,786 RSUs that vest over three years, with 83% of such RSUs vesting on May 31, 2025 and 17% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F4 · derivative.exercise_date: The cancelled option was granted on October 2, 2015 and provided for vesting over four years, with 25% of the shares underlying the option vested on October 2, 2016 and an additional 1/48th vested at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009135 · form4-06022023_080609.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,452

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 13,130 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 4,786 RSUs that vest over three years, with 83% of such RSUs vesting on May 31, 2025 and 17% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Includes 30,900 unvested RSUs.

SEC source: 0001415889-23-004975 · form4-03152023_080306.xml · derivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 576

Underlying: Common Stock · 576 shares

Expires 2032-01-03

F1 · derivative.exercise_date: On January 3, 2022, the Reporting Person was granted an option to purchase up to 2,160 shares of common stock of the Issuer. Specified portions of the options vest based on the level of achievement of specified performance metrics relating to financial, operational and scientific matters.

F2 · derivative.exercise_date: On March 14, 2023, the Compensation Committee of the Issuer's Board of Directors determined that certain of the performance conditions were achieved at specific levels of achievement, resulting in vesting of the option as to 576 shares of common stock. The Compensation Committee has made no determination with respect to certain performance metrics, which could result in the further vesting of up to 432 shares of common stock underlying the option.

SEC source: 0001415889-23-000638 · form4-01062023_080112.xml · nonDerivative · entry 2

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,536

F3 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's performance-based restricted stock units ("RSUs") granted on January 4, 2021.

F4 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.52 to $28.59, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, 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 ranges set forth in this footnote to this Form 4.

F5 · balance_after: Includes 12,984 unvested RSUs.

SEC source: 0001415889-23-000638 · form4-01062023_080112.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,609

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the Reporting Person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 4, 2024, as to 1/3 of the shares underlying the RSUs on January 4, 2025 and as to the final 1/3 of shares underlying the RSUs on January 4, 2026.

F2 · balance_after: Includes 13,167 unvested RSUs.

SEC source: 0001415889-22-010879 · form4-10282022_041008.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,809

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's performance-based restricted stock units ("RSUs") granted on June 25, 2020.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.51 to $6.59, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, 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 ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 367 unvested RSUs and 365 shares acquired under the Issuer's Amended and Restated 2017 Employee Stock Purchase Plan on June 30, 2022.

F4 · balance_after: The number of shares of common stock reported on this Form 4 reflects a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-22-007061 · form4-06292022_050657.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,201

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the reporting person's restricted stock units granted on June 25, 2020.

F2 · balance_after: Includes 58,834 unvested RSUs.

SEC source: 0001415889-22-000404 · form4-01052022_080123.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 288,345

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's restricted stock units granted on January 4, 2021.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.25 to $1.39, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, 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 ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 68,334 unvested RSUs.

SEC source: 0001415889-22-000404 · form4-01052022_080123.xml · derivative · entry 2

Brazzell Romulus K · CIK 0001298079 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,000

Underlying: Common Stock · 238,000 shares

Expires 2032-01-03

F4 · derivative.exercise_date: This option was granted on January 3, 2022 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001415889-21-005010 · form4-10282021_051041.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · CHIEF MEDICAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,849

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's performance-based restricted stock units ("RSUs") granted on June 25, 2020.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.79 to $1.89, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, 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 ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 77,500 unvested RSUs and 3,644 shares acquired under the Issuer's Amended and Restated 2017 Employee Stock Purchase Plan on June 30, 2021.

SEC source: 0001415889-21-003258 · form4-06292021_050630.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · CHIEF MEDICAL OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,962

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the reporting person's restricted stock units granted on June 25, 2020.

F2 · balance_after: Includes 118,000 unvested RSUs.

SEC source: 0001179110-21-000190 · edgar.xml · derivative · entry 2

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires 2031-01-03

F3 · derivative.exercise_date: This option was granted on January 4, 2021 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-21-000190 · edgar.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,996

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 4, 2022, as to 1/3 of the shares underlying the RSUs on January 4, 2023 and as to the final 1/3 of shares underlying the RSUs on January 4, 2024.

F2 · balance_after: Includes 127,500 unvested RSUs.

SEC source: 0001179110-20-010708 · edgar.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,496

F1 · security: On June 25, 2020, the reporting person was granted performance-based restricted stock unit ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on October 26, 2021, the first anniversary of the achievement of the performance condition, and as to the remaining 50% of the shares underlying the RSUs on October 26, 2022, the second anniversary of the achievement of the performance condition.

F2 · balance_after: Includes 100,000 unvested RSUs.

SEC source: 0001104659-20-078309 · a4.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,496

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued empoyment with Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on June 25, 2021 and the remaining 50% of the shares underlying the RSUs on June 25, 2022.

F2 · balance_after: Includes 19,000 unvested RSUs.

SEC source: 0001179110-20-004834 · edgar.xml · derivative · entry 6

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,508

Underlying: Common Stock · 47,677 shares

Expires 2026-06-16

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: This option was granted on June 17, 2016 and vests over four years, with 25% of the shares underlying the option vesting on June 17, 2017 and an additional 2.0833% vesting at the end of each successive one-month period thereafter.

SEC source: 0001179110-20-004834 · edgar.xml · derivative · entry 5

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,247 shares

Expires 2021-10-01

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

F2 · derivative.exercise_date: The option became fully vested on September 25, 2018.

SEC source: 0001179110-20-004834 · edgar.xml · derivative · entry 4

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,880 shares

Expires 2023-05-09

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

F1 · derivative.exercise_date: The option became fully vested on December 31, 2017.

SEC source: 0001179110-20-004834 · edgar.xml · nonDerivative · entry 3

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,496

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: 0001179110-20-004834 · edgar.xml · nonDerivative · entry 2

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,852

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: 0001179110-20-004834 · edgar.xml · nonDerivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,605

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: 0001179110-20-000158 · edgar.xml · derivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2030-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2020 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-19-000461 · edgar.xml · derivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2019 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-18-001891 · edgar.xml · derivative · entry 1

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-02-06

F1 · derivative.exercise_date: This option was granted on February 7, 2018 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-17-011492 · edgar.xml · derivative · entry 8

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,985

Underlying: Common Stock · 12,150 shares

Expires 2026-06-17

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_date: This option was granted on June 17, 2016 and vests over four years, with 25% of the shares underlying the option vested on June 17, 2017 and an additional 2.0833% vesting at the end of each successive one-month period thereafter.

SEC source: 0001179110-17-011492 · edgar.xml · derivative · entry 7

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,247

Underlying: Common Stock · 44,313 shares

Expires 2024-10-02

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: This option was granted on October 2, 2014 and vests over four years, with 25% of the shares underlying the option vested on September 25, 2015 and an additional 2.0833% vesting at the end of each successive one-month period thereafter.

SEC source: 0001179110-17-011492 · edgar.xml · derivative · entry 6

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,880

Underlying: Common Stock · 16,168 shares

Expires 2023-05-10

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: This option was granted on May 10, 2013 and vests over four years, with 25% of shares underlying the option vesting 12 months after the date the Issuer submits an investigational new drug application for its loteprednol etabonate program and an additional 2.0833% vesting at the end of each successive one-month period thereafter.

SEC source: 0001179110-17-011492 · edgar.xml · derivative · entry 5

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 36,094 shares

Expires 2023-05-10

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

F1 · derivative.exercise_date: The option with respect to these shares is fully vested.

SEC source: 0001179110-17-011492 · edgar.xml · nonDerivative · entry 4

Brazzell Romulus K · CIK 0001298079 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,725

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.