Farfel Gail M

SEC source: 0000950170-25-114652 · ownership.xml · derivative · entry 6

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,500 shares

Expires 2033-06-21

F3 · kind: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · kind: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

F3 · price: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · price: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · derivative.exercise_date: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

SEC source: 0000950170-25-114652 · ownership.xml · derivative · entry 5

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,500 shares

Expires 2032-06-15

F3 · kind: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · kind: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

F3 · price: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · price: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · derivative.exercise_date: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

SEC source: 0000950170-25-114652 · ownership.xml · derivative · entry 4

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,500 shares

Expires 2031-06-15

F3 · kind: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · kind: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

F3 · price: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · price: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · derivative.exercise_date: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

SEC source: 0000950170-25-114652 · ownership.xml · derivative · entry 3

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,500 shares

Expires 2030-06-17

F3 · kind: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · kind: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

F3 · price: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · price: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · derivative.exercise_date: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

SEC source: 0000950170-25-114652 · ownership.xml · derivative · entry 2

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,000 shares

Expires 2029-04-23

F3 · kind: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · kind: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

F3 · price: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · price: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

F3 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, prior to the expiration of the tender offer, the vesting or payment of each option to purchase shares outstanding under the Issuer's 2000 Stock Plan, as amended (the "Issuer Stock Plan") (each, an "Issuer Option"), that had a per share exercise price that was less than the Cash Amount was accelerated. With respect to the shares received upon exercise of such accelerated Issuer Options prior to the Effective Time, all such shares were treated identically with all other shares in connection with the tender offer and the Merger.

F4 · derivative.exercise_date: (Continued from footnote 3) At the Effective Time, each Issuer Option that had a per share exercise price that was equal to or greater than the Cash Amount, and that was unexercised immediately prior to the Effective Time, was canceled in connection with the Merger. Following the cancellation of each such Issuer Option, each former holder of such Issuer Option is eligible to receive a cash retention bonus subject to the achievement of certain net sales milestones, pursuant to a retention plan approved by the compensation committee of the Issuer's Board of Directors.

SEC source: 0000950170-25-114652 · ownership.xml · nonDerivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: In connection with the terms of an Agreement and Plan of Merger, dated as of July 28, 2025 (as amended, the "Merger Agreement"), by and among the Issuer, Bausch Health Americas, Inc. ("Parent"), BHC Lyon Merger Sub, Inc., a direct wholly owned subsidiary of Parent ("Purchaser"), and solely for the purposes of Section 6.10 of the Merger Agreement, Bausch Health Companies Inc. ("BHC"), Purchaser completed a tender offer for shares of the Issuer's Common Stock.

F2 · kind: (Continued from footnote 1) Tendering stockholders received a consideration of $1.75 per share, net to the seller of such shares in cash, without interest thereon and less any applicable withholding taxes (the "Cash Amount"), plus one non-tradeable contingent value right per share, representing the contractual right to receive the pro rata portion, in cash, of two milestone payments of up to $350,000,000 in the aggregate, minus any amount actually paid to option holders under a retention plan in respect of the applicable milestone, in each case, without interest thereon and less any applicable withholding taxes, upon achievement of the specified milestones. After completion of the tender offer, Purchaser merged with and into the Issuer (the "Merger"), effective as of September 11, 2025 (the "Effective Time"), with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent.

F1 · shares: In connection with the terms of an Agreement and Plan of Merger, dated as of July 28, 2025 (as amended, the "Merger Agreement"), by and among the Issuer, Bausch Health Americas, Inc. ("Parent"), BHC Lyon Merger Sub, Inc., a direct wholly owned subsidiary of Parent ("Purchaser"), and solely for the purposes of Section 6.10 of the Merger Agreement, Bausch Health Companies Inc. ("BHC"), Purchaser completed a tender offer for shares of the Issuer's Common Stock.

F2 · shares: (Continued from footnote 1) Tendering stockholders received a consideration of $1.75 per share, net to the seller of such shares in cash, without interest thereon and less any applicable withholding taxes (the "Cash Amount"), plus one non-tradeable contingent value right per share, representing the contractual right to receive the pro rata portion, in cash, of two milestone payments of up to $350,000,000 in the aggregate, minus any amount actually paid to option holders under a retention plan in respect of the applicable milestone, in each case, without interest thereon and less any applicable withholding taxes, upon achievement of the specified milestones. After completion of the tender offer, Purchaser merged with and into the Issuer (the "Merger"), effective as of September 11, 2025 (the "Effective Time"), with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent.

F1 · price: In connection with the terms of an Agreement and Plan of Merger, dated as of July 28, 2025 (as amended, the "Merger Agreement"), by and among the Issuer, Bausch Health Americas, Inc. ("Parent"), BHC Lyon Merger Sub, Inc., a direct wholly owned subsidiary of Parent ("Purchaser"), and solely for the purposes of Section 6.10 of the Merger Agreement, Bausch Health Companies Inc. ("BHC"), Purchaser completed a tender offer for shares of the Issuer's Common Stock.

F2 · price: (Continued from footnote 1) Tendering stockholders received a consideration of $1.75 per share, net to the seller of such shares in cash, without interest thereon and less any applicable withholding taxes (the "Cash Amount"), plus one non-tradeable contingent value right per share, representing the contractual right to receive the pro rata portion, in cash, of two milestone payments of up to $350,000,000 in the aggregate, minus any amount actually paid to option holders under a retention plan in respect of the applicable milestone, in each case, without interest thereon and less any applicable withholding taxes, upon achievement of the specified milestones. After completion of the tender offer, Purchaser merged with and into the Issuer (the "Merger"), effective as of September 11, 2025 (the "Effective Time"), with the Issuer continuing as the surviving entity and a wholly owned subsidiary of Parent.

SEC source: 0000950170-25-114319 · ownership.xml · derivative · entry 2

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,500 shares

Expires 2034-09-25

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: 100% of the total number of shares subject to this option grant shall vest and become exercisable on the day before the first anniversary of the date of grant, subject to the Reporting Person continuing to provide services to the Company through the vesting date.

SEC source: 0000950170-25-114319 · ownership.xml · nonDerivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,500

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: 0000950170-24-110016 · ownership.xml · derivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 shares

Expires 2034-09-25

F1 · derivative.exercise_date: 100% of the total number of shares subject to this option grant shall vest and become exercisable on the day before the first anniversary of the date of grant, subject to the Reporting Person continuing to provide services to the Company through the vesting date.

SEC source: 0000950170-23-044583 · ownership.xml · derivative · entry 2

Farfel Gail M · CIK 0001614780 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,192

Underlying: Common Shares · 53,192 shares

Expires 2029-02-21

F1 · kind: On August 23, 2023, pursuant to a Unit Purchase Agreement entered into by the Company with selected investors (the "Offering"), the Reporting Person acquired 53,192 common share units (each, a "Common Share Unit"), each unit consisting of one of the Company's common shares, no par value (the "Common Shares"), and one warrant to purchase one Common Share. The purchase price for each Common Share Unit was $1.88 per Common Share Unit.

F1 · price: On August 23, 2023, pursuant to a Unit Purchase Agreement entered into by the Company with selected investors (the "Offering"), the Reporting Person acquired 53,192 common share units (each, a "Common Share Unit"), each unit consisting of one of the Company's common shares, no par value (the "Common Shares"), and one warrant to purchase one Common Share. The purchase price for each Common Share Unit was $1.88 per Common Share Unit.

SEC source: 0000950170-23-044583 · ownership.xml · nonDerivative · entry 1

Farfel Gail M · CIK 0001614780 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,192

F1 · kind: On August 23, 2023, pursuant to a Unit Purchase Agreement entered into by the Company with selected investors (the "Offering"), the Reporting Person acquired 53,192 common share units (each, a "Common Share Unit"), each unit consisting of one of the Company's common shares, no par value (the "Common Shares"), and one warrant to purchase one Common Share. The purchase price for each Common Share Unit was $1.88 per Common Share Unit.

F1 · price: On August 23, 2023, pursuant to a Unit Purchase Agreement entered into by the Company with selected investors (the "Offering"), the Reporting Person acquired 53,192 common share units (each, a "Common Share Unit"), each unit consisting of one of the Company's common shares, no par value (the "Common Shares"), and one warrant to purchase one Common Share. The purchase price for each Common Share Unit was $1.88 per Common Share Unit.

SEC source: 0001209191-23-039470 · doc4.xml · derivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,500

Underlying: Common Stock · 5,500 shares

Expires 2033-06-21

F1 · derivative.exercise_date: 100% of the total shares subject to this grant dated June 21, 2023 shall vest on the day before the first year anniversary of the grant date.

SEC source: 0001127602-23-018286 · form4.xml · derivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,643

Underlying: Common Stock · 17,643 shares

Expires 2033-06-05

F1 · derivative.exercise_date: The option shall vest in full upon the earlier of June 6, 2024 or the date of the Issuer's 2024 Annual Meeting of Stockholders, subject to the reporting person's continued service as a director through such vesting date.

SEC source: 0001374339-22-000004 · primary_doc.xml · nonDerivative · entry 1

Farfel Gail M · CIK 0001614780 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

SEC source: 0001374339-22-000003 · primary_doc.xml · nonDerivative · entry 1

Farfel Gail M · CIK 0001614780 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

SEC source: 0001062993-22-019774 · form4.xml · derivative · entry 1

Farfel Gail M · CIK 0001614780 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,334

Underlying: Common Shares · 208,334 shares

Expires 2032-09-19

F1 · derivative.exercise_price: Conversion or exercise price is in Canadian dollars.

F2 · derivative.exercise_date: The option agreement provides that the option vests 25% on the one year anniversary of grant and the balance vests ratably over 36 months.

SEC source: 0001209191-22-037827 · doc4.xml · derivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: 100% of the total shares subject to this grant dated June 15, 2022 shall vest on the day before the first year anniversary of the grant date.

SEC source: 0001127602-22-017243 · form4.xml · derivative · entry 2

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,478

Underlying: Common Stock · 17,478 shares

Expires 2032-06-07

F1 · derivative.exercise_date: The option shall vest in full upon the earlier of June 8, 2023 or the date of the Issuer's 2023 Annual Meeting of Stockholders, subject to the reporting person's continued service as a director through such vesting date.

SEC source: 0001127602-22-017243 · form4.xml · derivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,478

Underlying: Common Stock · 17,478 shares

Expires 2032-06-07

F1 · derivative.exercise_date: The option shall vest in full upon the earlier of June 8, 2023 or the date of the Issuer's 2023 Annual Meeting of Stockholders, subject to the reporting person's continued service as a director through such vesting date.

SEC source: 0001209191-22-030286 · doc4.xml · nonDerivative · entry 2

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

F2 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions. Prices ranged from $0.4023 to $0.4136 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-22-030286 · doc4.xml · nonDerivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,089

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions. Prices ranged from $0.3734 to $0.4150 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-22-029017 · doc4.xml · nonDerivative · entry 3

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,789

SEC source: 0001209191-22-029017 · doc4.xml · nonDerivative · entry 2

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,539

SEC source: 0001209191-22-029017 · doc4.xml · nonDerivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,039

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions. Prices ranged from $0.37 to $0.42 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-22-028186 · doc4.xml · nonDerivative · entry 2

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,750

SEC source: 0001209191-22-028700 · doc4.xml · nonDerivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,089

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions. Prices ranged from $0.3949 to $0.4179 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-22-028186 · doc4.xml · nonDerivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

F1 · price: The reported price in Column 4 is a weighted average price. These shares were purchased in multiple transactions. Prices ranged from $0.392 to $0.4078 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0000899243-22-010301 · doc4.xml · derivative · entry 8

Farfel Gail M · CIK 0001614780 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,187 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F7 · price: Pursuant to the terms of the Merger Agreement, each restricted stock unit (including performance stock units) was canceled and converted into the right to receive an amount in cash equal to (i) the product of (A) the total number of Shares subject to (or deliverable under) such restricted stock unit (with any performance conditions deemed achieved at maximum levels with respect to any performance stock unit) multiplied by (B) the Cash Amount, and (ii) one CVR with respect to each Share subject to such restricted stock unit.

F3 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · derivative.exercise_date: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

F6 · derivative.expiration_date: Not applicable.

SEC source: 0000899243-22-010301 · doc4.xml · derivative · entry 7

Farfel Gail M · CIK 0001614780 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2031-03-25

F3 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · price: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

F3 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · derivative.exercise_date: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

SEC source: 0000899243-22-010301 · doc4.xml · derivative · entry 6

Farfel Gail M · CIK 0001614780 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,000 shares

Expires 2030-03-03

F3 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · price: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

F3 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · derivative.exercise_date: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

SEC source: 0000899243-22-010301 · doc4.xml · derivative · entry 5

Farfel Gail M · CIK 0001614780 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 52,500 shares

Expires 2027-03-13

F3 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · price: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

F3 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · derivative.exercise_date: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

SEC source: 0000899243-22-010301 · doc4.xml · derivative · entry 4

Farfel Gail M · CIK 0001614780 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,000 shares

Expires 2026-03-13

F3 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · price: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

F3 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · derivative.exercise_date: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

SEC source: 0000899243-22-010301 · doc4.xml · derivative · entry 3

Farfel Gail M · CIK 0001614780 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,250 shares

Expires 2025-10-04

F3 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · price: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

F3 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · derivative.exercise_date: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

SEC source: 0000899243-22-010301 · doc4.xml · derivative · entry 2

Farfel Gail M · CIK 0001614780 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,289 shares

Expires 2025-06-30

F3 · price: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · price: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

F3 · derivative.exercise_date: Upon the terms and subject to the conditions set forth in the Merger Agreement, (a) each outstanding option to purchase Shares (each, a "Company Option") with an exercise price less than $26.00 (each, an "In the Money Option"), was canceled and converted into the right to receive an amount in cash equal to, subject to applicable tax withholding, the product of (i) the excess, if any of the Cash Amount over the exercise price per Share underlying such In the Money Option, multiplied by (ii) the total number of Shares subject to such In the Money Options and one CVR; (b) each Company Option with an exercise price equal to or greater than $26.00 but less than $28.00 (each, an "Out of the Money Option"),

F4 · derivative.exercise_date: (Continued from Footnote 3) was canceled and converted into the right to receive, subject to the terms of the Merger Agreement, if and when (and only if and when) payments in respect of CVRs are required to be made, $28.00 in cash (less the applicable exercise price per Share subject to such Out of the Money Option); (c) each Company Option with an exercise price equal to or greater than $28.00, was canceled for no consideration.

SEC source: 0000899243-22-010301 · doc4.xml · nonDerivative · entry 1

Farfel Gail M · CIK 0001614780 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated January 18, 2022, (the "Merger Agreement"), among UCB S.A., a societe anonyme formed under the laws of Belgium ("Parent"), Zinc Merger Sub, Inc., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Purchaser") and the Issuer, pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 7, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was canceled and converted into the right to receive $26.00 in cash (the "Cash Amount") plus a contingent value right ("CVR"), which CVR represents the right to receive a contingent payment of $2.00 which amount will become payable, if at all, if a specified milestone is achieved on or prior to December 31, 2023.

F1 · shares: Includes 1,830 Shares (as defined below) acquired under the Issuer's Employee Stock Purchase Plan since the last filing by the Reporting Person.

F2 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated January 18, 2022, (the "Merger Agreement"), among UCB S.A., a societe anonyme formed under the laws of Belgium ("Parent"), Zinc Merger Sub, Inc., a Delaware corporation and an indirect wholly owned subsidiary of Parent ("Purchaser") and the Issuer, pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 7, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was canceled and converted into the right to receive $26.00 in cash (the "Cash Amount") plus a contingent value right ("CVR"), which CVR represents the right to receive a contingent payment of $2.00 which amount will become payable, if at all, if a specified milestone is achieved on or prior to December 31, 2023.

SEC source: 0001209191-21-040923 · doc4.xml · derivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2031-06-15

F1 · derivative.exercise_date: 100% of the total shares subject to this grant dated June 15, 2021 shall vest on the day before the first year anniversary of the grant date.

SEC source: 0001127602-21-019824 · form4.xml · derivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,438

Underlying: Common Stock · 17,438 shares

Expires 2031-06-09

F1 · derivative.exercise_date: The option shall vest in full upon the earlier of June 10, 2022 or the date of the Issuer's 2022 Annual Meeting of Stockholders, subject to the reporting person's continued service as a director through such vesting date.

SEC source: 0001375151-21-000036 · wf-form4_161715388469281.xml · derivative · entry 2

Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of ZGNX common stock.

F3 · derivative.exercise_date: The restricted stock units vests in four equal installments on each of March 15, 2022, 2023, 2024 and 2025, subject to the reporting person's continuous service to the Company on such vesting date.

F4 · derivative.expiration_date: Not applicable.

SEC source: 0001375151-21-000036 · wf-form4_161715388469281.xml · derivative · entry 1

Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-03-26

F1 · derivative.exercise_date: The option award shall vest in a series of forty-eight (48) successive, equal monthly installments, with the first vest date occurring on April 15, 2021, subject to the reporting person's continued service to the Company on the applicable vesting dates.

SEC source: 0001375151-21-000020 · wf-form4_161601132751358.xml · derivative · entry 9

Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Common Stock · 1,500 shares

Expires not disclosed

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

F8 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Zogenix common stock.

F12 · derivative.exercise_date: The restricted stock units vests in four equal installments on each of March 15, 2021, 2022, 2023 and 2024, subject to the reporting person's continuous service to the Company on such vesting date.

F10 · derivative.expiration_date: Not applicable.

SEC source: 0001375151-21-000020 · wf-form4_161601132751358.xml · derivative · entry 8

Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,062

Underlying: Common Stock · 2,031 shares

Expires not disclosed

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

F8 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Zogenix common stock.

F11 · derivative.exercise_date: The restricted stock units vest in four equal installments on each of March 15, 2020, 2021, 2022 and 2023, subject to the reporting person's continuous service to the Company on such vesting date.

F10 · derivative.expiration_date: Not applicable.

SEC source: 0001375151-21-000020 · wf-form4_161601132751358.xml · derivative · entry 7

Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,625

Underlying: Common Stock · 1,625 shares

Expires not disclosed

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

F8 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Zogenix common stock.

F9 · derivative.exercise_date: The restricted stock units vests in four equal installments on each of March 15, 2019, 2020, 2021 and 2022, subject to the reporting person's continuous service to the Company on such vesting date.

F10 · derivative.expiration_date: Not applicable.

SEC source: 0001375151-21-000020 · wf-form4_161601132751358.xml · nonDerivative · entry 6

Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,776

F7 · shares: Represents shares withheld to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock units described in footnote 6.

SEC source: 0001375151-21-000020 · wf-form4_161601132751358.xml · nonDerivative · entry 5

Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,318

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

F6 · shares: Represents vesting of one-fourth (1/4) of restricted stock units granted on March 4, 2020.

SEC source: 0001375151-21-000020 · wf-form4_161601132751358.xml · nonDerivative · entry 4

Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,818

F5 · shares: Represents shares withheld to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock units described in footnote 4.

SEC source: 0001375151-21-000020 · wf-form4_161601132751358.xml · nonDerivative · entry 3

Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,553

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 · shares: Represents vesting of one-fourth (1/4) of restricted stock units granted on March 22, 2019.

SEC source: 0001375151-21-000020 · wf-form4_161601132751358.xml · nonDerivative · entry 2

Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,522

F3 · shares: Represents shares withheld to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock units described in footnote 1.

SEC source: 0001375151-21-000020 · wf-form4_161601132751358.xml · nonDerivative · entry 1

Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,109

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 · shares: Represents vesting of one-fourth (1/4) of restricted stock units granted on March 15, 2018.

F2 · balance_after: Includes 305 shares acquired under the Company's Employee Stock Purchase Plan since the last Section 16 filing by the Reporting Person.

SEC source: 0001127602-20-027388 · form4.xml · derivative · entry 1

Farfel Gail M · CIK 0001614780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 28,000 shares

Expires 2030-10-18

F1 · derivative.exercise_date: The Stock Option shall vest and become exercisable in 36 equal monthly installments over a three-year period.

SEC source: 0001375151-20-000116 · wf-form4_159348200314523.xml · derivative · entry 3

Farfel Gail M · CIK 0001614780 · EVP/Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,750 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of ZGNX common stock.

F1 · derivative.exercise_date: The Restricted Stock Units (RSUs) were granted on March 14, 2017, with 100% of the RSUs to vest upon approval of the Company's New Drug Application (NDA) by the U.S. Food and Drug Administration for Fintepla. The NDA was approved on June 25, 2020.

F5 · derivative.expiration_date: Not applicable.