Aggarwal Gaurav

SEC source: 0001213900-25-080808 · ownership.xml · derivative · entry 2

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vivo Opportunity Fund Holdings L.P.

Disclosed balance after: 0

Underlying: Common Stock · 652,900 shares

Expires not disclosed

F3 · derivative.exercise_date: The shares of Series A-2 Prime Preferred Stock were issued on March 14, 2024 and do not have an expiration date.

F3 · derivative.expiration_date: The shares of Series A-2 Prime Preferred Stock were issued on March 14, 2024 and do not have an expiration date.

F2 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001213900-25-080808 · ownership.xml · nonDerivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vivo Opportunity Fund Holdings L.P.

Disclosed balance after: 1,789,915

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

F1 · price: Each share of Series A-2 Prime Preferred Stock is convertible into a number of shares of Common Stock obtained by dividing the Original Per Share Price ($1,000) by $4.90, subject to blocking provisions. Capitalized terms used but not defined herein shall have the meanings set forth in the Amended and Restated Certificate of Designation of Series A Convertible Voting Preferred Stock, filed as an exhibit to the Issuer's Periodic Report on Form 8-K on March 14, 2024.

F2 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001213900-25-069306 · ownership.xml · derivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,200

Underlying: Common Stock · 21,200 shares

Expires 2035-07-28

SEC source: 0000886744-25-000027 · wk-form4_1747948046.xml · derivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,000

Underlying: Common Stock · 180,000 shares

Expires 2035-05-20

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Issuer's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the Reporting Person's continuous service with the Issuer through such dates.

SEC source: 0001213900-25-015152 · ownership.xml · derivative · entry 2

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vivo Opportunity Fund Holdings L.P.

Disclosed balance after: 3,119.21

Underlying: Common Stock · 1,400,000 shares

Expires not disclosed

F3 · derivative.exercise_date: The shares of Series A-2 Prime Preferred Stock were issued on March 14, 2024 and do not have an expiration date.

F3 · derivative.expiration_date: The shares of Series A-2 Prime Preferred Stock were issued on March 14, 2024 and do not have an expiration date.

F2 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001213900-25-015152 · ownership.xml · nonDerivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vivo Opportunity Fund Holdings L.P.

Disclosed balance after: 11,370,152

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

F1 · price: Each share of Series A-2 Prime Preferred Stock is convertible into a number of shares of Common Stock obtained by dividing the Original Per Share Price ($1,000) by $0.49, subject to blocking provisions. Capitalized terms used but not defined herein shall have the meanings set forth in the Amended and Restated Certificate of Designation of Series A Convertible Voting Preferred Stock, filed as an exhibit to the Issuer's Periodic Report on Form 8-K on March 14, 2024.

F2 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001213900-24-086928 · ownership.xml · derivative · entry 2

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vivo Opportunity Fund Holdings L.P.

Disclosed balance after: 3,885.21

Underlying: Common Stock · 5,500,000 shares

Expires not disclosed

F3 · derivative.exercise_date: The shares of Series A-2 Prime Preferred Stock were issued on March 14, 2024 and do not have an expiration date.

F3 · derivative.expiration_date: The shares of Series A-2 Prime Preferred Stock were issued on March 14, 2024 and do not have an expiration date.

F2 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001213900-24-086928 · ownership.xml · nonDerivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vivo Opportunity Fund Holdings L.P.

Disclosed balance after: 9,970,152

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

F1 · price: Each share of Series A-2 Prime Preferred Stock is convertible into a number of shares of Common Stock obtained by dividing the Original Per Share Price ($1,000) by $0.49, subject to blocking provisions. Capitalized terms used but not defined herein shall have the meanings set forth in the Amended and Restated Certificate of Designation of Series A Convertible Voting Preferred Stock, filed as an exhibit to the Issuer's Periodic Report on Form 8-K on March 14, 2024.

F2 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0000950170-24-057800 · ownership.xml · derivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,000

Underlying: Common Stock · 180,000 shares

Expires 2034-05-08

F1 · derivative.exercise_date: This option will vest and become exercisable as to 100% of the shares of common stock subject to such option on the earlier of (i) the date of the next annual meeting of the Company's stockholders or (ii) the first anniversary of the date of grant of such option, subject to the non-employee director's continuous service with the Company through such dates.

SEC source: 0001209191-24-000545 · doc4.xml · nonDerivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,970

F1 · kind: Shares issued in lieu of cash payment for quarterly Board of Directors retainer fee. Number of shares issued based on closing price of the Issuer's Common Stock on December 29, 2023 of $2.11 per share.

F1 · price: Shares issued in lieu of cash payment for quarterly Board of Directors retainer fee. Number of shares issued based on closing price of the Issuer's Common Stock on December 29, 2023 of $2.11 per share.

SEC source: 0001209191-23-056767 · doc4.xml · derivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2033-11-25

F1 · derivative.exercise_date: This option vests in a series of three equal consecutive annual installments commencing from November 26, 2023, subject to the non-employee director providing continuous service to the Company through each vesting date.

SEC source: 0001213900-23-075008 · ownership.xml · derivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 180,000

Underlying: Common Stock · 180,000 shares

Expires 2033-09-05

SEC source: 0001213900-23-056885 · ownership.xml · derivative · entry 6

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P.

Disclosed balance after: 18,621,655

Underlying: Series A-5 Preferred Stock · 18,621,655 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.

F1 · kind: On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date.

F4 · derivative.exercise_date: The Tranche A Warrants, Tranche B Warrants and Tranche C Warrants are immediately exercisable for shares of Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock, respectively, and will each expire upon the Issuer's satisfaction of certain milestones.

F4 · derivative.expiration_date: The Tranche A Warrants, Tranche B Warrants and Tranche C Warrants are immediately exercisable for shares of Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock, respectively, and will each expire upon the Issuer's satisfaction of certain milestones.

F3 · derivative.underlying: Each of the Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock (collectively, the "Preferred Stock") is convertible into Common Stock on a one-for-one basis; however, the Preferred Stock is subject to blocking provisions which preclude such shares from being converted if such conversion would result in the holder obtaining greater than 9.99% of the Issuer's voting securities. The shares of Preferred Stock have no expiration date.

F2 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001213900-23-056885 · ownership.xml · derivative · entry 5

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P.

Disclosed balance after: 11,638,534

Underlying: Series A-4 Preferred Stock · 11,638,534 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.

F1 · kind: On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date.

F4 · derivative.exercise_date: The Tranche A Warrants, Tranche B Warrants and Tranche C Warrants are immediately exercisable for shares of Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock, respectively, and will each expire upon the Issuer's satisfaction of certain milestones.

F4 · derivative.expiration_date: The Tranche A Warrants, Tranche B Warrants and Tranche C Warrants are immediately exercisable for shares of Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock, respectively, and will each expire upon the Issuer's satisfaction of certain milestones.

F3 · derivative.underlying: Each of the Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock (collectively, the "Preferred Stock") is convertible into Common Stock on a one-for-one basis; however, the Preferred Stock is subject to blocking provisions which preclude such shares from being converted if such conversion would result in the holder obtaining greater than 9.99% of the Issuer's voting securities. The shares of Preferred Stock have no expiration date.

F2 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001213900-23-056885 · ownership.xml · derivative · entry 4

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P.

Disclosed balance after: 12,802,388

Underlying: Series A-3 Preferred Stock · 12,802,388 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.

F1 · kind: On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date.

F4 · derivative.exercise_date: The Tranche A Warrants, Tranche B Warrants and Tranche C Warrants are immediately exercisable for shares of Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock, respectively, and will each expire upon the Issuer's satisfaction of certain milestones.

F4 · derivative.expiration_date: The Tranche A Warrants, Tranche B Warrants and Tranche C Warrants are immediately exercisable for shares of Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock, respectively, and will each expire upon the Issuer's satisfaction of certain milestones.

F3 · derivative.underlying: Each of the Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock (collectively, the "Preferred Stock") is convertible into Common Stock on a one-for-one basis; however, the Preferred Stock is subject to blocking provisions which preclude such shares from being converted if such conversion would result in the holder obtaining greater than 9.99% of the Issuer's voting securities. The shares of Preferred Stock have no expiration date.

F2 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001213900-23-056885 · ownership.xml · derivative · entry 3

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P.

Disclosed balance after: 13,429,000

Underlying: Common Stock · 13,429,000 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.

F3 · derivative.exercise_price: Each of the Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock (collectively, the "Preferred Stock") is convertible into Common Stock on a one-for-one basis; however, the Preferred Stock is subject to blocking provisions which preclude such shares from being converted if such conversion would result in the holder obtaining greater than 9.99% of the Issuer's voting securities. The shares of Preferred Stock have no expiration date.

F1 · kind: On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date.

F3 · derivative.exercise_date: Each of the Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock (collectively, the "Preferred Stock") is convertible into Common Stock on a one-for-one basis; however, the Preferred Stock is subject to blocking provisions which preclude such shares from being converted if such conversion would result in the holder obtaining greater than 9.99% of the Issuer's voting securities. The shares of Preferred Stock have no expiration date.

F3 · derivative.expiration_date: Each of the Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock (collectively, the "Preferred Stock") is convertible into Common Stock on a one-for-one basis; however, the Preferred Stock is subject to blocking provisions which preclude such shares from being converted if such conversion would result in the holder obtaining greater than 9.99% of the Issuer's voting securities. The shares of Preferred Stock have no expiration date.

F2 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001213900-23-056885 · ownership.xml · derivative · entry 2

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 59,961,729 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.

F1 · derivative.exercise_price: On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date.

F1 · kind: On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date.

F1 · derivative.exercise_date: On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date.

F1 · derivative.expiration_date: On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date.

F1 · derivative.underlying: On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date.

F1 · derivative.underlying_shares: On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date.

F2 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001213900-23-056885 · ownership.xml · nonDerivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P.

Disclosed balance after: 3,470,152

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

F1 · kind: On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date.

F1 · price: On July 11, 2023, the 8,077 shares of Series A-1 Preferred Stock then held by Vivo Opportunity Fund Holdings, L.P. automatically converted into (i) 3,470,152 shares of Common Stock, (ii) 13,429,000 shares of Series A-2 Preferred Stock, (iii) Tranche A Warrants to purchase 12,802,388 shares of Series A-3 Preferred Stock, (iv) Tranche B Warrants to purchase 11,638,534 shares of Series A-4 Preferred Stock and (v) Tranche C Warrants to purchase 18,621,655 shares of Series A-5 Preferred Stock. The shares of Series A-1 Preferred Stock had no expiration date.

F2 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001213900-23-018973 · ownership.xml · derivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Opportunity Fund Holdings, L.P.

Disclosed balance after: 8,077

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F1 · derivative.exercise_price: The Conversion Price of the Series A-1 Preferred Stock is subject to adjustment as set forth in that certain of Designation of Preferences, Rights and Limitations of the Series A Convertible Voting Preferred Stock attached as Exhibit 3.1 to the Issuer's Form 8-K filed with the Securities and Exchange Commission on March 6, 2023 (the "Certificate of Designation"). Capitalized terms that are used but not defined in this Form 4 have the meanings given to them in the Certificate of Designation.

F2 · derivative.exercise_date: The shares of Series A-1 Convertible Preferred Stock are not convertible until the stockholders of the Issuer approve the Proposals. Additionally, on the Automatic Conversion Date, as set forth in the Certificate of Designation, each share of Series A-1 Preferred Stock shall automatically convert into a unit consisting of (1) shares of Common Stock (or shares of Series A-2 Preferred Stock) equal to the quotient of (A) the Liquidation Preference divided by (B) the Conversion Price, (2) a Tranche A Warrant, (3) a Tranche B Warrant and (4) a Tranche C Warrant.

F3 · derivative.expiration_date: The shares of Series A-1 Convertible Preferred Stock have no expiration date.

F4 · derivative.expiration_date: The Tranche A Warrants are exercisable for Series A-3 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. The Tranche B Warrants are exercisable for Series A-4 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. The Tranche C Warrants are exercisable for Series A-5 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. All shares of Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock have no expiration date and are convertible into shares of Common Stock in accordance with the Certificate of Designation.

F2 · derivative.underlying: The shares of Series A-1 Convertible Preferred Stock are not convertible until the stockholders of the Issuer approve the Proposals. Additionally, on the Automatic Conversion Date, as set forth in the Certificate of Designation, each share of Series A-1 Preferred Stock shall automatically convert into a unit consisting of (1) shares of Common Stock (or shares of Series A-2 Preferred Stock) equal to the quotient of (A) the Liquidation Preference divided by (B) the Conversion Price, (2) a Tranche A Warrant, (3) a Tranche B Warrant and (4) a Tranche C Warrant.

F4 · derivative.underlying: The Tranche A Warrants are exercisable for Series A-3 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. The Tranche B Warrants are exercisable for Series A-4 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. The Tranche C Warrants are exercisable for Series A-5 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. All shares of Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock have no expiration date and are convertible into shares of Common Stock in accordance with the Certificate of Designation.

F2 · derivative.underlying_shares: The shares of Series A-1 Convertible Preferred Stock are not convertible until the stockholders of the Issuer approve the Proposals. Additionally, on the Automatic Conversion Date, as set forth in the Certificate of Designation, each share of Series A-1 Preferred Stock shall automatically convert into a unit consisting of (1) shares of Common Stock (or shares of Series A-2 Preferred Stock) equal to the quotient of (A) the Liquidation Preference divided by (B) the Conversion Price, (2) a Tranche A Warrant, (3) a Tranche B Warrant and (4) a Tranche C Warrant.

F4 · derivative.underlying_shares: The Tranche A Warrants are exercisable for Series A-3 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. The Tranche B Warrants are exercisable for Series A-4 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. The Tranche C Warrants are exercisable for Series A-5 Preferred Stock and expire upon the Issuer's satisfaction of certain milestones. All shares of Series A-2 Preferred Stock, Series A-3 Preferred Stock, Series A-4 Preferred Stock and Series A-5 Preferred Stock have no expiration date and are convertible into shares of Common Stock in accordance with the Certificate of Designation.

F5 · ownership.nature: Vivo Opportunity Fund Holdings, L.P. is the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-22-040279 · doc4.xml · derivative · entry 5

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 1,455,384 shares

Expires 2024-11-13

F7 · price: Pursuant to the terms of the Merger Agreement, the Issuer's outstanding Series A Warrants (the "Series A Warrants") were treated in accordance with their respective terms such that, at the effective time of the Merger, the outstanding Series A Warrants were cancelled and thereafter represent only the right to receive an amount in cash, without interest, equal to the Black Scholes Value (as defined in the Series A Warrants), which as calculated under the terms of the Series A Warrants equaled $45.98 per share of common stock underlying such warrants.

F2 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-22-040279 · doc4.xml · derivative · entry 4

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,000 shares

Expires 2031-06-08

F4 · price: At the effective time of the Merger, each stock option outstanding, whether vested or unvested, automatically and without any required action on the part of the Reporting Person, was cancelled in exchange for the right to receive an amount in cash equal to the excess, if any, of $55.00 over the per share exercise price of such stock option.

F6 · derivative.exercise_date: The option fully vested on June 8, 2022.

SEC source: 0001209191-22-040279 · doc4.xml · derivative · entry 3

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,874 shares

Expires 2030-06-09

F4 · price: At the effective time of the Merger, each stock option outstanding, whether vested or unvested, automatically and without any required action on the part of the Reporting Person, was cancelled in exchange for the right to receive an amount in cash equal to the excess, if any, of $55.00 over the per share exercise price of such stock option.

F5 · derivative.exercise_date: The option fully vested on June 9, 2021.

SEC source: 0001209191-22-040279 · doc4.xml · derivative · entry 2

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500 shares

Expires 2029-11-29

F4 · price: At the effective time of the Merger, each stock option outstanding, whether vested or unvested, automatically and without any required action on the part of the Reporting Person, was cancelled in exchange for the right to receive an amount in cash equal to the excess, if any, of $55.00 over the per share exercise price of such stock option.

F3 · derivative.exercise_date: The option fully vested on November 29, 2020.

SEC source: 0001209191-22-040279 · doc4.xml · nonDerivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Vivo Opportunity Fund Holdings, L.P.

Disclosed balance after: 0

F1 · shares: Pursuant to an Agreement and Plan of Merger, dated April 12, 2022, between GlaxoSmithKline plc ("GSK"), Orikum Acquisition Inc. ("Merger Sub") and the Issuer (the "Merger Agreement"), Merger Sub merged with and into the Issuer on July 1, 2022, with the Issuer surviving as a wholly-owned subsidiary of GSK (the "Merger"). At the effective time of the Merger, each outstanding share of common stock of the Issuer automatically and without any required action on the part of the Reporting Person, was converted into the right to receive $55.00 in cash, without interest.

F2 · ownership.nature: Vivo Opportunity, LLC is the general partner of Vivo Opportunity Fund, L.P., the record holder of the securities. The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund Holdings, L.P. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-22-005748 · doc4.xml · nonDerivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Opportunity Fund, L.P.

Disclosed balance after: 2,735,853

F1 · ownership.nature: The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund, L.P. The Reporting Person may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. with four other managing members of Vivo Opportunity, LLC. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-22-005503 · doc4.xml · derivative · entry 2

Aggarwal Gaurav · CIK 0001551965 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Opportunity Fund, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 480,277 shares

Expires not disclosed

F2 · derivative.expiration_date: The expiration date of the warrants is the date on the seventy-fifth (75th) day anniversary of the announcement by Issuer, via publicly disseminated press release or SEC filing, of the top-line data results from MOMENTUM, its Phase 3 clinical trial of momelotinib for patients with myelofibrosis.

F1 · ownership.nature: The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund, L.P. The Reporting Person may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. with four other managing members of Vivo Opportunity, LLC. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-22-005503 · doc4.xml · nonDerivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Opportunity Fund, L.P.

Disclosed balance after: 1,935,853

F1 · ownership.nature: The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund, L.P. The Reporting Person may be deemed to share voting and dispositive power over the securities held by Vivo Opportunity Fund, L.P. with four other managing members of Vivo Opportunity, LLC. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-21-039089 · doc4.xml · derivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

Underlying: Common Stock · 6,000 shares

Expires 2031-06-08

F1 · derivative.exercise_date: The Option fully vests and becomes exercisable on June 8, 2022, subject to the Reporting Person's provision of service to the Issuer as of the vesting date.

SEC source: 0001209191-20-035686 · doc4.xml · derivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,874

Underlying: Common Stock · 6,874 shares

Expires 2030-06-09

F1 · derivative.exercise_date: The option vests as to 8.333% of the total shares monthly, beginning on July 9, 2020, with 100% of the total shares vested and exercisable on June 9, 2021, subject to the reporting person's provision of service to the issuer on each vesting date.

SEC source: 0001209191-20-005792 · doc4.xml · derivative · entry 2

Aggarwal Gaurav · CIK 0001551965 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Opportunity Fund, LP

Disclosed balance after: 0

Underlying: Common Stock · 1,455,576 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.

F2 · derivative.exercise_price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the Issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date.

F4 · shares: Consists of 19,213 shares of Series A Preferred Stock held by VOF which are convertible into an aggregate of 1,455,576 shares of Common Stock, as adjusted for the Reverse Split.

F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the Issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the Issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the Issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date.

F1 · derivative.underlying_shares: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split.

F3 · ownership.nature: The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund, L.P. ("VOF"). The Reporting Person may be deemed to share voting and dispositive power over the securities held by VOF with four other managing members of Vivo Opportunity, LLC. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-20-005792 · doc4.xml · nonDerivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Vivo Opportunity Fund, LP

Disclosed balance after: 1,455,576

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: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split.

F2 · price: Each share of Series A Convertible Voting Preferred Stock (the "Series A Preferred Stock") converted into 75.76 shares of the Issuer's Common Stock, as adjusted for the Reverse Split, automatically upon the 5th trading date following the Issuer's announcement of receiving stockholder approval for the Reverse Split following November 13, 2019. The Series A Preferred Stock has no expiration date.

F1 · balance_after: On January 22, 2020, a 1-for-40 reverse split of the Issuer's Common Stock (the "Reverse Split") was effected. These securities reflect the Reverse Split.

F3 · ownership.nature: The Reporting Person is a managing member of Vivo Opportunity, LLC, which is the general partner of Vivo Opportunity Fund, L.P. ("VOF"). The Reporting Person may be deemed to share voting and dispositive power over the securities held by VOF with four other managing members of Vivo Opportunity, LLC. The Reporting Person disclaims beneficial ownership over such securities except to the extent of his pecuniary interest therein, and the inclusion of such securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

SEC source: 0001209191-19-058686 · doc4.xml · derivative · entry 1

Aggarwal Gaurav · CIK 0001551965 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2029-11-29

F1 · date: Stock options were granted on November 29, 2019 in connection with the Reporting Person's appointment to the Issuer's Board of Directors on November 22, 2019.

F2 · derivative.exercise_date: The option vests as to 8.333% of the total shares monthly, beginning on December 29, 2019, with 100% of the total shares vested and exercisable on November 29, 2020, subject to the Reporting Person's provision of service to the Issuer on each vesting date.