Nash Duane

SEC source: 0001193805-25-001068 · e664708_4-duane.xml · derivative · entry 5

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315,000

Underlying: Common Stock · 315,000 shares

Expires 2035-07-16

F5 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the Issuer's issuance of Common Stock or pre-funded warrants to subscribers in connection with the third tranche of the January 2024 Offering.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001068 · e664708_4-duane.xml · derivative · entry 4

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315,000

Underlying: Common Stock · 315,000 shares

Expires 2035-07-16

F4 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the Issuer's issuance of Common Stock or pre-funded warrants to subscribers in connection with the second tranche of the Issuer's January 4, 2024 private placement (the "January 2024 Offering").

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001068 · e664708_4-duane.xml · derivative · entry 3

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 630,000

Underlying: Common Stock · 630,000 shares

Expires 2035-07-16

F3 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the exercise of the Issuer's series B purchase warrants by the holders thereof.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001068 · e664708_4-duane.xml · derivative · entry 2

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 630,000

Underlying: Common Stock · 630,000 shares

Expires 2035-07-16

F2 · derivative.exercise_date: Exercisable beginning August 1, 2026, subject to the exercise of the Issuer's series A purchase warrants by the holders thereof.

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-001068 · e664708_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 315,000

Underlying: Common Stock · 315,000 shares

Expires 2035-07-16

F1 · derivative.underlying: The Stock Appreciation Rights ("SARs") could be settled for cash, but it is the intention of the Issuer that these SARs will be settled for shares of the Issuer's common stock, par value $0.0001 per share ("Common Stock") provided the Issuer obtains stockholder approval to amend the Issuer's 2019 Omnibus Equity Incentive Plan, as amended, to provide for a sufficient number of shares of Common Stock to support the settlement of the SARs in shares of Common Stock.

SEC source: 0001193805-25-000885 · e664632_4-duane.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,032

F1 · shares: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.83 to $0.84. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price.

SEC source: 0001193805-25-000836 · e664604_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 560,000

Underlying: Common Stock · 560,000 shares

Expires 2035-06-05

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-25-000922 · e664637_4a-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 570,000

Underlying: Common Stock · 570,000 shares

Expires 2035-06-05

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-24-001444 · e664062_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2034-12-04

F1 · derivative.exercise_date: 25% of the shares underlying the option vest on the first anniversary of the grant date, with the remainder vesting in equal increments on each successive one-month anniversary thereafter for the next 36 months.

SEC source: 0001193805-24-001448 · e664066_4a-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2034-12-04

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-24-000324 · e619338_4-duane.xml · derivative · entry 10

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 379,959

Underlying: Common Stock · 379,959 shares

Expires not disclosed

F1 · price: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

F1 · derivative.exercise_date: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

F1 · derivative.expiration_date: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

SEC source: 0001193805-24-000324 · e619338_4-duane.xml · derivative · entry 9

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2032-06-15

F1 · price: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

F1 · derivative.exercise_date: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

SEC source: 0001193805-24-000324 · e619338_4-duane.xml · derivative · entry 8

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 75,000 shares

Expires 2032-03-10

F1 · price: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

F1 · derivative.exercise_date: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

SEC source: 0001193805-24-000324 · e619338_4-duane.xml · derivative · entry 7

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2031-06-10

F1 · price: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

F1 · derivative.exercise_date: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

SEC source: 0001193805-24-000324 · e619338_4-duane.xml · derivative · entry 6

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 90,000 shares

Expires 2031-04-15

F1 · price: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

F1 · derivative.exercise_date: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

SEC source: 0001193805-24-000324 · e619338_4-duane.xml · derivative · entry 5

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 120,000 shares

Expires 2030-10-22

F1 · price: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

F1 · derivative.exercise_date: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

SEC source: 0001193805-24-000324 · e619338_4-duane.xml · derivative · entry 4

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2030-07-02

F1 · price: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

F1 · derivative.exercise_date: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

SEC source: 0001193805-24-000324 · e619338_4-duane.xml · derivative · entry 3

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2030-07-02

F1 · price: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

F1 · derivative.exercise_date: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

SEC source: 0001193805-24-000324 · e619338_4-duane.xml · derivative · entry 2

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,973 shares

Expires 2029-07-22

F1 · price: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

F1 · derivative.exercise_date: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

SEC source: 0001193805-24-000324 · e619338_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,986 shares

Expires 2029-07-22

F1 · price: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

F1 · derivative.exercise_date: On March 4, 2024, the stockholders of Immunic, Inc. approved a proposal to reduce the exercise price of all employee stock options having an exercise price above $3.00 per share (the "Eligible Options") to the greater of $1.72 and 110% of the closing price on a future repricing date to be set by the Board of Directors. The Board of Directors then determined that the exercise price of all Eligible Options will be repriced to $1.72 per share, which is greater than 110% of the closing price of the Common Stock on March 4, 2024, the repricing date set by the Board of Directors. Accordingly, this Form 4 reflects the cancellation of each Eligible Option and the reissuance of all Eligible Options at an exercise price of $1.72 per share. Following the repricing, each Eligible Option retains its respective original vesting schedule and expiration date.

SEC source: 0001193805-24-000069 · e619199_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2034-01-17

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-23-000022 · e618184_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,000

Underlying: Common Stock · 132,000 shares

Expires 2033-01-01

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-22-000974 · e621761_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: 25% of the shares underlying the option vest on the first anniversary of the grant date, with the remainder vesting in equal increments on each successive one-month anniversary thereafter for the next 36 months.

SEC source: 0001193805-22-000787 · e621652_4-duane.xml · nonDerivative · entry 2

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,032

F2 · shares: Represents a gift of 6,000 shares.

SEC source: 0001193805-22-000787 · e621652_4-duane.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,032

F1 · shares: Represents a purchase of 10,000 shares.

SEC source: 0001193805-22-000473 · e621442_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2032-03-10

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-22-000002 · e621189_5-duane.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,032

F1 · kind: Represents a gift of stock.

SEC source: 0001193805-21-001159 · e620865_4-duane.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,032

SEC source: 0001193805-21-000874 · e620712_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2031-06-10

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-21-000654 · e620591_4-duane.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,032

SEC source: 0001193805-21-000512 · e620490_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2031-04-15

F1 · derivative.exercise_date: The shares underlying the option vest in twelve monthly installments beginning on May 15, 2021.

SEC source: 0001193805-20-001306 · e620014_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2030-10-22

F1 · derivative.exercise_date: The shares underlying the option vest in six monthly installments beginning on November 15, 2020.

SEC source: 0001193805-20-000800 · e619753_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2030-07-01

F1 · derivative.exercise_date: The option vests in monthly increments over a period of one year from the grant date.

SEC source: 0001193805-19-001904 · e619223_4-duane.xml · nonDerivative · entry 3

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,032

F4 · shares: This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0001193805-19-001904 · e619223_4-duane.xml · nonDerivative · entry 2

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,432

F2 · shares: Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the settlement of RSUs granted to the Reporting Person.

F3 · price: The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $7.1508 and $7.1572 per share.

SEC source: 0001193805-19-001904 · e619223_4-duane.xml · derivative · entry 4

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 864,159

Underlying: Common Stock · 22,157 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: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

F5 · derivative.exercise_date: On January 11, 2019, the Reporting Person was granted 886,316 restricted stock units as consideration of cancelled stock options. Pursuant to the Reporting Person's amended RSU Agreement, RSUs that vested prior to April 22, 2019 were settled on December 2, 2019.

F5 · derivative.expiration_date: On January 11, 2019, the Reporting Person was granted 886,316 restricted stock units as consideration of cancelled stock options. Pursuant to the Reporting Person's amended RSU Agreement, RSUs that vested prior to April 22, 2019 were settled on December 2, 2019.

SEC source: 0001193805-19-001904 · e619223_4-duane.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,362

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: Restricted stock units ("RSUs") convert into common stock on a one-for-one basis.

SEC source: 0001193805-19-000670 · e618564_4-duane.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,959

Underlying: Common Stock · 29,959 shares

Expires 2029-07-22

F1 · derivative.exercise_date: 9,986 of the options vest in monthly increments over a period of one year from the grant date, and 19,973 of the options vest in monthly increments over a period of three years from the grant date.

SEC source: 0001280776-19-000014 · wf-form4_154752044124186.xml · derivative · entry 7

Nash Duane · CIK 0001591098 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 886,316

Underlying: Common Stock · 886,316 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Vital Therapies, Inc. Common Stock.

F6 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan), twenty five percent (25%) of the RSUs vest annually after the vesting commencement date of January 11, 2019. One hundred percent (100%) of the unvested portion of the RSUs, if any, shall vest in the event of a Termination without Cause or Resignation for Good Reason (each as defined in the reporting person's Change of Control and Severance Agreement).

F6 · derivative.expiration_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan), twenty five percent (25%) of the RSUs vest annually after the vesting commencement date of January 11, 2019. One hundred percent (100%) of the unvested portion of the RSUs, if any, shall vest in the event of a Termination without Cause or Resignation for Good Reason (each as defined in the reporting person's Change of Control and Severance Agreement).

SEC source: 0001280776-19-000014 · wf-form4_154752044124186.xml · derivative · entry 6

Nash Duane · CIK 0001591098 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 85,000 shares

Expires 2028-06-08

F1 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation.

F4 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 9, 2018, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan).

SEC source: 0001280776-19-000014 · wf-form4_154752044124186.xml · derivative · entry 5

Nash Duane · CIK 0001591098 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 85,000 shares

Expires 2027-06-09

F1 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation.

F3 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of June 10, 2017, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan).

SEC source: 0001280776-19-000014 · wf-form4_154752044124186.xml · derivative · entry 4

Nash Duane · CIK 0001591098 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 85,000 shares

Expires 2026-05-12

F1 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation.

F2 · derivative.exercise_date: Subject to the reporting person continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")), one forty-eighth (1/48th) of the shares subject to the option vested and became exercisable one month after the vesting commencement date of April 16, 2016, and an additional one forty-eighth (1/48th) of the shares vest and become exercisable at the end of each monthly period thereafter. One hundred percent (100%) of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan).

SEC source: 0001280776-19-000014 · wf-form4_154752044124186.xml · derivative · entry 3

Nash Duane · CIK 0001591098 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 241,670 shares

Expires 2022-09-25

F1 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation.

SEC source: 0001280776-19-000014 · wf-form4_154752044124186.xml · derivative · entry 2

Nash Duane · CIK 0001591098 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,344 shares

Expires 2022-04-24

F1 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation.

SEC source: 0001280776-19-000014 · wf-form4_154752044124186.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 93,377 shares

Expires 2022-03-31

F1 · price: The option was cancelled by mutual agreement of the reporting person and Vital Therapies, Inc. The reporting person received a restricted stock unit award as reported in this Form 4 as consideration for this cancellation.

SEC source: 0001562180-18-003017 · primarydocument.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2028-06-14

F1 · shares: Represents an option to purchase shares of Akebia Therapeutics, Inc.'s (the "Company's") common stock granted by the Company pursuant to the Company's 2014 Incentive Plan (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company.

SEC source: 0001280776-18-000073 · wf-form4_152875942911815.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2028-06-08

F1 · derivative.exercise_date: One forty-eighth (1/48th) of the shares of common stock subject to the option shall vest monthly beginning on July 9, 2018, such that all of the shares of common stock subject to the option are vested by June 9, 2022, subject to the reporting person's continuing to be a Service Provider (as defined in the 2014 Equity Incentive Plan (the "Plan")) through each vesting date; provided, that, 100% of the unvested portion of the option, if any, shall vest in the event of a termination without cause following a Change in Control (as defined in the Plan).

SEC source: 0001562180-18-001042 · primarydocument.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,499

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2017.

SEC source: 0001562180-17-003207 · primarydocument.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,499

F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 15, 2017.

SEC source: 0001562180-17-002433 · primarydocument.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,687

F1 · shares: Shares sold by reporting person pursuant to a 10b5-1 plan to pay taxes in connection with the vesting of restricted stock pursuant to the December 23, 2013 award.