Colowick Alan

SEC source: 0001415889-25-010050 · form4-04032025_100437.xml · nonDerivative · entry 2

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Revocable Living Trust

Disclosed balance after: 18,404

F3 · price: Price reported is a weighted-average purchase price. The shares were purchased at prices ranging from $7.33 to $7.75. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: Shares are held directly by The Colowick Trust, for which Reporting Person serves as a trustee.

SEC source: 0001415889-25-010050 · form4-04032025_100437.xml · nonDerivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Revocable Living Trust

Disclosed balance after: 16,104

F1 · price: Price reported is a weighted-average purchase price. The shares were purchased at prices ranging from $6.79 to $7.10. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: Shares are held directly by The Colowick Trust, for which Reporting Person serves as a trustee.

SEC source: 0001209191-23-031231 · doc4.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-05-17

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders occurring after the grant date, subject to the reporting person's Continuous Service (as defined in the Company's 2019 Equity Incentive Plan) through the vesting date. In the event of a Change in Control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such Change in Control.

SEC source: 0001209191-23-022796 · doc4.xml · nonDerivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,456

F1 · shares: Represents shares of common stock issuable upon the settlement of restricted stock units ("RSUs"). The fully vested RSUs were granted to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $11,250.

SEC source: 0001209191-22-039324 · doc4.xml · derivative · entry 2

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,571

Underlying: Common Stock · 28,571 shares

Expires 2032-06-21

F2 · shares: This option was issued to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $40,000 ("Election Option").

F2 · price: This option was issued to the Reporting Person pursuant to the Issuer's Non-Employee Director Compensation Policy in lieu of retainer fees of $40,000 ("Election Option").

F3 · derivative.exercise_date: One-half of the Election Option vested and became exercisable on June 22, 2022, and 25% of each Election Option will vest and become exercisable on each of September 30, 2022 and December 31, 2022, subject to the continuous service of the Reporting Person with the Issuer through each vesting date.

SEC source: 0001209191-22-039324 · doc4.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,167

Underlying: Common Stock · 10,167 shares

Expires 2032-06-21

F1 · derivative.exercise_date: The stock option will fully vest and become exercisable on June 21, 2023, subject to the continuous service of the Reporting Person with the Issuer on such date.

SEC source: 0001209191-22-030756 · doc4.xml · derivative · entry 2

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,035

Underlying: Common Stock · 15,035 shares

Expires 2032-05-17

F2 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders occurring after the grant date, subject to the reporting person's Continuous Service (as defined in the Company's 2019 Equity Incentive Plan) through the vesting date. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control.

SEC source: 0001209191-22-030756 · doc4.xml · nonDerivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,506

F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. 100% of the shares subject to the RSU shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders occurring after the grant date, subject to the reporting person's Continuous Service (as defined in the Company's 2019 Equity Incentive Plan) through the vesting date. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the RSU shall vest immediately prior to the effectiveness of such change in control.

SEC source: 0001209191-21-033489 · doc4.xml · derivative · entry 2

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,229

Underlying: Common Stock · 4,229 shares

Expires 2031-05-14

F2 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control.

SEC source: 0001209191-21-033489 · doc4.xml · nonDerivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,736

F1 · shares: Each share is represented by a restricted stock unit ("RSU"). Each RSU represents a contingent right to receive one share of the Issuer's common stock upon settlement. 100% of the shares subject to the RSU shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the RSU shall vest immediately prior to the effectiveness of such change in control.

SEC source: 0001209191-21-031111 · doc4.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,167

Underlying: Common Stock · 10,167 shares

Expires 2031-05-03

F1 · derivative.exercise_date: The stock option will fully vest and become exercisable on May 4, 2022, subject to the continuous service of the Reporting Person with the Issuer on such date.

SEC source: 0001209191-21-023255 · doc4.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,335

Underlying: Common Stock · 20,335 shares

Expires 2031-03-23

F1 · derivative.exercise_date: The stock option vests in three equal annual installments measured from the date of grant, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.

SEC source: 0001209191-20-052228 · doc4.xml · derivative · entry 4

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,240 shares

Expires 2030-06-03

F1 · kind: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

SEC source: 0001209191-20-052228 · doc4.xml · derivative · entry 3

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,240 shares

Expires 2029-06-10

F1 · kind: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

SEC source: 0001209191-20-052228 · doc4.xml · derivative · entry 2

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,475 shares

Expires 2028-09-12

F1 · kind: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

SEC source: 0001209191-20-052228 · doc4.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 47,724 shares

Expires 2027-06-26

F1 · kind: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

F1 · derivative.exercise_date: Pursuant to the Agreement and Plan of Merger, dated as of August 16, 2020, by and among Principia Biopharma Inc. (the "Issuer"), Sanofi ("Sanofi") and Kortex Acquisition Corp. ("Purchaser") (the "Merger Agreement"), on September 28, 2020, Purchaser merged with and into the Issuer, with the Issuer continuing as the surviving corporation and a wholly owned subsidiary of Sanofi (the "Merger"). Pursuant to the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each of the unvested and outstanding options was accelerated and became fully vested, and each of the outstanding options was canceled and converted into the right to receive a cash amount equal to the product of (i) the number of shares that are subject to such options, multiplied by (ii) the excess (if any) of (x) $100.00 over (y) the exercise price payable per share under such options.

SEC source: 0001209191-20-040793 · doc4.xml · derivative · entry 3

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,724

Underlying: Common Stock · 7,500 shares

Expires 2027-06-26

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

F2 · derivative.exercise_date: The stock option vested and became exercisable as to 25% of the shares subject to the option on February 16, 2018, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.

SEC source: 0001209191-20-040793 · doc4.xml · nonDerivative · entry 2

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-20-040793 · doc4.xml · nonDerivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

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

SEC source: 0001209191-20-035137 · doc4.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,240

Underlying: Common Stock · 10,240 shares

Expires 2030-06-03

F1 · derivative.exercise_date: The stock option vests in equal monthly installments over a one year period such that the option is fully vested on the first anniversary of the date of grant, subject to the continuing service of the Reporting Person on each vesting date.

SEC source: 0001209191-20-030653 · doc4.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

Underlying: Common Stock · 14,000 shares

Expires 2030-05-14

F1 · derivative.exercise_date: 100% of the shares subject to the option shall vest on the earlier of the one-year anniversary of the grant date or the day prior to the Company's next annual meeting of stockholders. In the event of a change in control (as defined in the Company's 2019 Equity Incentive Plan), the shares underlying the option shall vest and become immediately exercisable prior to the effectiveness of such change in control.

SEC source: 0001209191-20-027348 · doc4.xml · derivative · entry 6

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,224

Underlying: Common Stock · 6,660 shares

Expires 2027-06-26

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

F3 · derivative.exercise_date: The stock option vested and became exercisable as to 25% of the shares subject to the option on February 16, 2018, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.

SEC source: 0001209191-20-027348 · doc4.xml · nonDerivative · entry 4

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001209191-20-027348 · doc4.xml · nonDerivative · entry 3

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,660

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

SEC source: 0001209191-20-027348 · doc4.xml · derivative · entry 5

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,884

Underlying: Common Stock · 840 shares

Expires 2027-06-26

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

F3 · derivative.exercise_date: The stock option vested and became exercisable as to 25% of the shares subject to the option on February 16, 2018, and thereafter vests as to 1/48th of the shares in equal monthly installments, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.

SEC source: 0001209191-20-027348 · doc4.xml · nonDerivative · entry 2

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F2 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $60.00 to $60.43 per share. Upon request by the Commission staff, Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

SEC source: 0001209191-20-027348 · doc4.xml · nonDerivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 840

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

SEC source: 0001209191-19-036231 · doc4.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,240

Underlying: Common Stock · 10,240 shares

Expires 2029-06-10

F1 · derivative.exercise_date: The stock option vests in equal monthly installments over a one year period such that the option is fully vested on the first anniversary of the date of grant, subject to the continuing service of the Reporting Person on each vesting date.

SEC source: 0001209191-19-003364 · doc4.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,475

Underlying: Common Stock · 20,475 shares

Expires 2028-09-12

F1 · derivative.exercise_date: The stock option vests in equal monthly installments over a three year period, until such time as the option is 100% vested, subject to the continuing service of the Reporting Person on each vesting date.

SEC source: 0001209191-17-059623 · doc4.xml · derivative · entry 3

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,069 shares

Expires 2026-05-18

F3 · price: These options, which vest in full on the earlier of May 25, 2018 or the Issuer's next annual meeting of stockholders, subject to the director's continued service on the Board, were assumed by Ultragenyx and converted in accordance with the exchange ratio as set forth in the Merger Agreement.

F3 · derivative.exercise_date: These options, which vest in full on the earlier of May 25, 2018 or the Issuer's next annual meeting of stockholders, subject to the director's continued service on the Board, were assumed by Ultragenyx and converted in accordance with the exchange ratio as set forth in the Merger Agreement.

SEC source: 0001209191-17-059623 · doc4.xml · derivative · entry 2

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,000 shares

Expires 2027-05-24

F2 · price: These options were assumed by Ultragenyx and converted in accordance with the exchange ratio as set forth in the Merger Agreement.

F2 · derivative.exercise_date: These options were assumed by Ultragenyx and converted in accordance with the exchange ratio as set forth in the Merger Agreement.

SEC source: 0001209191-17-059623 · doc4.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 44,474 shares

Expires 2025-08-11

F1 · price: This stock option, which vests in equal monthly installments over 48 months beginning August 4, 2015, was assumed by Ultragenyx Pharmaceutical Inc. ("Ultragenyx"), and converted in accordance with the exchange ratio as set forth in the Agreement and Plan of Merger (the "Merger Agreement"), dated October 2, 2017, between the Issuer, Ultragenyx and Mystic River Merger Sub Inc., a direct, wholly-owned subsidiary of Ultragenyx.

F1 · derivative.exercise_date: This stock option, which vests in equal monthly installments over 48 months beginning August 4, 2015, was assumed by Ultragenyx Pharmaceutical Inc. ("Ultragenyx"), and converted in accordance with the exchange ratio as set forth in the Agreement and Plan of Merger (the "Merger Agreement"), dated October 2, 2017, between the Issuer, Ultragenyx and Mystic River Merger Sub Inc., a direct, wholly-owned subsidiary of Ultragenyx.

SEC source: 0001140361-17-025396 · doc1.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-06-14

F1 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual meeting of stockholders to the extent unvested as of such date, subject to continued service through each applicable vesting date.

SEC source: 0001209191-17-035832 · doc4.xml · derivative · entry 1

Colowick Alan · CIK 0001316163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 17,000 shares

Expires 2027-05-24

F1 · derivative.exercise_date: The options shall vest in full on the earlier of May 25, 2018 or the Issuer's next annual meeting of stockholders, subject to the director's continued service on the Board.