Gallagher Brian M. Jr.

SEC source: 0000950170-24-073199 · ownership.xml · derivative · entry 1

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 800

Underlying: Common Stock · 800 shares

Expires 2034-06-12

F1 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest in full on the earlier to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuous service on the board of directors of the Issuer through such vesting date.

SEC source: 0001209191-24-003688 · doc4.xml · derivative · entry 1

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2034-02-18

F1 · derivative.exercise_date: The shares subject to the option will vest in substantially equal monthly installments over 12 months, commencing on February 19, 2024, subject to the Reporting Person's continued service with the Issuer through each vesting date.

SEC source: 0001209191-23-039195 · doc4.xml · derivative · entry 1

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest in full on the earlier to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuous service on the board of directors of the Issuer through such vesting date.

SEC source: 0001209191-23-004596 · doc4.xml · derivative · entry 1

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,938

Underlying: Common Stock · 50,938 shares

Expires 2033-01-19

F1 · derivative.exercise_date: The shares subject to the option will vest in substantially equal monthly installments over 12 months, commencing on January 20, 2023, subject to the Reporting Person's continued service with the Issuer through each vesting date.

SEC source: 0001209191-22-039356 · doc4.xml · nonDerivative · entry 1

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.49 to $1.69. The Reporting Person undertakes to provide the Company, any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0001209191-22-036445 · doc4.xml · derivative · entry 1

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-08

F1 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest in full on the earlier to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuous service on the board of directors of the Issuer through such vesting date.

SEC source: 0001209191-21-060061 · doc4.xml · derivative · entry 1

Gallagher Brian M. Jr. · CIK 0001709976 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-10-05

F1 · derivative.exercise_date: The shares subject to the option will vest in substantially equal monthly installments over three years, commencing on August 25, 2021, subject to the Reporting Person's continued service with the Issuer through each vesting date.

SEC source: 0000905718-21-001619 · effector_fm4oct062021.xml · derivative · entry 1

Gallagher Brian M. Jr. · CIK 0001709976 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2031-10-05

F1 · derivative.exercise_date: The shares subject to the option (the "Option") will vest in substantially equal monthly installments over three years, commencing on August 25, 2021, subject to the Reporting Person's continued service with the Issuer through each vesting date.

F2 · ownership.direct: The Reporting Person is a member of the investment committee of Abingworth Bioventures VI, LP ("ABV VI") which approves investment and voting decisions by majority vote. Abingworth LLP provides advisory services to ABV VI and exercises investment and dispositive power over the securities held by ABV VI. Under an agreement between the Reporting Person and Abingworth LLP, the Reporting Person is deemed to hold the Option and any shares of common stock issuable upon exercise of the Option, for the benefit of ABV VI, and must exercise the Option solely upon the direction of Abingworth LLP.

F3 · ownership.direct: ABV VI may be deemed the indirect beneficial owner of the Option, and the Reporting Person may be deemed the indirect beneficial owner of the Option through his indirect interest in ABV VI. The Reporting Person disclaims beneficial ownership of the Option except to the extent, if any, of his pecuniary interest therein. This report shall not be deemed an admission that the Reporting Person, Abingworth LLP, ABV VI or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001209191-21-053717 · doc4.xml · derivative · entry 2

Gallagher Brian M. Jr. · CIK 0001709976 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Abingworth Bioventures VI, LP

Disclosed balance after: 605,338

Underlying: Common Stock · 605,338 shares

Expires not disclosed

F4 · derivative.exercise_price: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023.

F4 · shares: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023.

F4 · price: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023.

F4 · derivative.exercise_date: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023.

F4 · derivative.expiration_date: Each earn-out right represents a contingent right to receive one share of the Issuer's common stock. Pursuant to an "Earn-Out" provision in the Merger Agreement, the earn-out rights vest upon the Issuer's common stock achieving a price per share which equals or exceeds $20.00 over at least 20 trading days out of a 30 consecutive trading day period prior to August 26, 2023.

F2 · ownership.nature: Abingworth Bioventures VI GP LP, a Scottish limited partnership, serves as the general partner of Abingworth Bioventures VI, LP ("ABV VI"). Abingworth General Partner VI LLP, an English limited liability partnership, serves as the general partner of Abingworth Bioventures VI GP LP. ABV VI (acting by its general partner Abingworth Bioventures VI GP LP, acting by its general partner Abingworth General Partner VI LLP) has delegated to Abingworth LLP, an English limited liability partnership, all investment and dispositive power over the securities held by ABV VI.

F3 · ownership.nature: The Reporting Person, a Director of the Issuer, is a member of an investment committee of ABV VI which approves investment and voting decisions by majority vote and no individual member has the sole control or voting power over the securities held by ABV VI. Each of ABV VI, Abingworth LLP, Abingworth Bioventures VI GP LP, Abingworth General Partner VI LLP, the Reporting Person and each member of the Investment Committee disclaims beneficial ownership of the common stock held by ABV VI, except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0001209191-21-053717 · doc4.xml · nonDerivative · entry 1

Gallagher Brian M. Jr. · CIK 0001709976 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Abingworth Bioventures VI, LP

Disclosed balance after: 4,822,114

F1 · shares: On August 25, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of May 26, 2021 (the "Merger Agreement"), by and among the Issuer (f/k/a Locust Walk Acquisition Corp.), Locust Walk Merger Sub, Inc. ("Merger Sub"), and eFFECTOR Therapeutics, Inc. ("Old eFFECTOR"), Merger Sub merged with and into Old eFFECTOR with Old eFFECTOR surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger (the "Effective Time"), each issued and outstanding share of common stock of Old eFFECTOR was automatically cancelled and converted into approximately 0.09657 (the "Exchange Ratio") shares of common stock of the Issuer. Represents 4,109,329 shares acquired in the Merger and 712,785 shares acquired in the private placement which closed concurrently with the Merger.

F1 · price: On August 25, 2021, pursuant to that certain Agreement and Plan of Merger, dated as of May 26, 2021 (the "Merger Agreement"), by and among the Issuer (f/k/a Locust Walk Acquisition Corp.), Locust Walk Merger Sub, Inc. ("Merger Sub"), and eFFECTOR Therapeutics, Inc. ("Old eFFECTOR"), Merger Sub merged with and into Old eFFECTOR with Old eFFECTOR surviving as a wholly owned subsidiary of the Issuer (the "Merger"). Upon consummation of the Merger (the "Effective Time"), each issued and outstanding share of common stock of Old eFFECTOR was automatically cancelled and converted into approximately 0.09657 (the "Exchange Ratio") shares of common stock of the Issuer. Represents 4,109,329 shares acquired in the Merger and 712,785 shares acquired in the private placement which closed concurrently with the Merger.

F2 · ownership.nature: Abingworth Bioventures VI GP LP, a Scottish limited partnership, serves as the general partner of Abingworth Bioventures VI, LP ("ABV VI"). Abingworth General Partner VI LLP, an English limited liability partnership, serves as the general partner of Abingworth Bioventures VI GP LP. ABV VI (acting by its general partner Abingworth Bioventures VI GP LP, acting by its general partner Abingworth General Partner VI LLP) has delegated to Abingworth LLP, an English limited liability partnership, all investment and dispositive power over the securities held by ABV VI.

F3 · ownership.nature: The Reporting Person, a Director of the Issuer, is a member of an investment committee of ABV VI which approves investment and voting decisions by majority vote and no individual member has the sole control or voting power over the securities held by ABV VI. Each of ABV VI, Abingworth LLP, Abingworth Bioventures VI GP LP, Abingworth General Partner VI LLP, the Reporting Person and each member of the Investment Committee disclaims beneficial ownership of the common stock held by ABV VI, except to the extent of their pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person or any other person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

SEC source: 0000899243-18-019455 · doc4.xml · derivative · entry 7

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 454,550 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: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Brian M. Gallagher, Jr. is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

SEC source: 0000899243-18-019455 · doc4.xml · derivative · entry 6

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,300,116 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: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Brian M. Gallagher, Jr. is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

SEC source: 0000899243-18-019455 · doc4.xml · derivative · entry 5

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 1,674,016 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: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · derivative.exercise_date: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F2 · derivative.expiration_date: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Brian M. Gallagher, Jr. is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

SEC source: 0000899243-18-019455 · doc4.xml · nonDerivative · entry 4

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,697,912

F1 · shares: Reflects shares of the Issuer's Common Stock that were purchased in connection with the Issuer's initial public offering.

F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Brian M. Gallagher, Jr. is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

SEC source: 0000899243-18-019455 · doc4.xml · nonDerivative · entry 3

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,428,682

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 · price: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Brian M. Gallagher, Jr. is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

SEC source: 0000899243-18-019455 · doc4.xml · nonDerivative · entry 2

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,974,132

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 · price: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Brian M. Gallagher, Jr. is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

SEC source: 0000899243-18-019455 · doc4.xml · nonDerivative · entry 1

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,674,016

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 · price: The Series A, Series B and Series C Preferred Stock were converted into Common Stock on a 5.5555-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series A, Series B, and Series C Preferred Stock were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The Preferred Stock had no expiration date.

F3 · ownership.nature: S.R. One, Limited, an indirect,wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares reported herein. Brian M. Gallagher, Jr. is a Partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect, wholly-owned subsidiary of GlaxoSmithKline plc. Mr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

SEC source: 0000899243-17-019209 · doc4.xml · derivative · entry 1

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2027-07-24

F1 · derivative.exercise_date: This option was granted on July 25, 2017. The shares underlying the option are scheduled to vest in equal annual installments over three years from July 25, 2017. The option was granted to the Reporting Person as director's compensation. As a Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, the Reporting Person is obligated to transfer any shares issued under the option to S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc.

SEC source: 0000899243-17-018014 · doc4.xml · derivative · entry 6

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 199,173 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: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

SEC source: 0000899243-17-018014 · doc4.xml · derivative · entry 5

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 128,448 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: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

SEC source: 0000899243-17-018014 · doc4.xml · derivative · entry 4

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 148,088 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: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

SEC source: 0000899243-17-018014 · doc4.xml · derivative · entry 3

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

Underlying: Common Stock · 682,476 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: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.exercise_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F1 · derivative.expiration_date: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

SEC source: 0000899243-17-018014 · doc4.xml · nonDerivative · entry 2

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,431,519

F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.

SEC source: 0000899243-17-018014 · doc4.xml · nonDerivative · entry 1

Gallagher Brian M. Jr. · CIK 0001709976 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,158,186

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: The Series D, Series E-2, Series E-3 and Series F Preferred converted into Common Stock on a 9.937-for-one basis upon the closing of the Issuer's initial public offering without payment of consideration. The Series D, Series E-2, Series E-3 and Series F Preferred were convertible at any time at the holder's election and automatically upon the closing of the Issuer's initial public offering. The shares had no expiration date.

F2 · ownership.nature: S.R. One, Limited, an indirect wholly-owned subsidiary of GlaxoSmithKline plc, is the record holder of these shares. Dr. Brian M. Gallagher, Jr. is a partner and Vice President at S.R. One, Limited and an employee of GlaxoSmithKline LLC, an indirect wholly-owned subsidiary of GlaxoSmithKline plc. Dr. Gallagher disclaims beneficial ownership of all shares held by S.R. One, Limited and this report shall not be deemed an admission of beneficial ownership of such shares for the purpose of Section 16 or for any other purpose except to the extent of his pecuniary interest therein.