KHOSLA CHAITAN PHD

SEC source: 0001104659-24-070939 · tm2417145-1_4seq1.xml · nonDerivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,889

F1 · shares: On June 11, 2024, the Reporting Person was granted 24,889 restricted stock units, which will be settled in shares of common stock, par value $0.0001. The restricted stock units vest in three equal increments on July 1, 2024, September 30, 2024, and December 31, 2024.

F2 · balance_after: Includes unvested RSUs.

SEC source: 0001493152-24-010162 · ownership.xml · derivative · entry 3

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,980

Underlying: Common Stock, par value $0.0001 per share · 52,980 shares

Expires 2031-02-01

F6 · price: Pursuant to the terms of the Merger Agreement, the option to acquire 20,000 shares of common stock, par value $0.0001 per share, of ImmunogenX (the "Original Amount") at an exercise price of $2.14 per share (the "Original Exercise Price") that was originally granted on February 1, 2021 under the ImmunogenX 2021 Stock Option Plan was assumed by the Issuer and converted into an option to purchase a number of shares of Common Stock of the Issuer equal to the Original Amount multiplied by 2.649 (the "Exchange Ratio") at an exercise price equal to the Original Exercise Price divided by the Exchange Ratio. The option will continue to be governed by the same terms and conditions as were applicable to such option immediately prior to the Effective Time.

F5 · derivative.exercise_date: The option was fully vested at the effective time of the Merger (the "Effective Time").

SEC source: 0001493152-24-010162 · ownership.xml · derivative · entry 2

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 140.7

Underlying: Common Stock, par value $0.0001 per share · 140,700 shares

Expires not disclosed

F3 · derivative.exercise_price: The shares of Preferred Stock will automatically convert into shares of Common Stock at a ratio of 1-for-1,000 on the third business day after the date that the Issuer's stockholders approve the conversion of the Preferred Stock into shares of Common Stock, subject to certain beneficial ownership limitations. The Preferred Stock contains a conversion limitation prohibiting the Reporting Person from converting the Preferred Stock until such time as the Reporting Person would not beneficially own after such conversion more than 19.9% of the then issued and outstanding Common Stock. The blocker percentage may be decreased to 4.9% or otherwise adjusted by the Reporting Person upon 61 days' notice to the Issuer.

F1 · price: On March 13, 2024, the Issuer acquired ImmunogenX, Inc. ("ImmunogenX") in accordance with the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated March 13, 2024, by and among the Issuer, IMMUNO Merger Sub I, Inc., IMMUNO Merger Sub II, LLC, and ImmunogenX (the "Merger"). The shares of common stock, par value $0.0001 per share (the "Common Stock"), of the Issuer and the shares of Series G Preferred Stock, par value $0.0001 per share (the "Preferred Stock") of the Issuer were received by the Reporting Person in the Merger in exchange for an aggregate of 34,159 shares of preferred stock, par value $0.0001 per share, of ImmunogenX.

F3 · derivative.exercise_date: The shares of Preferred Stock will automatically convert into shares of Common Stock at a ratio of 1-for-1,000 on the third business day after the date that the Issuer's stockholders approve the conversion of the Preferred Stock into shares of Common Stock, subject to certain beneficial ownership limitations. The Preferred Stock contains a conversion limitation prohibiting the Reporting Person from converting the Preferred Stock until such time as the Reporting Person would not beneficially own after such conversion more than 19.9% of the then issued and outstanding Common Stock. The blocker percentage may be decreased to 4.9% or otherwise adjusted by the Reporting Person upon 61 days' notice to the Issuer.

F4 · derivative.expiration_date: The Preferred Stock is perpetual and therefore has no expiration date.

F2 · ownership.nature: Held directly by the Chaitan Khosla Living Trust, in which the Reporting Person serves as the sole Trustee. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001493152-24-010162 · ownership.xml · nonDerivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 440

F1 · price: On March 13, 2024, the Issuer acquired ImmunogenX, Inc. ("ImmunogenX") in accordance with the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated March 13, 2024, by and among the Issuer, IMMUNO Merger Sub I, Inc., IMMUNO Merger Sub II, LLC, and ImmunogenX (the "Merger"). The shares of common stock, par value $0.0001 per share (the "Common Stock"), of the Issuer and the shares of Series G Preferred Stock, par value $0.0001 per share (the "Preferred Stock") of the Issuer were received by the Reporting Person in the Merger in exchange for an aggregate of 34,159 shares of preferred stock, par value $0.0001 per share, of ImmunogenX.

F2 · ownership.nature: Held directly by the Chaitan Khosla Living Trust, in which the Reporting Person serves as the sole Trustee. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-20-046427 · doc4.xml · derivative · entry 3

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,499

Underlying: Common Stock · 2,499 shares

Expires 2024-10-22

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: This option is fully vested.

SEC source: 0001209191-20-046427 · doc4.xml · nonDerivative · entry 2

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.91 to $17.46, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001209191-20-046427 · doc4.xml · nonDerivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,499

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: 0001209191-20-033020 · doc4.xml · derivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-05-27

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier of (i) May 28, 2021, or (ii) the date of the 2021 Annual Meeting of stockholders of the Issuer, subject to the non-employee director's continuous service with the Issuer through such dates. The shares subject to this option will vest in full upon completion of a Change in Control (as defined in the Issuer's 2016 Equity Incentive Plan).

SEC source: 0001209191-20-023949 · doc4.xml · derivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2029-08-14

SEC source: 0001209191-19-036203 · doc4.xml · derivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2029-06-06

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier of (i) June 7, 2020, or (ii) the date of the 2020 Annual Meeting of stockholders of the Issuer, subject to the non-employee director's continuous service with the Issuer through such dates. The shares subject to this option will vest in full upon completion of a Change in Control (as defined in the Issuer's 2016 Equity Incentive Plan).

SEC source: 0001209191-18-037310 · doc4.xml · derivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2028-05-28

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier on (i) May 29, 2019, or (ii) the date of the 2019 Annual Meeting of stockholders of the Issuer, subject to the non-employee director's continuous service with the Issuer through such dates. The shares subject to this option will vest in full upon completion of a Change in Control (as defined in the Issuer's 2016 Equity Incentive Plan).

SEC source: 0001209191-19-022776 · doc4.xml · derivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2028-05-14

F1 · derivative.exercise_date: The stock option vests in 12 equal monthly installments following the date of grant.

SEC source: 0001209191-17-035964 · doc4.xml · derivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-05-25

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier on (i) May 25, 2018, or (ii) the date of the 2018 Annual Meeting of stockholders of the Issuer, subject to the non-employee director's continuous service with the Issuer through such dates. The shares subject to this option will vest in full upon completion of a Change in Control (as defined in the Issuer's 2016 Equity Incentive Plan).

SEC source: 0001209191-16-141587 · doc4.xml · derivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2026-09-13

F1 · derivative.exercise_date: The shares subject to the option shall vest in equal monthly installments over a three-year period from the vesting commencement date of August 10, 2016.

SEC source: 0001209191-16-143095 · doc4a.xml · derivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2026-09-13

F1 · security: This option was inadvertently omitted from the Reporting Person's original Form 4 filed with the SEC on September 15, 2016.

F2 · derivative.exercise_date: The shares subject to the option shall vest in equal monthly installments over a one-year period from the vesting commencement date of August 10, 2016.