CATLIN AVERY W

SEC source: 0000950170-24-068035 · ownership.xml · nonDerivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,350

F1 · shares: On May 30, 2024, 2,783 restricted stock units ("RSUs") were granted, which will be settled in shares of common stock, par value $0.0001. The RSUs will vest 100% on the one-year anniversary from the date of grant.

F2 · balance_after: This amount includes 2,783 unvested RSUs that were granted on May 30, 2024 and will vest 100% on the one-year anniversary from the date of grant.

SEC source: 0001209191-24-005672 · doc4.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,783

Underlying: Common Stock · 2,783 shares

Expires 2034-05-16

F1 · derivative.exercise_date: The annual option award was made in accordance with the terms of the issuer's 2024 Equity Compensation Plan. The option will vest 100% on the one-year anniversary from the date of grant.

SEC source: 0001209191-23-031441 · doc4.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,300

Underlying: Common Stock · 5,300 shares

Expires 2033-05-18

F1 · derivative.exercise_date: The annual option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest 100% on the one year anniversay from the date of grant.

SEC source: 0001493152-23-013910 · ownership.xml · derivative · entry 7

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 33,000 shares

Expires not disclosed

F2 · price: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · price: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

F2 · derivative.exercise_date: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · derivative.exercise_date: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

F2 · derivative.expiration_date: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · derivative.expiration_date: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

SEC source: 0001493152-23-013910 · ownership.xml · derivative · entry 6

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,000 shares

Expires not disclosed

F2 · price: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · price: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

F2 · derivative.exercise_date: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · derivative.exercise_date: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

F2 · derivative.expiration_date: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · derivative.expiration_date: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

SEC source: 0001493152-23-013910 · ownership.xml · derivative · entry 5

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,200 shares

Expires not disclosed

F2 · price: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · price: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

F2 · derivative.exercise_date: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · derivative.exercise_date: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

F2 · derivative.expiration_date: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · derivative.expiration_date: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

SEC source: 0001493152-23-013910 · ownership.xml · derivative · entry 4

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,000 shares

Expires not disclosed

F2 · price: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · price: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

F2 · derivative.exercise_date: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · derivative.exercise_date: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

F2 · derivative.expiration_date: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · derivative.expiration_date: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

SEC source: 0001493152-23-013910 · ownership.xml · derivative · entry 3

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 128,981 shares

Expires not disclosed

F2 · price: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · price: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

F2 · derivative.exercise_date: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · derivative.exercise_date: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

F2 · derivative.expiration_date: Pursuant to the actions of the board of directors of the Issuer and in accordance with the terms of the Merger Agreement, at the Effective Time, each option to purchase shares of Company Common Stock granted under an Issuer equity plan (each, a "Company Stock Option") that was outstanding and unvested immediately prior to the Effective Time vested in full.

F3 · derivative.expiration_date: As of the Effective Time, each Company Stock Option that was outstanding and vested immediately prior to the Effective Time was cancelled, and, in exchange therefor, the holder of such cancelled Company Stock Option became entitled to receive in consideration of the cancellation of such Company Stock Option, an amount in cash (without interest and less applicable tax withholdings) equal to the product of (x) the total number of shares of Company Common Stock subject to such Company Stock Option immediately prior to the Effective Time multiplied by (y) the excess, if any, of the Offer Price over the applicable exercise price per share of Company Common Stock under such Company Stock Option.

SEC source: 0001493152-23-013910 · ownership.xml · nonDerivative · entry 2

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By the Avery Catlin Charitable Giving Fund

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 12, 2023, by and among the Issuer, Sanofi S.A. ("Parent"), and Zest Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer (the "Merger") effective as of April 27, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding share of Company Common Stock was cancelled and converted into the right to receive $25.00 in cash (the "Offer Price") without interest and subject to applicable withholding of taxes.

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 12, 2023, by and among the Issuer, Sanofi S.A. ("Parent"), and Zest Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer (the "Merger") effective as of April 27, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding share of Company Common Stock was cancelled and converted into the right to receive $25.00 in cash (the "Offer Price") without interest and subject to applicable withholding of taxes.

SEC source: 0001493152-23-013910 · ownership.xml · nonDerivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By the Avery W. Catlin Revocable Trust

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 12, 2023, by and among the Issuer, Sanofi S.A. ("Parent"), and Zest Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer (the "Merger") effective as of April 27, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding share of Company Common Stock was cancelled and converted into the right to receive $25.00 in cash (the "Offer Price") without interest and subject to applicable withholding of taxes.

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of March 12, 2023, by and among the Issuer, Sanofi S.A. ("Parent"), and Zest Acquisition Sub, Inc., an indirect wholly owned subsidiary of Parent ("Purchaser"), pursuant to which Purchaser completed a tender offer for shares of common stock of the Issuer ("Company Common Stock") and thereafter merged with and into the Issuer (the "Merger") effective as of April 27, 2023 (the "Effective Time"). At the Effective Time, each issued and outstanding share of Company Common Stock was cancelled and converted into the right to receive $25.00 in cash (the "Offer Price") without interest and subject to applicable withholding of taxes.

SEC source: 0001493152-23-012387 · ownership.xml · nonDerivative · entry 2

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By the Avery Catlin Charitable Giving Fund

Disclosed balance after: 10,000

F1 · kind: This transaction involved a bona fide gift of securities by the reporting person to the Avery Catlin Charitable Giving Fund.

SEC source: 0001493152-23-012387 · ownership.xml · nonDerivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

F1 · kind: This transaction involved a bona fide gift of securities by the reporting person to the Avery Catlin Charitable Giving Fund.

SEC source: 0001209191-22-030437 · doc4.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,600

Underlying: Common Stock · 79,600 shares

Expires 2032-05-18

F1 · security: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

SEC source: 0001493152-22-014366 · ownership.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

Underlying: Common Stock, par value $0.0001 · 33,000 shares

Expires 2032-05-17

F2 · price: The securities were granted pursuant to the Issuer's Amended and Restated 2017 Equity Incentive Plan.

F1 · derivative.exercise_date: The options will vest in full and become exercisable upon the earlier to occur of (a) the business day before the Issuer's next annual meeting of stockholders and (b) May 17, 2023.

SEC source: 0001209191-21-041455 · doc4.xml · derivative · entry 2

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,200

Underlying: Common Stock · 58,200 shares

Expires 2031-06-17

F2 · derivative.exercise_date: Represents a special retention award comprised of options to purchase common stock. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

SEC source: 0001209191-21-041455 · doc4.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,200

Underlying: Common Stock · 58,200 shares

Expires 2031-06-17

F1 · derivative.exercise_date: The annual option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

SEC source: 0001493152-21-011589 · ownership.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock, par value $0.0001 · 23,000 shares

Expires 2031-05-12

F2 · price: The securities were granted pursuant to the Issuer's Amended and Restated 2017 Equity Incentive Plan.

F1 · derivative.exercise_date: The options will vest in full and become exercisable upon the earlier to occur of (a) the business day before the Issuer's next annual meeting of stockholders and (b) May 12, 2022.

SEC source: 0001493152-20-013477 · ownership.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,200

Underlying: Common Stock, par value $0.0001 · 22,200 shares

Expires 2030-07-15

F2 · price: The securities were granted pursuant to the Issuer's Amended and Restated 2017 Equity Incentive Plan.

F1 · derivative.exercise_date: 22,200 option shares vest on July 15, 2021.

SEC source: 0001209191-20-031659 · doc4.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,500

Underlying: Common Stock · 40,500 shares

Expires 2030-05-20

F1 · security: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

SEC source: 0001493152-19-009698 · ownership.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock, par value $0.0001 · 24,000 shares

Expires 2029-06-24

F2 · price: The securities were granted pursuant to the Issuer's Amended and Restated 2017 Equity Incentive Plan.

F1 · derivative.exercise_date: The option fully vests on May 28, 2020.

SEC source: 0001209191-19-039459 · doc4.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,300

Underlying: Common Stock · 33,300 shares

Expires 2029-05-22

F1 · security: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

SEC source: 0001493152-18-018016 · ownership.xml · nonDerivative · entry 2

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Avery W. Catlin Revocable Trust

Disclosed balance after: 20,000

SEC source: 0001493152-18-018016 · ownership.xml · nonDerivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Avery W. Catlin Revocable Trust

Disclosed balance after: 15,000

SEC source: 0001493152-18-015651 · ownership.xml · nonDerivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By the Avery W. Catlin Revocable Trust

Disclosed balance after: 10,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.09 to $3.17, inclusive. The reporting person undertakes to provide to Provention Bio, Inc., any security holder of Provention Bio, Inc., 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 ranges set forth in footnote (1) to this Form 4.

SEC source: 0001493152-18-012925 · ownership.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,981

Underlying: Common Stock, par value $0.0001 · 128,981 shares

Expires 2028-09-05

F2 · price: The securities were granted pursuant to the Issuer's Amended and Restated 2017 Equity Incentive Plan.

F1 · derivative.exercise_date: The option vests in eight equal semi-annual installments commencing on March 5, 2019 and will become fully vested on September 5, 2022.

SEC source: 0001209191-18-033766 · doc4.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,000

Underlying: Common Stock · 34,000 shares

Expires 2028-05-24

F1 · security: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

SEC source: 0001209191-17-035856 · doc4.xml · derivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,500

Underlying: Common Stock · 30,500 shares

Expires 2027-05-25

F1 · security: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

F1 · derivative.exercise_date: The option award was made in accordance with the terms of the issuer's 2014 Equity Compensation Plan. The option will vest in equal monthly installments over the course of 12 months beginning on the date of grant.

SEC source: 0001209191-17-031737 · doc4.xml · nonDerivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,000

SEC source: 0001209191-16-151670 · doc4.xml · nonDerivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

SEC source: 0001179110-16-029382 · edgar.xml · derivative · entry 2

CATLIN AVERY W · CIK 0001255348 · Sr. VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 10,000 shares

Expires 2021-08-05

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_date: As of August 5, 2015, the option is fully vested.

SEC source: 0001179110-16-029382 · edgar.xml · nonDerivative · entry 1

CATLIN AVERY W · CIK 0001255348 · Sr. VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,586

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.