Wolff Stefani

SEC source: 0001999371-24-000976 · ownership.xml · derivative · entry 3

Wolff Stefani · CIK 0001751790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

F1 · derivative.exercise_date: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

F1 · derivative.expiration_date: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

SEC source: 0001999371-24-000976 · ownership.xml · derivative · entry 2

Wolff Stefani · CIK 0001751790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

F1 · derivative.exercise_date: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

F1 · derivative.expiration_date: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

SEC source: 0001999371-24-000976 · ownership.xml · derivative · entry 1

Wolff Stefani · CIK 0001751790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

F1 · derivative.exercise_date: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

F1 · derivative.expiration_date: This Form 4 reports securities disposed of pursuant to the terms of the Merger Agreement entered into by and among the Issuer, Pathos AI, Inc. ("Parent") and WK Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"), dated as of December 13, 2023 (the "Merger Agreement"), pursuant to which Merger Sub completed a tender offer for all of the shares of common stock of the Issuer (each, a "Share") and thereafter merged with and into the Issuer effective as of January 26, 2024 (the "Effective Time"). Pursuant to the terms of the Merger Agreement, at the Effective Time, each option to purchase Shares granted under the Issuer's Amended and Restated 2018 Stock Option/Stock Issuance Plan or the Issuer's 2021 Equity Incentive Plan, pursuant to any inducement award or otherwise that was outstanding immediately prior to the Effective Time was cancelled for no consideration.

SEC source: 0001104659-23-090700 · tm2323614-5_4seq1.xml · derivative · entry 1

Wolff Stefani · CIK 0001751790 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-08-09

F1 · derivative.exercise_date: This option represents a right to purchase a total of 35,000 shares of the Issuer's common stock, which will vest in full on the date of the 2024 Annual Meeting of Stockholders of the Issuer, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001209191-23-026527 · doc4.xml · nonDerivative · entry 2

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,113

F2 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F3 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $9.82 and the highest price at which shares were sold was $9.94. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein.

F1 · balance_after: Includes 1,553 shares of Common Stock acquired by the Reporting Person on February 15, 2023 pursuant to the Issuer's employee stock purchase plan.

SEC source: 0001209191-23-026527 · doc4.xml · derivative · entry 3

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,582

Underlying: Common Stock · 962 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The RSUs will vest in substantially equal increments quarterly over four years, with the first quarterly increment vesting on April 30, 2022, subject to the Reporting Person's provision of services to the Issuer on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person following vesting.

F6 · derivative.expiration_date: RSUs do not expire; they either vest or are canceled prior to the vest date.

SEC source: 0001209191-23-026527 · doc4.xml · nonDerivative · entry 1

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,455

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 · balance_after: Includes 1,553 shares of Common Stock acquired by the Reporting Person on February 15, 2023 pursuant to the Issuer's employee stock purchase plan.

SEC source: 0001209191-23-009712 · doc4.xml · derivative · entry 2

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock upon settlement.

F3 · derivative.exercise_date: The RSUs will vest as to 1/12 of the total award quarterly over three years, with the first quarterly increment vesting on April 30, 2023, subject to the Reporting Person's provision of services to the Issuer on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person following vesting.

F4 · derivative.expiration_date: RSUs do not expire; they either vest or are canceled prior to the vest date.

SEC source: 0001209191-23-009712 · doc4.xml · derivative · entry 1

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,900

Underlying: Common Stock · 88,900 shares

Expires 2033-02-13

F1 · derivative.exercise_date: The stock option vests as to 1/36 of the total shares monthly beginning March 14, 2023 until the option is fully vested on February 14, 2026, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001209191-23-005910 · doc4.xml · derivative · entry 3

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,544

Underlying: Common Stock · 962 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.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: The RSUs will vest in substantially equal increments quarterly over four years, with the first quarterly increment vesting on April 30, 2022, subject to the Reporting Person's provision of services to the Issuer on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person following vesting.

F5 · derivative.expiration_date: RSUs do not expire; they either vest or are canceled prior to the vest date.

SEC source: 0001209191-23-005910 · doc4.xml · nonDerivative · entry 2

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,940

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $11.60 and the highest price at which shares were sold was $12.00. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein.

SEC source: 0001209191-23-005910 · doc4.xml · nonDerivative · entry 1

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,364

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: 0001209191-22-055136 · doc4.xml · nonDerivative · entry 2

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,402

F2 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F3 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $12.76 and the highest price at which shares were sold was $12.99. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein.

SEC source: 0001209191-22-055136 · doc4.xml · derivative · entry 3

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,506

Underlying: Common Stock · 962 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.

F4 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F5 · derivative.exercise_date: The RSUs will vest in substantially equal increments quarterly over four years, with the first quarterly increment vesting on April 30, 2022, subject to the Reporting Person's provision of services to the Issuer on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person following vesting.

F6 · derivative.expiration_date: RSUs do not expire; they either vest or are canceled prior to the vest date.

SEC source: 0001209191-22-055136 · doc4.xml · nonDerivative · entry 1

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,752

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 · balance_after: Includes 1,552 shares of Common Stock acquired by the Reporting Person on August 15, 2022 pursuant to the Issuer's employee stock purchase plan.

SEC source: 0001209191-22-045196 · doc4.xml · derivative · entry 1

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,375

Underlying: Common Stock · 110,375 shares

Expires 2032-08-08

F1 · derivative.exercise_date: The stock option vests as to 1/48 of the total shares monthly beginning September 9, 2022 until the option is fully vested on August 9, 2026, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0001209191-22-043963 · doc4.xml · nonDerivative · entry 2

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,238

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

F2 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $15.32 and the highest price at which shares were sold was $16.01. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the range set forth herein.

SEC source: 0001209191-22-043963 · doc4.xml · derivative · entry 3

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,468

Underlying: Common Stock · 962 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.

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F4 · derivative.exercise_date: The RSUs will vest in substantially equal increments quarterly over four years, with the first quarterly increment vesting on April 30, 2022, subject to the Reporting Person's provision of services to the Issuer on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person following vesting.

F5 · derivative.expiration_date: RSUs do not expire; they either vest or are canceled prior to the vest date.

SEC source: 0001209191-22-043963 · doc4.xml · nonDerivative · entry 1

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,594

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: 0000899243-22-029316 · doc4.xml · derivative · entry 1

Wolff Stefani · CIK 0001751790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2032-06-01

F1 · derivative.exercise_date: This option represents a right to purchase a total of 20,000 shares of the Issuer's common stock, which will vest in full on June 1, 2023, subject to the Reporting Person's continued service to the Issuer.

SEC source: 0001209191-22-026891 · doc4.xml · nonDerivative · entry 2

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 632

F1 · kind: The sales reported on this Form 4 represent shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales are mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and do not represent discretionary trades by the Reporting Person.

SEC source: 0001209191-22-026891 · doc4.xml · derivative · entry 3

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,430

Underlying: Common Stock · 962 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: Each RSU represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The RSUs will vest in substantially equal increments quarterly over four years, with the first quarterly increment vesting on April 30, 2022, subject to the Reporting Person's provision of services to the Issuer on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person following vesting.

F4 · derivative.expiration_date: RSUs do not expire; they either vest or are canceled prior to the vest date.

SEC source: 0001209191-22-026891 · doc4.xml · nonDerivative · entry 1

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 962

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: 0001209191-22-004409 · doc4.xml · derivative · entry 2

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,392

Underlying: Common Stock · 15,392 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The RSUs will vest in substantially equal increments quarterly over four years, with the first quarterly increment vesting on April 30, 2022, subject to the Reporting Person's provision of services to the Issuer on each vesting date. Shares of the Issuer's Common Stock will be delivered to the Reporting Person following vesting.

F4 · derivative.expiration_date: RSUs do not expire; they either vest or are canceled prior to the vest date.

SEC source: 0001209191-22-004409 · doc4.xml · derivative · entry 1

Wolff Stefani · CIK 0001751790 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,631

Underlying: Common Stock · 34,631 shares

Expires 2032-01-18

F1 · derivative.exercise_date: The stock option vests as to 1/48 of the total shares monthly beginning February 19, 2022 until the option is fully vested on January 19, 2026, subject to the Reporting Person's provision of service to the Issuer on each vesting date.

SEC source: 0000899243-21-019787 · doc4.xml · derivative · entry 1

Wolff Stefani · CIK 0001751790 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2031-05-14

F1 · derivative.exercise_date: This option represents a right to purchase a total of 24,000 shares of the Issuer's common stock, which will vest in equal monthly installments through May 14, 2024, subject to the Reporting Person's continued service to the Issuer..

SEC source: 0001209191-20-052227 · doc4.xml · derivative · entry 8

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 55,000 shares

Expires 2030-03-04

F2 · kind: Pursuant to the Merger Agreement, at 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.

F2 · price: Pursuant to the Merger Agreement, at 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.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, at 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: 0001209191-20-052227 · doc4.xml · derivative · entry 7

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,000 shares

Expires 2029-02-28

F2 · kind: Pursuant to the Merger Agreement, at 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.

F2 · price: Pursuant to the Merger Agreement, at 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.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, at 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: 0001209191-20-052227 · doc4.xml · derivative · entry 6

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 55,042 shares

Expires 2028-08-27

F2 · kind: Pursuant to the Merger Agreement, at 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.

F2 · price: Pursuant to the Merger Agreement, at 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.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, at 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: 0001209191-20-052227 · doc4.xml · derivative · entry 5

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,017 shares

Expires 2028-08-23

F2 · kind: Pursuant to the Merger Agreement, at 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.

F2 · price: Pursuant to the Merger Agreement, at 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.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, at 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: 0001209191-20-052227 · doc4.xml · derivative · entry 4

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,843 shares

Expires 2027-12-13

F2 · kind: Pursuant to the Merger Agreement, at 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.

F2 · price: Pursuant to the Merger Agreement, at 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.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, at 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: 0001209191-20-052227 · doc4.xml · derivative · entry 3

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,056 shares

Expires 2027-02-15

F2 · kind: Pursuant to the Merger Agreement, at 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.

F2 · price: Pursuant to the Merger Agreement, at 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.

F2 · derivative.exercise_date: Pursuant to the Merger Agreement, at 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: 0001209191-20-052227 · doc4.xml · nonDerivative · entry 2

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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"). At the effective time of the Merger (the "Effective Time"), these shares were canceled in exchange for $100.00 per share in cash, without interest and subject to any applicable withholding taxes.

SEC source: 0001209191-20-052227 · doc4.xml · nonDerivative · entry 1

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,592

SEC source: 0001209191-20-037486 · doc4.xml · nonDerivative · entry 3

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,096

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

SEC source: 0001209191-20-037486 · doc4.xml · nonDerivative · entry 2

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,196

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

F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $60.20 to $61.17 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: 0001209191-20-037486 · doc4.xml · nonDerivative · entry 1

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,200

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 $59.18 to $60.13 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: 0001209191-20-020043 · doc4.xml · derivative · entry 4

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,047

Underlying: Common Stock · 5,504 shares

Expires 2027-02-15

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.

F4 · derivative.exercise_date: The stock option vested and became exercisable as to 25% of the shares subject to the option on July 1, 2017, 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 employment of the Reporting Person on each vesting date.

SEC source: 0001209191-20-020043 · doc4.xml · nonDerivative · entry 3

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,609

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

F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $46.08 to $46.60 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: 0001209191-20-020043 · doc4.xml · nonDerivative · entry 2

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,359

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 $45.05 to $46.01 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: 0001209191-20-020043 · doc4.xml · nonDerivative · entry 1

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,113

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: 0001209191-20-037484 · doc4a.xml · nonDerivative · entry 2

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,600

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

F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $46.08 to $46.60 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: 0001209191-20-037484 · doc4a.xml · nonDerivative · entry 1

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,350

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 $45.05 to $46.01 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.

F3 · balance_after: Due to administrative error, stock options were incorrectly reported as exercised on the original Form 4 filed on March 18, 2020, pursuant to a 10b5-1 transaction. That original Form 4 is hereby amended in its entirety.

SEC source: 0001209191-20-016696 · doc4.xml · derivative · entry 1

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2030-03-04

F1 · derivative.exercise_date: The stock option vests and becomes exercisable as to 25% of the shares subject to the option on March 5, 2021, 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 employment of the Reporting Person on each vesting date.

SEC source: 0001209191-19-061189 · doc4.xml · derivative · entry 4

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,551

Underlying: Common Stock · 5,505 shares

Expires 2027-02-15

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.

F5 · derivative.exercise_date: The stock option vested and became exercisable as to 25% of the shares subject to the option on July 1, 2017, 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 employment of the Reporting Person on each vesting date.

SEC source: 0001209191-19-061189 · doc4.xml · nonDerivative · entry 3

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,609

F2 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F4 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $49.855 to $49.87 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: 0001209191-19-061189 · doc4.xml · nonDerivative · entry 2

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,909

F2 · kind: The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan.

F3 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $48.81 to $49.725 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: 0001209191-19-061189 · doc4.xml · nonDerivative · entry 1

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,114

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 · balance_after: Includes 2,500 shares and 441 shares acquired under the Employment Stock Purchase Plan on May 15, 2019 and November 15, 2019 respectively.

SEC source: 0001209191-20-037483 · doc4a.xml · nonDerivative · entry 2

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,104

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

F5 · price: Represents the weighted average sales price per share. The shares sold at prices ranging from $49.855 to $49.87 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: 0001209191-20-037483 · doc4a.xml · nonDerivative · entry 1

Wolff Stefani · CIK 0001751790 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,404

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 $48.81 to $49.725 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.

F3 · balance_after: Includes 2,500 shares and 441 shares acquired under the Employment Stock Purchase Plan on May 15, 2019 and November 15, 2019 respectively.

F4 · balance_after: Due to administrative error, stock options were incorrectly reported as exercised on the original Form 4 filed on December 18, 2019, pursuant to a 10b5-1 transaction. That original Form 4 is hereby amended in its entirety.