Trachtenberg Eric

SEC source: 0001415889-24-000772 · form4-01052024_090146.xml · derivative · entry 3

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,500

Underlying: Common Stock · 20,500 shares

Expires 2034-01-03

F6 · derivative.exercise_date: This option was granted on January 4, 2024 and vests over four years beginning on the vesting commencement date of January 4, 2024, with 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter until January 4, 2028, subject to the Reporting Person's continued employment with the Issuer.

SEC source: 0001415889-24-000772 · form4-01052024_090146.xml · nonDerivative · entry 2

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,066

F3 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's RSUs granted on January 4, 2023 and January 4, 2021.

F4 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.73 to $6.94, 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 ranges set forth in this footnote to this Form 4.

F5 · balance_after: Includes 64,149 unvested RSUs.

SEC source: 0001415889-24-000772 · form4-01052024_090146.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,293

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the Reporting Person's continued employment with the Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 4, 2025, as to 1/3 of the shares underlying the RSUs on January 4, 2026 and as to the final 1/3 of shares underlying the RSUs on January 4, 2027.

F2 · balance_after: Includes 67,474 unvested RSUs.

SEC source: 0001415889-23-010286 · form4-06232023_080613.xml · derivative · entry 2

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,078

Underlying: Common Stock · 50,078 shares

Expires 2033-06-21

F3 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010286 · form4-06232023_080613.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,693

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 62,874 unvested RSUs.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 8

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 648 shares

Expires 2032-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F10 · derivative.exercise_date: The canceled option was granted on January 3, 2022 and provided for the purchase of up to 1,620 shares of common stock of the issuer based on the level of achievement of specified performance metrics relating to financial, operational and scientific matters, of which, prior to the option exchange program, options to purchase 432 shares had vested, options to purchase 864 shares had been forfeited and options to purchase up to 324 shares were unvested assuming maximum level of achievement (options to purchase 216 shares were unvested assuming target level of achievement). The vested portion of the option and the unvested portion of the option assuming target level of achievement were eligible for the issuer's option exchange program.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 7

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,059 shares

Expires 2032-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F9 · derivative.exercise_date: The canceled option was granted on January 3, 2022 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 6

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,813 shares

Expires 2031-01-03

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F8 · derivative.exercise_date: The canceled option was granted on January 4, 2021 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 5

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,399 shares

Expires 2030-01-01

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F7 · derivative.exercise_date: The canceled option was granted on January 2, 2020 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 4

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,999 shares

Expires 2029-10-10

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F6 · derivative.exercise_date: The cancelled option was granted on October 11, 2019 and provided for vesting as to 1/48th of the shares underlying the option on November 15, 2019 and as to an additional 1/48th of the shares underlying the option at the end of each successive one month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 3

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,721 shares

Expires 2029-01-01

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F5 · derivative.exercise_date: The canceled option was granted on January 2, 2019 and provided for vesting with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · derivative · entry 2

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,000 shares

Expires 2028-04-04

F3 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F3 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F4 · derivative.exercise_date: The cancelled option was granted on April 5, 2018 and provided for vesting over four years beginning on the vesting commencement date of April 2, 2018, with 25% of the shares underlying the option vested on April 2, 2019, and an additional 1/48th of the shares underlying the option vested at the end of each successive one-month period thereafter.

F3 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009137 · form4-06022023_080620.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,134

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 12,005 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 3,634 RSUs that vest over three years, with 86% of such RSUs vesting on May 31, 2025 and 14% of such RSUs vesting on May 31, 2026, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Includes 25,315 unvested RSUs.

SEC source: 0001415889-23-004977 · form4-03152023_080312.xml · derivative · entry 1

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 432

Underlying: Common Stock · 432 shares

Expires 2032-01-03

F1 · derivative.exercise_date: On January 3, 2022, the Reporting Person was granted an option to purchase up to 1,620 shares of common stock of the Issuer. Specified portions of the options vest based on the level of achievement of specified performance metrics relating to financial, operational and scientific matters.

F2 · derivative.exercise_date: On March 14, 2023, the Compensation Committee of the Issuer's Board of Directors determined that certain of the performance conditions were achieved at specific levels of achievement, resulting in vesting of the option as to 432 shares of common stock. The Compensation Committee has made no determination with respect to certain performance metrics, which could result in the further vesting of up to 324 shares of common stock underlying the option.

SEC source: 0001415889-23-000640 · form4-01062023_080122.xml · nonDerivative · entry 2

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,495

F3 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's performance-based restricted stock units ("RSUs") granted on January 4, 2021.

F4 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.52 to $28.79, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, Inc., 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 ranges set forth in this footnote to this Form 4.

F5 · balance_after: Includes 9,676 unvested RSUs.

SEC source: 0001415889-23-000640 · form4-01062023_080122.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,555

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the Reporting Person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 4, 2024, as to 1/3 of the shares underlying the RSUs on January 4, 2025 and as to the final 1/3 of shares underlying the RSUs on January 4, 2026.

F2 · balance_after: Includes 9,827 unvested RSUs.

SEC source: 0001415889-22-010882 · form4-10282022_041033.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,030

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's performance-based restricted stock units ("RSUs") granted on June 25, 2020.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.51 to $6.62, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, Inc., 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 ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 302 unvested RSUs.

F4 · balance_after: The number of shares of common stock reported on this Form 4 reflects a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-22-007063 · form4-06292022_050647.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,203

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the reporting person's restricted stock units granted on June 25, 2020.

F2 · balance_after: Includes 45,611 unvested RSUs.

SEC source: 0001415889-22-000401 · form4-01052022_080105.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,816

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's restricted stock units granted on January 4, 2021.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.25 to $1.39, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, Inc., 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 ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 53,611 unvested RSUs.

SEC source: 0001415889-22-000401 · form4-01052022_080105.xml · derivative · entry 2

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,000

Underlying: Common Stock · 153,000 shares

Expires 2032-01-03

F4 · derivative.exercise_date: This option was granted on January 3, 2022 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001415889-21-005013 · form4-10282021_051025.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,666

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the Reporting Person's performance-based restricted stock units ("RSUs") granted on June 25, 2020.

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.79 to $1.89, inclusive. The Reporting Person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, Inc., 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 ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 61,166 unvested RSUs.

SEC source: 0001415889-21-003260 · form4-06292021_050658.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,115

F1 · shares: This sale was made pursuant to a 10b5-1 trading plan to cover tax withholding obligations in connection with the vesting and settlement of the reporting person's restricted stock units granted on June 25, 2020.

F2 · balance_after: Includes 91,666 unvested RSUs.

SEC source: 0001179110-21-000173 · edgar.xml · derivative · entry 2

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,667

Underlying: Common Stock · 90,667 shares

Expires 2031-01-03

F3 · derivative.exercise_date: This option was granted on January 4, 2021 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-21-000173 · edgar.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,567

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with Issuer, the RSUs will vest as to 1/3 of the shares underlying the RSUs on January 4, 2022, as to 1/3 of the shares underlying the RSUs on January 4, 2023 and as to the final 1/3 of shares underlying the RSUs on January 4, 2024.

F2 · balance_after: Includes 99,666 unvested RSUs.

SEC source: 0001179110-20-010710 · edgar.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,901

F1 · security: On June 25, 2020, the reporting person was granted performance-based restricted stock unit ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on October 26, 2021, the first anniversary of the achievement of the performance condition, and as to the remaining 50% of the shares underlying the RSUs on October 26, 2022, the second anniversary of the achievement of the performance condition.

F2 · balance_after: Includes 77,000 unvested RSUs.

SEC source: 0001104659-20-078332 · a4.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,901

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued employment with the Issuer, the RSUs will vest as to 50% of the shares underlying the RSUs on June 25, 2021 and the remaining 50% of the shares underlying the RSUs on June 25, 2022.

F2 · balance_after: Includes 16,000 unvested RSUs.

SEC source: 0001179110-20-007674 · edgar.xml · derivative · entry 2

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,099

Underlying: Common Stock · 28,901 shares

Expires 2029-01-01

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: This option was granted on January 2, 2019 and vests over four years, with 1/48th of the shares underlying the option vesting at the end of each successive one-month period following the date of grant.

SEC source: 0001179110-20-007674 · edgar.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,901

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: 0001179110-20-000154 · edgar.xml · derivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2030-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2020 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-19-011016 · edgar.xml · derivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-10-11

F1 · derivative.exercise_date: This option vests as to 2.0833% of the shares underlying the option on November 15, 2019 and as to an additional 2.0833% of the shares underlying the option at the end of each successive one month period thereafter.

SEC source: 0001179110-19-000457 · edgar.xml · derivative · entry 1

Trachtenberg Eric · CIK 0001646300 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 165,000 shares

Expires 2029-01-01

F1 · derivative.exercise_date: This option was granted on January 2, 2019 and vests with respect to 1/48th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001179110-18-005506 · edgar.xml · derivative · entry 1

Trachtenberg Eric · CIK 0001646300 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2028-04-04

F1 · derivative.exercise_date: This option was granted on April 5, 2018 and vests over four years beginning on the vesting commencement date of April 2, 2018, with 25% of the shares underlying the option vesting on April 2, 2019, and an additional 2.0833% of the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001104659-18-019365 · a4.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · GC, CCO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,093

F1 · kind: This represents shares sold by the issuer on behalf of the reporting person pursuant to an instruction made in accordance with Rule 10b5-1 for payment of withholding tax liability incurred upon the vesting of 11,501 restricted stock units, which were previously granted on March 17, 2016 and which vested on March 17, 2018.

SEC source: 0001104659-17-041339 · a4.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · GC, CCO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,564

F1 · kind: This represents shares sold by the issuer on behalf of the reporting person pursuant to an instruction made in accordance with Rule 10b5-1 for payment of withholding tax liability incurred upon the vesting of 25,000 restricted stock units, which vested on June 22, 2017. 6,250 of such restricted stock units were previously granted on June 22, 2015 and 18,750 of such restricted stock units were previously granted on February 12, 2016.

SEC source: 0001104659-17-032417 · a4.xml · derivative · entry 2

Trachtenberg Eric · CIK 0001646300 · GC, CCO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,851

Underlying: Common Shares, without par value · 74,851 shares

Expires 2027-05-11

F3 · derivative.exercise_date: The option vests as to 25% of the shares on May 11, 2018, and the remainder vests in substantially equal monthly installments over the 36 months immediately following such date, subject to continued employment of service to the Company.

SEC source: 0001104659-17-032417 · a4.xml · nonDerivative · entry 1

Trachtenberg Eric · CIK 0001646300 · GC, CCO & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,284

F1 · kind: Restricted Stock Units granted pursuant to the Aralez Pharmaceuticals Inc. 2016 Amended and Restated Long-Term Incentive Plan, which vest in substantially equal annual installments over the three years immediately following the date of grant, subject to continued employment or service to the Company.

F2 · balance_after: Includes 46,499 shares of Common Stock and 162,785 Restricted Stock Units.