Open-mkt buys · 90d
—
0 trades · 0 insiders
Open-mkt sales · 90d
—
0 trades · 0 insiders
Net · 90d
$0
Insiders on file
41
Daily buy vs sell · 90 days
No data yet.
Insiders
| Insider | Role | Trades | Bought | Sold | Last trade |
|---|---|---|---|---|---|
| WINDSOR JAMES BRIAN | President and COO | 7 | $11.7K | $0 | 2024-12-05 |
| Fairey William | Director | 3 | $0 | $0 | 2024-12-02 |
| Ambros Reinhard J. | Director | 19 | $4.01M | $0 | 2024-12-02 |
| Aivado Manuel | See Remarks | 10 | $5.6K | $0 | 2024-12-02 |
| Musso Alan A | Director | 3 | $0 | $0 | 2024-12-02 |
| VON RICKENBACH JOSEF H | Director | 15 | $400.3K | $0 | 2024-12-02 |
| UNIVERSITY OF TEXAS/TEXAS AM INVESTMENT MANAGEMENT CO | 10% Owner | 52 | $0 | $367.4K | 2024-06-17 |
| Morrison Jodie Pope | Director | 6 | $0 | $0 | 2022-06-15 |
| Bailey Jeffrey Allen | Director | 9 | $38.6K | $0 | 2022-06-15 |
| Sigal Nolan Howard | Director | 5 | $0 | $0 | 2022-06-15 |
| MCKEE WILLIAM | Director | 4 | $0 | $0 | 2022-06-15 |
| Wanstall Rick | VP, Finance and Operations | 6 | $0 | $0 | 2022-03-30 |
| Annis Allen | SVP, Research | 5 | $0 | $0 | 2022-03-30 |
| Vukovic Vojo | SVP, Chief Medical Officer | 7 | $44.3K | $0 | 2022-03-30 |
| Satter Muneer A | See Remarks | 8 | $14.47M | $0 | 2021-01-08 |
| Gregory Kathryn | SVP, Chief Business Officer | 4 | $29.3K | $0 | 2020-01-31 |
| MCARTHUR JOHN H | Director | 3 | $0 | $0 | 2019-06-19 |
| Dougherty Donald | SVP & Chief Financial Officer | 5 | $26.7K | $0 | 2019-04-15 |
| NOVARTIS AG | 10% Owner | 20 | $4.00M | $485.9K | 2019-04-01 |
| Novartis Bioventures Ltd | 10% Owner | 15 | $0 | $627.6K | 2019-03-15 |
| LONGENECKER JOHN P PHD | President and CEO | 2 | $24.5K | $0 | 2018-08-10 |
| Apple Tree Partners II - Annex, L.P. | 10% Owner | 4 | $0 | $0 | 2018-07-06 |
| APPLE TREE PARTNERS II LP | 10% Owner | 24 | $0 | $3.08M | 2018-07-06 |
| Winder Caleb Maxfield | Director | 2 | $0 | $0 | 2018-06-21 |
| Shanafelt Armen | Director | 8 | $3.75M | $0 | 2018-06-21 |
| Gallagher Brian M. Jr. | Director | 7 | $4.10M | $0 | 2017-07-25 |
| Kapnick Scott | Director, 10% Owner | 10 | $4.39M | $0 | 2017-07-25 |
| Nelson Kira | See Remarks | 1 | $0 | $0 | 2017-07-25 |
| Yanchik Joseph A., III | See Remarks | 1 | $0 | $0 | 2017-07-25 |
| ROCHE HOLDING LTD | 10% Owner | 6 | $1.79M | $0 | 2017-07-05 |
| AJU IB Investment Co., Ltd. | 10% Owner | 5 | $373.9K | $0 | 2017-07-05 |
| Sigma Emerging Markets Ltd. | 10% Owner | 3 | $2.85M | $0 | 2017-07-05 |
| KCK LTD. | 10% Owner | 4 | $3.00M | $0 | 2017-07-05 |
| Platt Jon B. | 10% Owner | 5 | $0 | $0 | 2017-07-05 |
| Lilly Ventures Fund I LLC | Other | 6 | $3.75M | $0 | 2017-07-05 |
| Gullans Steven R. Ph.D. | 10% Owner | 6 | $900.0K | $0 | 2017-07-05 |
| CVF, LLC | 10% Owner | 4 | $2.70M | $0 | 2017-07-05 |
| Glover Glenda Baskin | Director | 1 | $0 | $0 | 2012-06-06 |
| KNAUER GARY J | CFO, Treasurer & Secretary | 1 | $0 | $0 | 2012-06-06 |
| GELMAN GARY | Chairman, President & CEO | 1 | $2.00M | $0 | 2012-01-03 |
| Gelman 2008 Trust The Edward & Michael | 10% Owner | 1 | $0 | $2.00M | 2012-01-03 |
Trade history
| Insider | Role | Code | Trade | Filed | Shares | Price | Value | Owned after | |
|---|---|---|---|---|---|---|---|---|---|
| WINDSOR JAMES BRIAN | President and CEO | P Buy | 2024-12-05 | 2024-12-09 | 161 | $2.25 | $362 | 161 | SEC↗ |
| WINDSOR JAMES BRIAN | President and CEO | P Buy | 2024-12-05 | 2024-12-09 | 239 | $2.24 | $535 | 239 | SEC↗ |
| WINDSOR JAMES BRIAN | President and CEO | A Award deriv | 2024-12-02 | 2024-12-04 | 517,500 | — | $0 | 517,500 | SEC↗ |
| Musso Alan A | Director | A Award deriv | 2024-12-02 | 2024-12-06 | 35,000 | — | $0 | 35,000 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | A Award deriv | 2024-12-02 | 2024-12-06 | 35,000 | — | $0 | 35,000 | SEC↗ |
| Fairey William | Director | A Award deriv | 2024-12-02 | 2024-12-06 | 35,000 | — | $0 | 35,000 | SEC↗ |
| Ambros Reinhard J. | Director | A Award deriv | 2024-12-02 | 2024-12-06 | 35,000 | — | $0 | 35,000 | SEC↗ |
| Aivado Manuel | Director | A Award deriv | 2024-12-02 | 2024-12-06 | 35,000 | — | $0 | 35,000 | SEC↗ |
| Musso Alan A | Director | A Award deriv | 2024-08-20 | 2024-08-22 | 2,725 | — | $0 | 2,725 | SEC↗ |
| Ambros Reinhard J. | Director | A Award deriv | 2024-08-20 | 2024-08-22 | 2,725 | — | $0 | 2,725 | SEC↗ |
| Fairey William | Director | A Award deriv | 2024-08-20 | 2024-08-22 | 2,725 | — | $0 | 2,725 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | A Award deriv | 2024-08-20 | 2024-08-22 | 2,725 | — | $0 | 2,725 | SEC↗ |
| Aivado Manuel | Director | A Award deriv | 2024-08-20 | 2024-08-22 | 2,725 | — | $0 | 2,725 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-06-17 | 2024-06-17 | 4,707 | $3.25 | $15.3K | 1,746,549 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-06-14 | 2024-06-17 | 1,900 | $3.30 | $6.3K | 1,751,256 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-06-12 | 2024-06-12 | 1 | $3.28 | $3 | 1,753,156 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-06-12 | 2024-06-12 | 9,341 | $3.25 | $30.4K | 1,753,157 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-06-11 | 2024-06-12 | 5,250 | $3.25 | $17.1K | 1,763,000 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-06-11 | 2024-06-12 | 502 | $3.35 | $1.7K | 1,762,498 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-06-10 | 2024-06-12 | 9,577 | $3.30 | $31.6K | 1,768,250 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-06-07 | 2024-06-07 | 1,564 | $3.25 | $5.1K | 1,778,003 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-06-07 | 2024-06-07 | 176 | $3.30 | $581 | 1,777,827 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-06-06 | 2024-06-07 | 3,184 | $3.30 | $10.5K | 1,779,567 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-06-06 | 2024-06-07 | 1,100 | $3.27 | $3.6K | 1,782,751 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-06-05 | 2024-06-07 | 6,291 | $3.30 | $20.8K | 1,783,851 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 2,903 | $4.29 | $12.5K | 1,779,331 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 200 | $4.29 | $858 | 1,782,234 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 337 | $4.28 | $1.4K | 1,782,434 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 200 | $4.28 | $856 | 1,782,771 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 100 | $4.27 | $427 | 1,782,971 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 317 | $4.27 | $1.4K | 1,783,071 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 310 | $4.26 | $1.3K | 1,783,388 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 7,923 | $4.25 | $33.7K | 1,783,698 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 400 | $4.18 | $1.7K | 1,791,621 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 670 | $4.15 | $2.8K | 1,792,021 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 1,600 | $4.15 | $6.6K | 1,792,691 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 380 | $4.13 | $1.6K | 1,794,291 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 1,750 | $4.12 | $7.2K | 1,794,671 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 100 | $4.11 | $411 | 1,796,421 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 3,100 | $4.10 | $12.7K | 1,796,521 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-01 | 25 | $4.32 | $108 | 1,779,306 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 3,100 | $4.10 | $12.7K | 1,807,357 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 200 | $4.28 | $856 | 1,793,607 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 337 | $4.28 | $1.4K | 1,793,270 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 200 | $4.29 | $858 | 1,793,070 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 2,903 | $4.29 | $12.5K | 1,790,167 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 317 | $4.27 | $1.4K | 1,793,907 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 310 | $4.26 | $1.3K | 1,794,224 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 7,923 | $4.25 | $33.7K | 1,794,534 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 400 | $4.18 | $1.7K | 1,802,457 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 670 | $4.15 | $2.8K | 1,802,857 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 1,600 | $4.15 | $6.6K | 1,803,527 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 380 | $4.13 | $1.6K | 1,805,127 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 1,750 | $4.12 | $7.2K | 1,805,507 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 100 | $4.11 | $411 | 1,807,257 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 100 | $4.27 | $427 | 1,793,807 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-05-01 | 2024-05-14 | 25 | $4.32 | $108 | 1,790,142 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-04-30 | 2024-05-01 | 45 | $5.00 | $225 | 1,799,621 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-04-30 | 2024-05-01 | 45 | $4.95 | $223 | 1,799,666 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-04-29 | 2024-05-01 | 274 | $4.93 | $1.4K | 1,803,503 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-04-29 | 2024-05-01 | 448 | $5.03 | $2.3K | 1,799,711 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-04-29 | 2024-05-01 | 13 | $5.01 | $65 | 1,800,159 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-04-29 | 2024-05-01 | 3,231 | $5.00 | $16.2K | 1,800,172 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-04-29 | 2024-05-01 | 100 | $4.94 | $494 | 1,803,403 | SEC↗ |
| UNIVERSITY OF TEXAS/TEXAS AM I | 10% Owner | S Sale | 2024-04-29 | 2024-05-01 | 6,680 | $4.92 | $32.9K | 1,803,777 | SEC↗ |
| WINDSOR JAMES BRIAN | President and COO | M Exercise deriv | 2024-03-05 | 2024-03-06 | 2 | — | $0 | 0 | SEC↗ |
| WINDSOR JAMES BRIAN | President and COO | M Exercise | 2024-03-05 | 2024-03-06 | 2,000 | — | $0 | 7,122 | SEC↗ |
| Ambros Reinhard J. | Director | A Award deriv | 2024-02-28 | 2024-04-10 | 2,725 | — | $0 | 2,725 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | A Award deriv | 2024-02-28 | 2024-04-10 | 2,725 | — | $0 | 2,725 | SEC↗ |
| Ambros Reinhard J. | Director | A Award deriv | 2024-02-28 | 2024-03-01 | 2,725 | — | $0 | 2,725 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | A Award deriv | 2024-02-28 | 2024-03-01 | 2,725 | — | $0 | 2,725 | SEC↗ |
| WINDSOR JAMES BRIAN | President and COO | P Buy | 2023-12-15 | 2023-12-18 | 225 | $3.37 | $758 | 225 | SEC↗ |
| WINDSOR JAMES BRIAN | President and COO | P Buy | 2023-11-20 | 2023-11-21 | 5,076 | $1.97 | $10.0K | 5,122 | SEC↗ |
| Musso Alan A | Director | A Award deriv | 2023-10-31 | 2023-11-02 | 5,450 | — | $0 | 5,450 | SEC↗ |
| Fairey William | Director | A Award deriv | 2023-10-31 | 2023-11-02 | 5,450 | — | $0 | 5,450 | SEC↗ |
| Bailey Jeffrey Allen | Director | A Award deriv | 2022-06-15 | 2022-06-17 | 54,500 | — | $0 | 54,500 | SEC↗ |
| Ambros Reinhard J. | Director | A Award deriv | 2022-06-15 | 2022-06-17 | 54,500 | — | $0 | 54,500 | SEC↗ |
| Sigal Nolan Howard | Director | A Award deriv | 2022-06-15 | 2022-06-17 | 54,500 | — | $0 | 54,500 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | A Award deriv | 2022-06-15 | 2022-06-17 | 54,500 | — | $0 | 54,500 | SEC↗ |
| MCKEE WILLIAM | Director | A Award deriv | 2022-06-15 | 2022-06-17 | 54,500 | — | $0 | 54,500 | SEC↗ |
| Morrison Jodie Pope | Director | A Award deriv | 2022-06-15 | 2022-06-17 | 54,500 | — | $0 | 54,500 | SEC↗ |
| Annis Allen | SVP, Research | A Award deriv | 2022-03-30 | 2022-03-30 | 313,000 | — | $0 | 313,000 | SEC↗ |
| Wanstall Rick | See Remarks | A Award deriv | 2022-03-30 | 2022-03-30 | 393,000 | — | $0 | 393,000 | SEC↗ |
| Vukovic Vojo | Chief Medical Officer | A Award deriv | 2022-03-30 | 2022-03-30 | 150,000 | — | $0 | 150,000 | SEC↗ |
| Aivado Manuel | See Remarks | A Award deriv | 2022-03-30 | 2022-03-30 | 1,133,000 | — | $0 | 1,133,000 | SEC↗ |
| Vukovic Vojo | Chief Medical Officer | A Award deriv | 2022-03-22 | 2022-03-24 | 150,000 | — | $0 | 150,000 | SEC↗ |
| Aivado Manuel | See Remarks | A Award deriv | 2022-03-22 | 2022-03-24 | 1,133,000 | — | $0 | 1,133,000 | SEC↗ |
| Annis Allen | SVP, Research | A Award deriv | 2022-03-22 | 2022-03-24 | 313,000 | — | $0 | 313,000 | SEC↗ |
| Wanstall Rick | See Remarks | A Award deriv | 2022-03-22 | 2022-03-24 | 393,000 | — | $0 | 393,000 | SEC↗ |
| Annis Allen | SVP, Research | A Award deriv | 2021-06-15 | 2021-06-17 | 474,000 | — | $0 | 474,000 | SEC↗ |
| Sigal Nolan Howard | Director | A Award deriv | 2021-06-15 | 2021-06-17 | 96,000 | — | $0 | 96,000 | SEC↗ |
| Vukovic Vojo | Chief Medical Officer | A Award deriv | 2021-06-15 | 2021-06-17 | 400,000 | — | $0 | 400,000 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | A Award deriv | 2021-06-15 | 2021-06-17 | 96,000 | — | $0 | 96,000 | SEC↗ |
| MCKEE WILLIAM | Director | A Award deriv | 2021-06-15 | 2021-06-17 | 96,000 | — | $0 | 96,000 | SEC↗ |
| Wanstall Rick | See Remarks | A Award deriv | 2021-06-15 | 2021-06-17 | 600,000 | — | $0 | 600,000 | SEC↗ |
| Ambros Reinhard J. | Director | A Award deriv | 2021-06-15 | 2021-06-17 | 96,000 | — | $0 | 96,000 | SEC↗ |
| Morrison Jodie Pope | Director | A Award deriv | 2021-06-15 | 2021-06-17 | 96,000 | — | $0 | 96,000 | SEC↗ |
| Aivado Manuel | See Remarks | A Award deriv | 2021-06-15 | 2021-06-17 | 2,440,000 | — | $0 | 2,440,000 | SEC↗ |
| Bailey Jeffrey Allen | Director | A Award deriv | 2021-06-15 | 2021-06-17 | 96,000 | — | $0 | 96,000 | SEC↗ |
| Satter Muneer A | See Remarks | P Buy | 2021-01-08 | 2021-01-08 | 9,000,000 | $1.10 | $9.90M | 16,609,449 | SEC↗ |
| Wanstall Rick | See Remarks | A Award deriv | 2020-06-23 | 2020-06-24 | 91,000 | — | $0 | 91,000 | SEC↗ |
| Ambros Reinhard J. | Director | A Award deriv | 2020-06-17 | 2020-06-18 | 12,500 | — | $0 | 12,500 | SEC↗ |
| Bailey Jeffrey Allen | Director | A Award deriv | 2020-06-17 | 2020-06-18 | 12,500 | — | $0 | 12,500 | SEC↗ |
| Morrison Jodie Pope | Director | A Award deriv | 2020-06-17 | 2020-06-18 | 12,500 | — | $0 | 12,500 | SEC↗ |
| MCKEE WILLIAM | Director | A Award deriv | 2020-06-17 | 2020-06-18 | 12,500 | — | $0 | 12,500 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | A Award deriv | 2020-06-17 | 2020-06-18 | 12,500 | — | $0 | 12,500 | SEC↗ |
| Sigal Nolan Howard | Director | A Award deriv | 2020-06-17 | 2020-06-18 | 12,500 | — | $0 | 12,500 | SEC↗ |
| Ambros Reinhard J. | Director | P Buy | 2020-06-15 | 2020-06-17 | 5,800 | $1.22 | $7.1K | 5,800 | SEC↗ |
| Satter Muneer A | Director, 10% Owner | P Buy | 2020-06-08 | 2020-06-09 | 3,700,000 | $1.10 | $4.07M | 7,609,449 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | P Buy | 2020-06-08 | 2020-06-09 | 227,272 | $1.10 | $250.0K | 445,460 | SEC↗ |
| Wanstall Rick | See Remarks | A Award deriv | 2020-01-31 | 2020-02-04 | 200,000 | — | $0 | 200,000 | SEC↗ |
| Gregory Kathryn | SVP, Chief Business Officer | A Award deriv | 2020-01-31 | 2020-02-04 | 185,000 | — | $0 | 185,000 | SEC↗ |
| Aivado Manuel | See Remarks | A Award deriv | 2020-01-31 | 2020-02-04 | 400,000 | — | $0 | 400,000 | SEC↗ |
| Vukovic Vojo | SVP, Chief Medical Officer | A Award deriv | 2020-01-31 | 2020-02-04 | 225,000 | — | $0 | 225,000 | SEC↗ |
| Annis Allen | SVP, Research | A Award deriv | 2020-01-31 | 2020-02-04 | 125,000 | — | $0 | 125,000 | SEC↗ |
| Bailey Jeffrey Allen | Director | P Buy | 2019-11-15 | 2019-11-18 | 39,142 | $0.51 | $20.0K | 74,894 | SEC↗ |
| Bailey Jeffrey Allen | Director | P Buy | 2019-11-14 | 2019-11-18 | 15,858 | $0.51 | $8.1K | 35,752 | SEC↗ |
| Bailey Jeffrey Allen | Director | P Buy | 2019-11-12 | 2019-11-14 | 19,894 | $0.53 | $10.5K | 19,894 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | P Buy | 2019-09-13 | 2019-09-16 | 25,000 | $0.97 | $24.3K | 218,188 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | P Buy | 2019-09-12 | 2019-09-16 | 88,145 | $0.98 | $86.4K | 193,188 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | P Buy | 2019-09-04 | 2019-09-05 | 23,225 | $0.71 | $16.5K | 105,043 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | P Buy | 2019-09-03 | 2019-09-04 | 13,466 | $0.70 | $9.4K | 81,818 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | P Buy | 2019-08-30 | 2019-09-04 | 15,000 | $0.73 | $10.9K | 68,352 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | P Buy | 2019-08-29 | 2019-09-03 | 3,600 | $0.77 | $2.8K | 53,352 | SEC↗ |
| Vukovic Vojo | SVP, Chief Medical Officer | P Buy | 2019-08-16 | 2019-08-20 | 75,000 | $0.59 | $44.3K | 75,000 | SEC↗ |
| Gregory Kathryn | SVP, Chief Business Officer | P Buy | 2019-08-13 | 2019-08-15 | 45,000 | $0.65 | $29.3K | 45,000 | SEC↗ |
| Bailey Jeffrey Allen | Director | A Award deriv | 2019-06-19 | 2019-06-21 | 50,000 | — | $0 | 50,000 | SEC↗ |
| Ambros Reinhard J. | Director | A Award deriv | 2019-06-19 | 2019-06-21 | 50,000 | — | $0 | 50,000 | SEC↗ |
| Morrison Jodie Pope | Director | A Award deriv | 2019-06-19 | 2019-06-21 | 25,000 | — | $0 | 25,000 | SEC↗ |
| Sigal Nolan Howard | Director | A Award deriv | 2019-06-19 | 2019-06-21 | 5,000 | — | $0 | 5,000 | SEC↗ |
| MCARTHUR JOHN H | Director | A Award deriv | 2019-06-19 | 2019-06-21 | 25,000 | — | $0 | 25,000 | SEC↗ |
| MCKEE WILLIAM | Director | A Award deriv | 2019-06-19 | 2019-06-24 | 25,000 | — | $0 | 25,000 | SEC↗ |
| VON RICKENBACH JOSEF H | Director | A Award deriv | 2019-06-19 | 2019-06-24 | 25,000 | — | $0 | 25,000 | SEC↗ |
| Gregory Kathryn | SVP, Chief Business Officer | A Award deriv | 2019-04-15 | 2019-04-17 | 20,000 | — | $0 | 20,000 | SEC↗ |
| Annis Allen | SVP, Research | A Award deriv | 2019-04-15 | 2019-04-17 | 100,000 | — | $0 | 100,000 | SEC↗ |
| Aivado Manuel | President and CEO | A Award deriv | 2019-04-15 | 2019-04-17 | 500,000 | — | $0 | 500,000 | SEC↗ |
| Vukovic Vojo | SVP, Chief Medical Officer | A Award deriv | 2019-04-15 | 2019-04-17 | 100,000 | — | $0 | 100,000 | SEC↗ |
| Dougherty Donald | SVP & Chief Financial Office | A Award deriv | 2019-04-15 | 2019-04-17 | 150,000 | — | $0 | 150,000 | SEC↗ |
| Wanstall Rick | VP, Finance and Operations | A Award deriv | 2019-04-15 | 2019-04-17 | 59,000 | — | $0 | 59,000 | SEC↗ |
| Sigal Nolan Howard | Director | A Award deriv | 2019-04-02 | 2019-04-03 | 20,000 | — | $0 | 20,000 | SEC↗ |
| NOVARTIS AG | 10% Owner | S Sale | 2019-04-01 | 2019-04-02 | 20,610 | $1.90 | $39.2K | 2,079,394 | SEC↗ |
| NOVARTIS AG | 10% Owner | S Sale | 2019-03-29 | 2019-04-02 | 106,540 | $1.85 | $197.1K | 2,100,004 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2019-03-15 | 2019-03-15 | 43,800 | $1.92 | $84.1K | 2,206,544 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2019-03-14 | 2019-03-15 | 13,800 | $1.88 | $25.9K | 2,250,344 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2019-03-13 | 2019-03-15 | 132,738 | $2.12 | $281.4K | 2,264,144 | SEC↗ |
| Gregory Kathryn | SVP, Chief Business Officer | A Award deriv | 2019-02-25 | 2019-02-25 | 100,000 | — | $0 | 100,000 | SEC↗ |
| Vukovic Vojo | SVP, Chief Medical Officer | A Award deriv | 2018-11-05 | 2018-11-06 | 150,000 | — | $0 | 150,000 | SEC↗ |
| Aivado Manuel | President and CEO | A Award deriv | 2018-09-06 | 2018-09-07 | 232,914 | — | $0 | 232,914 | SEC↗ |
| NOVARTIS AG | 10% Owner | S Sale | 2018-08-20 | 2018-08-22 | 20,388 | $2.30 | $46.9K | 2,396,882 | SEC↗ |
| NOVARTIS AG | 10% Owner | S Sale | 2018-08-17 | 2018-08-20 | 8,700 | $2.10 | $18.3K | 2,417,270 | SEC↗ |
| NOVARTIS AG | 10% Owner | S Sale | 2018-08-16 | 2018-08-20 | 8,808 | $2.10 | $18.5K | 2,425,970 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2018-08-15 | 2018-08-16 | 2,635 | $2.15 | $5.7K | 2,434,778 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2018-08-14 | 2018-08-16 | 3,300 | $2.26 | $7.5K | 2,437,413 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2018-08-13 | 2018-08-14 | 1,600 | $2.36 | $3.8K | 2,440,713 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2018-08-10 | 2018-08-14 | 5,615 | $2.44 | $13.7K | 2,442,313 | SEC↗ |
| LONGENECKER JOHN P PHD | President and CEO | P Buy | 2018-08-10 | 2018-08-14 | 10,000 | $2.45 | $24.5K | 10,000 | SEC↗ |
| NOVARTIS AG | 10% Owner | S Sale | 2018-08-09 | 2018-08-10 | 235 | $2.48 | $583 | 2,447,928 | SEC↗ |
| NOVARTIS AG | 10% Owner | S Sale | 2018-08-08 | 2018-08-10 | 1,000 | $2.78 | $2.8K | 2,448,163 | SEC↗ |
| NOVARTIS AG | 10% Owner | S Sale | 2018-08-07 | 2018-08-08 | 1,739 | $2.97 | $5.2K | 2,449,163 | SEC↗ |
| NOVARTIS AG | 10% Owner | S Sale | 2018-08-06 | 2018-08-08 | 2,942 | $3.02 | $8.9K | 2,450,902 | SEC↗ |
| NOVARTIS AG | 10% Owner | S Sale | 2018-08-02 | 2018-08-06 | 4,702 | $3.33 | $15.7K | 2,453,844 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2018-08-01 | 2018-08-02 | 8,181 | $3.22 | $26.3K | 2,458,546 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2018-07-31 | 2018-08-02 | 4,500 | $3.07 | $13.8K | 2,466,727 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2018-07-30 | 2018-07-31 | 2,000 | $3.27 | $6.5K | 2,471,227 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2018-07-27 | 2018-07-31 | 6,458 | $3.38 | $21.8K | 2,473,227 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2018-07-26 | 2018-07-27 | 7,937 | $3.63 | $28.8K | 2,479,685 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2018-07-25 | 2018-07-27 | 12,460 | $3.84 | $47.8K | 2,487,622 | SEC↗ |
| NOVARTIS AG | 10% Owner | S Sale | 2018-07-24 | 2018-07-25 | 700 | $4.11 | $2.9K | 2,500,082 | SEC↗ |
| NOVARTIS AG | 10% Owner | S Sale | 2018-07-23 | 2018-07-25 | 30,600 | $4.25 | $130.1K | 2,500,782 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2018-07-17 | 2018-07-18 | 12,500 | $4.71 | $58.9K | 2,531,382 | SEC↗ |
| Novartis Bioventures Ltd | 10% Owner | S Sale | 2018-07-16 | 2018-07-18 | 300 | $5.15 | $1.5K | 2,543,882 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | J Other | 2018-07-06 | 2018-07-10 | 1,380,241 | — | $0 | 0 | SEC↗ |
| Apple Tree Partners II - Annex | 10% Owner | J Other | 2018-07-06 | 2018-07-10 | 655,797 | — | $0 | 0 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-06-26 | 2018-06-26 | 10,528 | $5.45 | $57.4K | 1,380,241 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-06-25 | 2018-06-26 | 913 | $5.86 | $5.4K | 1,390,769 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-06-22 | 2018-06-26 | 94,816 | $5.98 | $567.0K | 1,391,682 | SEC↗ |
| MCARTHUR JOHN H | Director | A Award deriv | 2018-06-21 | 2018-06-25 | 10,000 | — | $0 | 10,000 | SEC↗ |
| Winder Caleb Maxfield | Director | A Award deriv | 2018-06-21 | 2018-06-25 | 10,000 | — | $0 | 10,000 | SEC↗ |
| Ambros Reinhard J. | Director | A Award deriv | 2018-06-21 | 2018-06-25 | 10,000 | — | $0 | 10,000 | SEC↗ |
| Bailey Jeffrey Allen | Director | A Award deriv | 2018-06-21 | 2018-06-25 | 10,000 | — | $0 | 10,000 | SEC↗ |
| Shanafelt Armen | Director | A Award deriv | 2018-06-21 | 2018-06-25 | 10,000 | — | $0 | 10,000 | SEC↗ |
| Morrison Jodie Pope | Director | A Award deriv | 2018-06-21 | 2018-06-25 | 10,000 | — | $0 | 10,000 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-06-21 | 2018-06-21 | 1,447 | $5.30 | $7.7K | 1,486,498 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-06-20 | 2018-06-21 | 5,200 | $5.30 | $27.6K | 1,487,945 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-06-19 | 2018-06-19 | 139 | $5.30 | $737 | 1,493,145 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-06-18 | 2018-06-19 | 1,432 | $5.35 | $7.7K | 1,493,284 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-06-15 | 2018-06-19 | 7,961 | $5.32 | $42.4K | 1,494,716 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-06-12 | 2018-06-14 | 10,843 | $5.40 | $58.6K | 1,502,677 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-06-11 | 2018-06-11 | 18,525 | $5.41 | $100.2K | 1,513,520 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-06-08 | 2018-06-11 | 9,617 | $5.40 | $51.9K | 1,532,045 | SEC↗ |
| Dougherty Donald | SVP & Chief Financial Office | P Buy | 2018-06-08 | 2018-06-12 | 3,000 | $5.40 | $16.2K | 5,000 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-06-07 | 2018-06-11 | 20 | $5.48 | $110 | 1,541,662 | SEC↗ |
| Aivado Manuel | See Remarks | P Buy | 2018-06-06 | 2018-06-08 | 1,000 | $5.61 | $5.6K | 1,000 | SEC↗ |
| Dougherty Donald | SVP & Chief Financial Office | P Buy | 2018-06-01 | 2018-06-04 | 2,000 | $5.24 | $10.5K | 2,000 | SEC↗ |
| LONGENECKER JOHN P PHD | President and CEO | A Award deriv | 2018-05-15 | 2018-05-17 | 30,000 | — | $0 | 30,000 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-04-19 | 2018-04-19 | 104,799 | $6.29 | $659.2K | 1,541,682 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-04-17 | 2018-04-19 | 3,105 | $7.05 | $21.9K | 1,646,481 | SEC↗ |
| Bailey Jeffrey Allen | Director | A Award deriv | 2018-03-15 | 2018-03-19 | 20,000 | — | $0 | 20,000 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | S Sale | 2018-01-09 | 2018-01-11 | 150,000 | $9.80 | $1.47M | 1,649,586 | SEC↗ |
| Ambros Reinhard J. | Director | A Award deriv | 2017-09-26 | 2017-09-28 | 20,000 | — | $0 | 20,000 | SEC↗ |
| Gallagher Brian M. Jr. | Director | A Award deriv | 2017-07-25 | 2017-07-27 | 20,000 | — | $0 | 20,000 | SEC↗ |
| Morrison Jodie Pope | Director | A Award deriv | 2017-07-25 | 2017-07-27 | 20,000 | — | $0 | 20,000 | SEC↗ |
| Kapnick Scott | Director | A Award deriv | 2017-07-25 | 2017-07-27 | 20,000 | — | $0 | 20,000 | SEC↗ |
| Winder Caleb Maxfield | Director | A Award deriv | 2017-07-25 | 2017-07-27 | 20,000 | — | $0 | 20,000 | SEC↗ |
| Shanafelt Armen | Director | A Award deriv | 2017-07-25 | 2017-07-27 | 20,000 | — | $0 | 20,000 | SEC↗ |
| Dougherty Donald | SVP & Chief Financial Office | A Award deriv | 2017-07-25 | 2017-07-27 | 60,331 | — | $0 | 60,331 | SEC↗ |
| Yanchik Joseph A., III | See Remarks | A Award deriv | 2017-07-25 | 2017-07-27 | 157,449 | — | $0 | 157,449 | SEC↗ |
| Aivado Manuel | See Remarks | A Award deriv | 2017-07-25 | 2017-07-27 | 57,388 | — | $0 | 57,388 | SEC↗ |
| MCARTHUR JOHN H | Director | A Award deriv | 2017-07-25 | 2017-07-27 | 20,000 | — | $0 | 20,000 | SEC↗ |
| Nelson Kira | See Remarks | A Award deriv | 2017-07-25 | 2017-07-27 | 36,844 | — | $0 | 36,844 | SEC↗ |
| Kapnick Scott | Director, 10% Owner | P Buy | 2017-07-05 | 2018-08-14 | 66,666 | $15.00 | $1000.0K | 66,666 | SEC↗ |
| NOVARTIS AG | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 4,238,607 | — | $0 | 0 | SEC↗ |
| NOVARTIS AG | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 2,967,025 | — | $0 | 0 | SEC↗ |
| NOVARTIS AG | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 6,781,770 | — | $0 | 0 | SEC↗ |
| NOVARTIS AG | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 2,644,558 | — | $0 | 0 | SEC↗ |
| NOVARTIS AG | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 2,293,829 | — | $0 | 0 | SEC↗ |
| NOVARTIS AG | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 3,705,882 | — | $0 | 0 | SEC↗ |
| Ambros Reinhard J. | Director | C Conversion deriv | 2017-07-05 | 2017-07-05 | 4,238,607 | — | $0 | 0 | SEC↗ |
| Ambros Reinhard J. | Director | C Conversion deriv | 2017-07-05 | 2017-07-05 | 2,967,025 | — | $0 | 0 | SEC↗ |
| Ambros Reinhard J. | Director | C Conversion deriv | 2017-07-05 | 2017-07-05 | 6,781,770 | — | $0 | 0 | SEC↗ |
| Ambros Reinhard J. | Director | C Conversion deriv | 2017-07-05 | 2017-07-05 | 2,644,558 | — | $0 | 0 | SEC↗ |
| Ambros Reinhard J. | Director | C Conversion deriv | 2017-07-05 | 2017-07-05 | 2,293,829 | — | $0 | 0 | SEC↗ |
| Ambros Reinhard J. | Director | C Conversion deriv | 2017-07-05 | 2017-07-05 | 3,705,882 | — | $0 | 0 | SEC↗ |
| Kapnick Scott | Director, 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 1,266,130 | — | $0 | 0 | SEC↗ |
| Kapnick Scott | Director, 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 612,002 | — | $0 | 0 | SEC↗ |
| Kapnick Scott | Director, 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 363,636 | — | $0 | 0 | SEC↗ |
| Kapnick Scott | Director, 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 106,856 | — | $0 | 0 | SEC↗ |
| Kapnick Scott | Director, 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 487,776 | — | $0 | 0 | SEC↗ |
| CVF, LLC | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 4,411,765 | — | $0 | 0 | SEC↗ |
| CVF, LLC | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 916,262 | — | $0 | 0 | SEC↗ |
| ROCHE HOLDING LTD | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 3,390,885 | — | $0 | 0 | SEC↗ |
| ROCHE HOLDING LTD | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 638,194 | — | $0 | 0 | SEC↗ |
| ROCHE HOLDING LTD | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 989,594 | — | $0 | 0 | SEC↗ |
| ROCHE HOLDING LTD | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 735,775 | — | $0 | 0 | SEC↗ |
| Platt Jon B. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 298,500 | — | $0 | 0 | SEC↗ |
| Platt Jon B. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 127,158 | — | $0 | 0 | SEC↗ |
| Platt Jon B. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 211,930 | — | $0 | 0 | SEC↗ |
| Platt Jon B. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 258,912 | — | $0 | 0 | SEC↗ |
| KCK LTD. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 763,552 | — | $0 | 0 | SEC↗ |
| KCK LTD. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-05 | 3,676,471 | — | $0 | 0 | SEC↗ |
| Satter Muneer A | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-06 | 159,548 | — | $0 | 0 | SEC↗ |
| Satter Muneer A | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-06 | 183,944 | — | $0 | 0 | SEC↗ |
| Satter Muneer A | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-06 | 847,721 | — | $0 | 0 | SEC↗ |
| Satter Muneer A | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-06 | 247,398 | — | $0 | 0 | SEC↗ |
| Gullans Steven R. Ph.D. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-06 | 1,329,993 | — | $0 | 0 | SEC↗ |
| Gullans Steven R. Ph.D. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-06 | 5,934,050 | — | $0 | 0 | SEC↗ |
| Gullans Steven R. Ph.D. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-06 | 1,153,606 | — | $0 | 0 | SEC↗ |
| Gullans Steven R. Ph.D. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-06 | 1,083,119 | — | $0 | 0 | SEC↗ |
| Sigma Emerging Markets Ltd. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-06 | 2,316,176 | — | $0 | 0 | SEC↗ |
| Gallagher Brian M. Jr. | Director | C Conversion deriv | 2017-07-05 | 2017-07-06 | 1,471,551 | — | $0 | 0 | SEC↗ |
| Gallagher Brian M. Jr. | Director | C Conversion deriv | 2017-07-05 | 2017-07-06 | 1,276,389 | — | $0 | 0 | SEC↗ |
| Gallagher Brian M. Jr. | Director | C Conversion deriv | 2017-07-05 | 2017-07-06 | 1,979,188 | — | $0 | 0 | SEC↗ |
| Gallagher Brian M. Jr. | Director | C Conversion deriv | 2017-07-05 | 2017-07-06 | 6,781,770 | — | $0 | 0 | SEC↗ |
| AJU IB Investment Co., Ltd. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-07 | 483,501 | — | $0 | 0 | SEC↗ |
| AJU IB Investment Co., Ltd. | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-07 | 4,411,765 | — | $0 | 0 | SEC↗ |
| Lilly Ventures Fund I LLC | Other | C Conversion deriv | 2017-07-05 | 2017-07-07 | 1,654,411 | — | $0 | 0 | SEC↗ |
| Lilly Ventures Fund I LLC | Other | C Conversion deriv | 2017-07-05 | 2017-07-07 | 1,443,972 | — | $0 | 0 | SEC↗ |
| Lilly Ventures Fund I LLC | Other | C Conversion deriv | 2017-07-05 | 2017-07-07 | 1,907,373 | — | $0 | 0 | SEC↗ |
| Lilly Ventures Fund I LLC | Other | C Conversion deriv | 2017-07-05 | 2017-07-07 | 3,390,885 | — | $0 | 0 | SEC↗ |
| Shanafelt Armen | Director | C Conversion deriv | 2017-07-05 | 2017-07-07 | 1,907,373 | — | $0 | 0 | SEC↗ |
| Shanafelt Armen | Director | C Conversion deriv | 2017-07-05 | 2017-07-07 | 1,654,411 | — | $0 | 0 | SEC↗ |
| Shanafelt Armen | Director | C Conversion deriv | 2017-07-05 | 2017-07-07 | 1,443,972 | — | $0 | 0 | SEC↗ |
| Shanafelt Armen | Director | C Conversion deriv | 2017-07-05 | 2017-07-07 | 3,390,885 | — | $0 | 0 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-07 | 6,781,770 | — | $0 | 0 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-07 | 1,250,000 | — | $0 | 0 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-07 | 615,384 | — | $0 | 0 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-07 | 4,238,607 | — | $0 | 0 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-07 | 2,967,025 | — | $0 | 0 | SEC↗ |
| APPLE TREE PARTNERS II LP | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-07 | 3,706,056 | — | $0 | 0 | SEC↗ |
| Apple Tree Partners II - Annex | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-07 | 3,026,920 | — | $0 | 0 | SEC↗ |
| Apple Tree Partners II - Annex | 10% Owner | C Conversion deriv | 2017-07-05 | 2017-07-07 | 3,489,740 | — | $0 | 0 | SEC↗ |
| NOVARTIS AG | 10% Owner | P Buy | 2017-07-05 | 2017-07-05 | 266,667 | $15.00 | $4.00M | 2,544,182 | SEC↗ |
| NOVARTIS AG | 10% Owner | C Conversion | 2017-07-05 | 2017-07-05 | 2,277,515 | — | $0 | 2,277,515 | SEC↗ |
| Ambros Reinhard J. | Director | P Buy | 2017-07-05 | 2017-07-05 | 266,667 | $15.00 | $4.00M | 2,544,182 | SEC↗ |
| Ambros Reinhard J. | Director | C Conversion | 2017-07-05 | 2017-07-05 | 2,277,515 | — | $0 | 2,277,515 | SEC↗ |
| Kapnick Scott | Director, 10% Owner | P Buy | 2017-07-05 | 2017-07-05 | 66,666 | $15.00 | $1000.0K | 521,049 | SEC↗ |
| Kapnick Scott | Director, 10% Owner | C Conversion | 2017-07-05 | 2017-07-05 | 285,438 | — | $0 | 295,076 | SEC↗ |
| Kapnick Scott | Director, 10% Owner | P Buy | 2017-07-05 | 2017-07-05 | 159,307 | $15.00 | $2.39M | 454,383 | SEC↗ |
| CVF, LLC | 10% Owner | P Buy | 2017-07-05 | 2017-07-05 | 180,000 | $15.00 | $2.70M | 716,180 | SEC↗ |
| CVF, LLC | 10% Owner | C Conversion | 2017-07-05 | 2017-07-05 | 536,180 | — | $0 | 536,180 | SEC↗ |
| ROCHE HOLDING LTD | 10% Owner | C Conversion | 2017-07-05 | 2017-07-05 | 579,093 | — | $0 | 582,963 | SEC↗ |
| ROCHE HOLDING LTD | 10% Owner | P Buy | 2017-07-05 | 2017-07-05 | 119,400 | $15.00 | $1.79M | 702,363 | SEC↗ |
| Platt Jon B. | 10% Owner | C Conversion | 2017-07-05 | 2017-07-05 | 90,218 | — | $0 | 90,318 | SEC↗ |
| KCK LTD. | 10% Owner | C Conversion | 2017-07-05 | 2017-07-05 | 446,817 | — | $0 | 446,817 | SEC↗ |
| KCK LTD. | 10% Owner | P Buy | 2017-07-05 | 2017-07-05 | 200,000 | $15.00 | $3.00M | 646,817 | SEC↗ |
| Satter Muneer A | 10% Owner | C Conversion | 2017-07-05 | 2017-07-06 | 144,773 | — | $0 | 144,773 | SEC↗ |
| Satter Muneer A | 10% Owner | P Buy | 2017-07-05 | 2017-07-06 | 33,333 | $15.00 | $500.0K | 178,106 | SEC↗ |
| Gullans Steven R. Ph.D. | 10% Owner | P Buy | 2017-07-05 | 2017-07-06 | 60,000 | $15.00 | $900.0K | 1,016,100 | SEC↗ |
| Gullans Steven R. Ph.D. | 10% Owner | C Conversion | 2017-07-05 | 2017-07-06 | 956,100 | — | $0 | 956,100 | SEC↗ |
| Sigma Emerging Markets Ltd. | 10% Owner | P Buy | 2017-07-05 | 2017-07-06 | 190,000 | $15.00 | $2.85M | 423,086 | SEC↗ |
| Sigma Emerging Markets Ltd. | 10% Owner | C Conversion | 2017-07-05 | 2017-07-06 | 233,086 | — | $0 | 233,086 | SEC↗ |
| Gallagher Brian M. Jr. | Director | C Conversion | 2017-07-05 | 2017-07-06 | 1,158,186 | — | $0 | 1,158,186 | SEC↗ |
| Gallagher Brian M. Jr. | Director | P Buy | 2017-07-05 | 2017-07-06 | 273,333 | $15.00 | $4.10M | 1,431,519 | SEC↗ |
| AJU IB Investment Co., Ltd. | 10% Owner | C Conversion | 2017-07-05 | 2017-07-07 | 48,656 | — | $0 | 492,629 | SEC↗ |
| AJU IB Investment Co., Ltd. | 10% Owner | C Conversion | 2017-07-05 | 2017-07-07 | 443,973 | — | $0 | 443,973 | SEC↗ |
| AJU IB Investment Co., Ltd. | 10% Owner | P Buy | 2017-07-05 | 2017-07-07 | 24,929 | $15.00 | $373.9K | 517,558 | SEC↗ |
| Lilly Ventures Fund I LLC | Other | P Buy | 2017-07-05 | 2017-07-07 | 250,000 | $15.00 | $3.75M | 1,094,987 | SEC↗ |
| Lilly Ventures Fund I LLC | Other | C Conversion | 2017-07-05 | 2017-07-07 | 844,987 | — | $0 | 844,987 | SEC↗ |
| Shanafelt Armen | Director | P Buy | 2017-07-05 | 2017-07-07 | 250,000 | $15.00 | $3.75M | 1,094,987 | SEC↗ |
| Shanafelt Armen | Director | C Conversion | 2017-07-05 | 2017-07-07 | 844,987 | — | $0 | 844,987 | SEC↗ |