| Name | Relationship | Address | Signature | Signature date | CIK |
|---|---|---|---|---|---|
| Frazier Life Sciences X, L.P. | 10%+ Owner | FRAZIER LIFE SCIENCES MANAGEMENT, L.P., 1001 PAGE MILL RD, BUILDING 4, SUITE B, PALO ALTO | /s/ Steve R. Bailey, CFO of FHMLS X, L.L.C., GP of FHMLS X, L.P., GP of Frazier Life Sciences X, L.P. | 17 Sep 2025 | 0001790879 |
| FHMLS X, L.P. | 10%+ Owner | FRAZIER LIFE SCIENCES MANAGEMENT, L.P., 1001 PAGE MILL RD, BUILDING 4, SUITE B, PALO ALTO | /s/ Steve R. Bailey, CFO of FHMLS X, L.L.C., GP of FHMLS X, L.P. | 17 Sep 2025 | 0001790880 |
| FHMLS X, L.L.C. | 10%+ Owner | FRAZIER LIFE SCIENCES MANAGEMENT, L.P., 1001 PAGE MILL RD, BUILDING 4, SUITE B, PALO ALTO | /s/ Steve R. Bailey, CFO of FHMLS X, L.L.C. | 17 Sep 2025 | 0001790811 |
| Topper James N | 10%+ Owner | FRAZIER LIFE SCIENCES MANAGEMENT, L.P., 1001 PAGE MILL RD, BUILDING 4, SUITE B, PALO ALTO | /s/ Steve R. Bailey, Attorney-in-Fact For Patrick J. Heron | 17 Sep 2025 | 0001341382 |
| Heron Patrick J | Director, 10%+ Owner | FRAZIER LIFE SCIENCES MANAGEMENT, L.P., 1001 PAGE MILL RD, BUILDING 4, SUITE B, PALO ALTO | /s/ Steve R. Bailey, Attorney-in-Fact For James N. Topper | 17 Sep 2025 | 0001365617 |
| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | HLVX | Common Stock | Disposition pursuant to a tender of shares in a change of control transaction | $16,643,907 | -8,535,337 | -100% | $1.95 | 0 | 17 Sep 2025 | By Frazier Life Sciences X, L.P. | F1, F2 |
| transaction | HLVX | Common Stock | Disposition pursuant to a tender of shares in a change of control transaction | $33,538 | -17,199 | -100% | $1.95 | 0 | 17 Sep 2025 | By Patrick J. Heron | F3 |
Frazier Life Sciences X, L.P. is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.
| Id | Content |
|---|---|
| F1 | Reflects disposition of the Issuer's equity securities upon the consummation of the transactions contemplated by the Agreement and Plan of Merger (the "Merger Agreement"), dated as of August 4, 2025, by and among Issuer, XOMA Royalty Corporation ("Parent") and XRA 4 Corp., a wholly owned subsidiary of Parent ("Merger Sub"), including the consummation of the merger (the "Merger") between Issuer and Merger Sub on September 17, 2025. Pursuant to the Merger Agreement, as of the effective time of the Merger (the "Effective Time"), each share of the Issuer's Common Stock, par value $0.0001 per share ("Shares"), issued and outstanding immediately prior to the Effective Time was converted automatically into the right to receive (i) $1.95 in cash, without interest plus (ii) one non-transferable contractual contingent value right per Share. |
| F2 | The shares are held directly by Frazier Life Sciences X, L.P. FHMLS X,, L.P. is the general partner of Frazier Life Sciences X, L.P. and FHMLS X, L.L.C. is the general partner of FHMLS X, L.P. James N. Topper and Patrick J. Heron are the sole managing members of FHMLS X, L.L.C. and share voting and investment power over the shares held by Frazier Life Sciences X, L.P. Dr. Topper and Mr. Heron disclaim beneficial ownership of such securities except to the extent of their pecuniary interest therein. |
| F3 | Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding restricted stock unit ("RSU") immediately vested in full and was canceled in exchange for the right receive (a) an amount in cash, without interest, equal to the product obtained by multiplying (x) the $1.95 by (y) the number of shares underlying such RSU at the Effective Time and (b) one CVR for each share underlying such RSU. |