X0306 4 2014-11-25 0 0001618835 Neothetics, Inc. NEOT 0001198325 JANNEY DANIEL ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 1 0 1 0 0001399763 Alta Partners VIII, L.P. ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001399894 Alta Partners Management VIII, LLC ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001198321 CHAMPSI FARAH ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 0001198330 NOHRA GUY P ONE EMBARCADERO CENTER SUITE 3700 SAN FRANCISCO CA 94111 0 0 1 0 Common Stock 2014-11-25 4 C 0 122951 A 126885 I Alta Partners VIII, LP Common Stock 2014-11-25 4 C 0 1161939 A 1288824 I Alta Partners VIII, LP Common Stock 2014-11-25 4 C 0 476845 A 1765669 I Alta Partners VIII, LP Common Stock 2014-11-25 4 C 0 735912 A 2501581 I Alta Partners VIII, LP Common Stock 2014-11-25 4 X 0 93676 11.29 A 2595257 I Alta Partners VIII, LP Common Stock 2014-11-25 4 S 0 57143 14.00 D 2538114 I Alta Partners VIII, LP Common Stock 2014-11-25 4 X 0 115925 8.54 A 2654039 I Alta Partners VIII, LP Common Stock 2014-11-25 4 S 0 70714 14.00 D 2583325 I Alta Partners VIII, LP Common Stock 2014-11-25 4 X 0 35128 8.54 A 2618453 I Alta Partners VIII, LP Common Stock 2014-11-25 4 S 0 21429 14.00 D 2597024 I Alta Partners VIII, LP Common Stock 2014-11-25 4 P 0 70000 14.00 A 2667024 I Alta Partners VIII, LP Seires A Preferred Stock 2014-11-25 4 C 0 750000 D Common Stock 750000 0 I Alta Parnters VIII, LP Series B Preferred Stock 2014-11-25 4 C 0 6216215 D Common Stock 6216215 0 I Alta Parnters VIII, LP Series B-2 Preferred Stock 2014-11-25 4 C 0 2201220 D Common Stock 2201220 0 I Alta Parnters VIII, LP Series C Preferred Stock 2014-11-25 4 C 0 4489065 D Common Stock 4489065 0 I Alta Parnters VIII, LP Warrant 1.85 2014-11-25 4 X 0 432432 1.85 D 2011-09-30 2018-09-30 Series B-2 Preferred Stock 432432 0 I Alta Parnters VIII, LP Warrant 1.40 2014-11-25 4 X 0 707142 1.40 D 2011-12-12 2018-12-01 Series C Prefered Stock 707142 0 I Alta Parnters VIII, LP Warrant 1.40 2014-11-25 4 X 0 214285 1.40 D 2012-07-25 2019-07-25 Series C Preferred Stock 214285 0 I Alta Parnters VIII, LP Immediately prior to but contingent upon the closing of the initial public offering of the Issuer's Common Stock, all outstanding shares of Preferred Stock will be automatically converted, for no additional consideration, into shares of the Issuer's Common Stock. The Preferred Stock will convert pursuant to the applicable conversion ratio, as listed in the Amended and Restated Certificate of Incorporation of the Issuer, and reflect a 6.1-for-1 stock split of the Issuer's Common Stock which occurred on November 7, 2014. The securities are held by Alta Partners VII, L.P. ("APVIII"). Alta Partners Manegment VIII, LLC ("APMVIII") is the general partner of APVIII. Guy Nohra, Daniel Janney and Farah Champsi are managing directors of APMVIII and exercise shared voting and investment power with respect to the shares owned by APVIII. Each of the reporting persons disclaims beneficial ownership of such securities, except to the extent of his, her or its proportionate pecuniary interest therein. Represents shares as converted to Common Stock pursuant to the applicable conversion ratio, as listed in the Amended and Restated Certificate of Incorporation of the Issuer, and the 6.1-for-1 stock split of the Issuer's Common Stock which occurred on November 7, 2014. /s/ George Mahaffey, Attorney-in-fact 2014-11-25 George Mahaffey, Attorney-in-fact 2014-11-25 George Mahaffey, Attorney-in-fact 2014-11-25 George Mahaffey, Attorney-in-fact 2014-11-25 George Mahaffey, Attorney-in-fact 2014-11-25