AKBA

SEC source: 0000899243-18-030947 · doc4.xml · nonDerivative · entry 1

Enyedy Mark J · CIK 0001586965 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,743

F1 · price: Pursuant to the Agreement and Plan of Merger, dated as of June 28, 2018 (as amended, the "Merger Agreement"), each share of common stock of Keryx Biopharmaceuticals, Inc. ("Keryx") owned by the Reporting Person at the effective time of the transactions contemplated by the Merger Agreement (the "Effective Time") was automatically converted into 0.37433 shares of the Issuer's common stock (the "Exchange Multiplier").

SEC source: 0000899243-18-030797 · doc4.xml · nonDerivative · entry 1

Tubridy Karen L · CIK 0001589888 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,229

F1 · balance_after: Includes 639 shares acquired under the Akebia Therapeutics, Inc. stock purchase plan on June 29, 2018.

SEC source: 0000899243-18-030796 · doc4.xml · nonDerivative · entry 1

Jain Rita · CIK 0001707797 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,741

SEC source: 0000899243-18-030794 · doc4.xml · nonDerivative · entry 1

Hadas Nicole R. · CIK 0001602396 · SVP, General Counsel, Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,284

F1 · balance_after: Includes 1,381 shares acquired under the Akebia Therapeutics, Inc. stock purchase plan on June 29, 2018.

SEC source: 0000899243-18-030791 · doc4.xml · nonDerivative · entry 1

Butler John P. · CIK 0001591467 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 374,617

SEC source: 0001562180-22-001654 · primarydocument.xml · nonDerivative · entry 1

Butler John P. · CIK 0001591467 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,865

F1 · shares: Pursuant to the Agreement and Plan of Merger, dated as of June 28, 2018 (as amended, the "Merger Agreement"), each share of common stock of Keryx Biopharmaceuticals, Inc. owned by the Reporting Person at the effective time of the transactions contemplated by the Merger Agreement was automatically converted into 0.37433 shares of the Issuer's common stock.

F2 · price: The market value of each share of the Issuer's common stock received pursuant to the Merger Agreement is $8.94, based on the closing trading price of Akebia common stock on December 12, 2018.

SEC source: 0001562180-18-003795 · primarydocument.xml · derivative · entry 1

Smith Cynthia · CIK 0001609480 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-08-28

F1 · derivative.exercise_date: 25% of this option will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

SEC source: 0001562180-18-003278 · primarydocument.xml · derivative · entry 2

Butler John P. · CIK 0001591467 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,000

Underlying: Common Stock · 100,000 shares

Expires 2023-09-16

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_date: On September 16, 2013, the Issuer granted the reporting person an option to purchase 612,500 shares of the Issuer's common stock (the "Option") under the Issuer's Amended and Restated 2008 Equity Incentive Plan. 25% of the shares underlying the Option vested on the first anniversary of the grant date, and the remaining 75% vested in equal monthly installments thereafter. Prior to July 11, 2018, the reporting person exercised the Option with respect to 225,500 shares. On July 11, 2018, the reporting person exercised the Option with respect to 100,000 shares, as reported on this Form 4.

SEC source: 0001562180-18-003278 · primarydocument.xml · nonDerivative · entry 1

Butler John P. · CIK 0001591467 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 510,314

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: The total amount of beneficial securities owned includes 1,500 shares of stock purchased on June 29, 2018 at $8.48 per share in connection with the Issuer's Employee Stock Purchase Plan.

SEC source: 0001562180-18-003016 · primarydocument.xml · derivative · entry 1

GOWEN MAXINE · CIK 0001280044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2028-06-14

F1 · shares: Represents an option to purchase shares of Akebia Therapeutics, Inc.'s (the "Company's") common stock granted by the Company pursuant to the Company's 2014 Incentive Plan (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company.

SEC source: 0001562180-18-003020 · primarydocument.xml · derivative · entry 1

WYZGA MICHAEL S · CIK 0001201256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2028-06-14

F1 · shares: Represents an option to purchase shares of Akebia Therapeutics, Inc.'s (the "Company's") common stock granted by the Company pursuant to the Company's 2014 Incentive Plan (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company.

SEC source: 0001562180-18-003014 · primarydocument.xml · derivative · entry 1

Canute Scott A · CIK 0001303416 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2028-06-14

F1 · shares: Represents an option to purchase shares of Akebia Therapeutics, Inc.'s (the "Company's") common stock granted by the Company pursuant to the Company's 2014 Incentive Plan (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company.

SEC source: 0001562180-18-003019 · primarydocument.xml · derivative · entry 1

Satter Muneer A · CIK 0001315797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2028-06-14

F1 · shares: Represents an option to purchase shares of Akebia Therapeutics, Inc.'s (the "Company's") common stock granted by the Company pursuant to the Company's 2014 Incentive Plan (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company.

SEC source: 0001562180-18-003018 · primarydocument.xml · derivative · entry 1

Renaud Ronald C JR · CIK 0001354434 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2028-06-14

F1 · shares: Represents an option to purchase shares of Akebia Therapeutics, Inc.'s (the "Company's") common stock granted by the Company pursuant to the Company's 2014 Incentive Plan (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company.

SEC source: 0001562180-18-003017 · primarydocument.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2028-06-14

F1 · shares: Represents an option to purchase shares of Akebia Therapeutics, Inc.'s (the "Company's") common stock granted by the Company pursuant to the Company's 2014 Incentive Plan (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company.

SEC source: 0001562180-18-003015 · primarydocument.xml · derivative · entry 1

Clayman Michael D. · CIK 0001597407 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2028-06-14

F1 · shares: Represents an option to purchase shares of Akebia Therapeutics, Inc.'s (the "Company's") common stock granted by the Company pursuant to the Company's 2014 Incentive Plan (the "Stock Option"). 100% of the Stock Option will vest and become exercisable on the first anniversary of the grant date, subject to the Reporting Person's continued service to the Company.

SEC source: 0001562180-18-001386 · primarydocument.xml · derivative · entry 2

Dahan Michel · CIK 0001669737 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,500

Underlying: Common Stock · 27,500 shares

Expires 2028-02-28

F2 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan. 25% of the shares underlying this option will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

SEC source: 0001562180-18-001386 · primarydocument.xml · nonDerivative · entry 1

Dahan Michel · CIK 0001669737 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,226

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan. One hundred percent of the restricted stock units will vest on the third anniversary of the grant date.

SEC source: 0001562180-18-001383 · primarydocument.xml · derivative · entry 2

Amello Jason · CIK 0001451805 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,700

Underlying: Common Stock · 27,700 shares

Expires 2028-02-28

F3 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan. 25% of the shares underlying this option will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

SEC source: 0001562180-18-001383 · primarydocument.xml · nonDerivative · entry 1

Amello Jason · CIK 0001451805 · SVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,236

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan. One hundred percent of the restricted stock units will vest on the third anniversary of the grant date.

F2 · balance_after: The total amount of beneficial securities owned includes 1,376 shares of stock purchased on June 30, 2017 at $8.92 per share and 723 shares of stock purchased on December 31, 2017 at $12.39 per share in connection with the Issuer's Employee Stock Purchase Plan.

SEC source: 0001562180-18-001388 · primarydocument.xml · derivative · entry 2

Jain Rita · CIK 0001707797 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,800

Underlying: Common Stock · 41,800 shares

Expires 2028-02-28

F2 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan. 25% of the shares underlying this option will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

SEC source: 0001562180-18-001388 · primarydocument.xml · nonDerivative · entry 1

Jain Rita · CIK 0001707797 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,400

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan. One hundred percent of the restricted stock units will vest on the third anniversary of the grant date.

SEC source: 0001562180-18-001385 · primarydocument.xml · derivative · entry 2

Hadas Nicole R. · CIK 0001602396 · SVP, General Counsel, Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-02-28

F3 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan. 25% of the shares underlying this option will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

SEC source: 0001562180-18-001385 · primarydocument.xml · nonDerivative · entry 1

Hadas Nicole R. · CIK 0001602396 · SVP, General Counsel, Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,078

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan. One hundred percent of the restricted stock units will vest on the third anniversary of the grant date.

F2 · balance_after: The total amount of beneficial securities owned includes 774 shares of stock purchased on December 31, 2017 at $12.39 per share in connection with the Issuer's Employee Stock Purchase Plan.

SEC source: 0001562180-18-001382 · primarydocument.xml · derivative · entry 2

Tubridy Karen L · CIK 0001589888 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2028-02-28

F3 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan. 25% of the shares underlying this option will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

SEC source: 0001562180-18-001382 · primarydocument.xml · nonDerivative · entry 1

Tubridy Karen L · CIK 0001589888 · SVP, Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,518

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan. One hundred percent of the restricted stock units will vest on the third anniversary of the grant date.

F2 · balance_after: The total amount of beneficial securities owned includes 591 shares of stock purchased on June 30, 2017 at $8.92 per share and 427 shares of stock purchased on December 31, 2017 at $12.39 per share in connection with the Issuer's Employee Stock Purchase Plan.

SEC source: 0001562180-18-001384 · primarydocument.xml · derivative · entry 2

Butler John P. · CIK 0001591467 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,300

Underlying: Common Stock · 126,300 shares

Expires 2028-02-28

F3 · derivative.exercise_date: The options were granted by the Issuer pursuant to its 2014 Incentive Plan. 25% of the shares underlying this option will vest on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

SEC source: 0001562180-18-001384 · primarydocument.xml · nonDerivative · entry 1

Butler John P. · CIK 0001591467 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,814

F1 · shares: The restricted stock units were granted by the Issuer pursuant to its 2014 Incentive Plan. One hundred percent of the restricted stock units will vest on the third anniversary of the grant date.

F2 · balance_after: The total amount of beneficial securities owned includes 1,500 shares of stock purchased on June 30, 2017 at $8.92 per share and 634 shares of stock purchased on December 31, 2017 at $12.39 per share in connection with the Issuer's Employee Stock Purchase Plan.

SEC source: 0001562180-18-001042 · primarydocument.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,499

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 20, 2017.

SEC source: 0001562180-17-003205 · primarydocument.xml · nonDerivative · entry 1

Dahan Michel · CIK 0001669737 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,826

F1 · shares: Shares sold by Reporting Person pursuant to a 10b5-1 plan to pay taxes in connection with the vesting of restricted stock pursuant to the December 23, 2013 restricted stock award.

SEC source: 0001562180-17-003207 · primarydocument.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,499

F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 15, 2017.

SEC source: 0001562180-17-003206 · primarydocument.xml · nonDerivative · entry 2

Hadas Nicole R. · CIK 0001602396 · SVP, General Counsel, Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,804

F2 · shares: Shares sold by Reporting Person pursuant to a Rule 10b5-1 trading plan adopted on June 15, 2017.

SEC source: 0001562180-17-003206 · primarydocument.xml · nonDerivative · entry 1

Hadas Nicole R. · CIK 0001602396 · SVP, General Counsel, Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,054

F1 · shares: Shares sold by Reporting Person pursuant to a Rule 10b5-1 trading plan to pay taxes in connection with the vesting of restricted stock pursuant to the December 23, 2013 restricted stock award.

SEC source: 0001562180-17-003085 · primarydocument.xml · nonDerivative · entry 1

Dahan Michel · CIK 0001669737 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,224

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 15, 2017.

SEC source: 0001562180-17-002729 · primarydocument.xml · nonDerivative · entry 1

Dahan Michel · CIK 0001669737 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,224

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 15, 2017.

SEC source: 0000899243-17-018170 · doc4.xml · nonDerivative · entry 1

Satter Muneer A · CIK 0001315797 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 3,037,042

F1 · kind: All shares were purchased by Satter Medical Technology Partners, L.P. in connection with the Issuer's registered public offering of common stock.

F2 · ownership.nature: The amount in Column 5 includes (a) 785,340 shares that are held by the Muneer A. Satter Revocable Trust for which the Reporting Person serves as trustee and, in such capacity, has sole voting and dispositive power over all such shares, (b) 1,217,220 shares that are held by various other trusts and other entities for which the Reporting Person serves as trustee, investment advisor or manager and, in such capacity, has sole voting and dispositive power over all such shares, and (c) the remaining balance of shares are held by Satter Medical Technology Partners, L.P. for which the Reporting Person has sole voting and dispositive power over all such shares. The Reporting Person disclaims beneficial ownership of all shares included in clauses (b) and (c) of this footnote (2), except to the extent of his pecuniary interest.

SEC source: 0001562180-17-002435 · primarydocument.xml · nonDerivative · entry 1

Dahan Michel · CIK 0001669737 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,224

F1 · shares: Shares sold by reporting person to pay taxes in connection with the vesting of restricted stock pursuant to a December 23, 2013 award. Twenty-five percent of the shares vested on December 2, 2014, and the remaining shares vest in equal quarterly installments through October 1, 2017.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.11 to $14.41, inclusive. The reporting person undertakes to provide Issuer, any security holder of Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.

SEC source: 0001562180-17-002434 · primarydocument.xml · nonDerivative · entry 1

Hadas Nicole R. · CIK 0001602396 · SVP, General Counsel, Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,607

F1 · shares: Shares sold by reporting person to pay taxes in connection with the vesting of restricted stock pursuant to a December 23, 2013 award. Twenty-five percent of the shares vested on December 2, 2014, and the remaining shares vest in equal quarterly installments through October 1, 2017.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $14.11 to $14.41, inclusive. The reporting person undertakes to provide Issuer, any security holder of Issuer, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.

F3 · balance_after: The total amount of beneficial securities includes 1,305 shares of stock purchased on June 30, 2017 at $8.92 per share in connection with the Issuer's Employee Stock Purchase Plan.

SEC source: 0001562180-17-002433 · primarydocument.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,687

F1 · shares: Shares sold by reporting person pursuant to a 10b5-1 plan to pay taxes in connection with the vesting of restricted stock pursuant to the December 23, 2013 award.

SEC source: 0001562180-17-002291 · primarydocument.xml · derivative · entry 1

GOWEN MAXINE · CIK 0001280044 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2027-06-15

F1 · derivative.exercise_date: 100% of the option shares vest on the first anniversary of the date of grant (the "Vesting Date"), provided that the Reporting Person remains in continuous service as a member of the Issuer's Board of Directors through the Vesting Date, and provided further that the options held by the Reporting Person shall be eligible for vesting acceleration upon a "Change in Control" as defined and provided for in the Issuer's Non-Employee Director Stock Option Award Agreement.

SEC source: 0001562180-17-002290 · primarydocument.xml · derivative · entry 1

WYZGA MICHAEL S · CIK 0001201256 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2027-06-15

F1 · derivative.exercise_date: 100% of the option shares vest on the first anniversary of the date of grant (the "Vesting Date"), provided that the Reporting Person remains in continuous service as a member of the Issuer's Board of Directors through the Vesting Date, and provided further that the options held by the Reporting Person shall be eligible for vesting acceleration upon a "Change in Control" as defined and provided for in the Issuer's Non-Employee Director Stock Option Award Agreement.

SEC source: 0001562180-17-002294 · primarydocument.xml · derivative · entry 1

Canute Scott A · CIK 0001303416 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2027-06-15

F1 · derivative.exercise_date: 100% of the option shares vest on the first anniversary of the date of grant (the "Vesting Date"), provided that the Reporting Person remains in continuous service as a member of the Issuer's Board of Directors through the Vesting Date, and provided further that the options held by the Reporting Person shall be eligible for vesting acceleration upon a "Change in Control" as defined and provided for in the Issuer's Non-Employee Director Stock Option Award Agreement.

SEC source: 0001562180-17-002295 · primarydocument.xml · derivative · entry 1

Satter Muneer A · CIK 0001315797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2027-06-15

F1 · derivative.exercise_date: 100% of the option shares vest on the first anniversary of the date of grant (the "Vesting Date"), provided that the Reporting Person remains in continuous service as a member of the Issuer's Board of Directors through the Vesting Date, and provided further that the options held by the Reporting Person shall be eligible for vesting acceleration upon a "Change in Control" as defined and provided for in the Issuer's Non-Employee Director Stock Option Award Agreement.

SEC source: 0001562180-17-002296 · primarydocument.xml · derivative · entry 1

Renaud Ronald C JR · CIK 0001354434 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2027-06-15

F1 · derivative.exercise_date: 100% of the option shares vest on the first anniversary of the date of grant (the "Vesting Date"), provided that the Reporting Person remains in continuous service as a member of the Issuer's Board of Directors through the Vesting Date, and provided further that the options held by the Reporting Person shall be eligible for vesting acceleration upon a "Change in Control" as defined and provided for in the Issuer's Non-Employee Director Stock Option Award Agreement.

SEC source: 0001562180-17-002293 · primarydocument.xml · derivative · entry 1

Clayman Michael D. · CIK 0001597407 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2027-06-15

F1 · derivative.exercise_date: 100% of the option shares vest on the first anniversary of the date of grant (the "Vesting Date"), provided that the Reporting Person remains in continuous service as a member of the Issuer's Board of Directors through the Vesting Date, and provided further that the options held by the Reporting Person shall be eligible for vesting acceleration upon a "Change in Control" as defined and provided for in the Issuer's Non-Employee Director Stock Option Award Agreement.

SEC source: 0001562180-17-002292 · primarydocument.xml · derivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2027-06-15

F1 · derivative.expiration_date: 100% of the option shares vest on the first anniversary of the date of grant (the "Vesting Date"), provided that the Reporting Person remains in continuous service as a member of the Issuer's Board of Directors through the Vesting Date, and provided further that the options held by the Reporting Person shall be eligible for vesting acceleration upon a "Change in Control" as defined and provided for in the Issuer's Non-Employee Director Stock Option Award Agreement.

SEC source: 0001562180-17-002141 · primarydocument.xml · derivative · entry 1

Jain Rita · CIK 0001707797 · SVP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2027-05-31

F1 · derivative.exercise_date: This option will vest as to 25% of the shares of common stock subject to the award on the first anniversary of the grant date with the remaining 75% vesting in equal quarterly installments thereafter.

SEC source: 0001562180-17-001431 · primarydocument.xml · nonDerivative · entry 1

Dahan Michel · CIK 0001669737 · SVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,623

F1 · shares: Shares sold by reporting person to pay taxes in connection with the vesting of restricted stock pursuant to a December 23, 2013 award. Twenty-five percent of the shares vested on December 2, 2014, and the remaining shares vest in equal quarterly installments through October 1, 2017.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $9.15 to $9.24, inclusive. The reporting person undertakes to provide Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.

SEC source: 0001562180-17-001429 · primarydocument.xml · nonDerivative · entry 1

Hadas Nicole R. · CIK 0001602396 · SVP, General Counsel, Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,856

F1 · shares: Shares sold by reporting person to pay taxes in connection with the vesting of restricted stock pursuant to a December 23, 2013 award. Twenty-five percent of the shares vested on December 2, 2014, and the remaining shares vest in equal quarterly installments through October 1, 2017.

F2 · price: The price reported is a weighted average price. The shares were sold in multiple transactions at prices ranging from $9.15 to $9.24, inclusive. The reporting person undertakes to provide Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.

SEC source: 0001562180-17-001430 · primarydocument.xml · nonDerivative · entry 1

Nash Duane · CIK 0001591098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,677

F1 · shares: Shares sold by reporting person pursuant to a 10b5-1 plan to pay taxes in connection with the vesting of restricted stock pursuant to a December 23, 2013 award.

F2 · price: The price reported is a weighted average price. This transaction was executed in multiple trades at prices ranging from $9.19 to $9.21, inclusive. The reporting person undertakes to provide Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range set forth in this footnote.