ALDX

SEC source: 0000950170-24-069890 · ownership.xml · derivative · entry 2

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,215

Underlying: Common Stock · 1,215 shares

Expires 2034-06-03

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-24-069890 · ownership.xml · derivative · entry 1

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,282

Underlying: Common Stock · 40,282 shares

Expires 2034-06-03

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-24-069874 · ownership.xml · derivative · entry 3

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,604

Underlying: Common Stock · 2,604 shares

Expires 2034-06-03

F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Audit Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-24-069874 · ownership.xml · derivative · entry 2

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,473

Underlying: Common Stock · 3,473 shares

Expires 2034-06-03

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Compensation Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-24-069874 · ownership.xml · derivative · entry 1

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,282

Underlying: Common Stock · 40,282 shares

Expires 2034-06-03

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-24-069888 · ownership.xml · derivative · entry 2

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,736

Underlying: Common Stock · 1,736 shares

Expires 2034-06-03

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Compensation Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-24-069888 · ownership.xml · derivative · entry 1

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,282

Underlying: Common Stock · 40,282 shares

Expires 2034-06-03

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-24-069887 · ownership.xml · derivative · entry 2

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,736

Underlying: Common Stock · 1,736 shares

Expires 2034-06-03

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Compensation Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-24-069887 · ownership.xml · derivative · entry 1

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,282

Underlying: Common Stock · 40,282 shares

Expires 2034-06-03

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-24-069885 · ownership.xml · derivative · entry 3

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,778

Underlying: Common Stock · 2,778 shares

Expires 2034-06-03

F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-24-069885 · ownership.xml · derivative · entry 2

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,604

Underlying: Common Stock · 2,604 shares

Expires 2034-06-03

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Audit Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-24-069885 · ownership.xml · derivative · entry 1

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,282

Underlying: Common Stock · 40,282 shares

Expires 2034-06-03

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0001062993-24-008171 · form4.xml · nonDerivative · entry 2

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 9,275,851

F2 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.685 to $4.75 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.

F3 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-24-008171 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 9,238,139

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.445 to $4.75 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.

F3 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-24-007959 · form4.xml · nonDerivative · entry 3

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 9,097,858

F3 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.675 to $4.21 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.

F4 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-24-007959 · form4.xml · nonDerivative · entry 2

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 8,788,011

F2 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.245 to $3.55 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.

F4 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-24-007959 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 8,601,960

F1 · price: The reported price is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.24 to $3.25 inclusive. The reporting persons undertake to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within such range.

F4 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0000950170-24-030311 · ownership.xml · nonDerivative · entry 2

Machatha Stephen · CIK 0001836354 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,495

F3 · kind: These shares of common stock were sold by the Reporting Person for tax withholding and tax planning purposes in connection with the settlement of certain time-based restricted stock unit awards.

F4 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $3.11 to $3.31. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0000950170-24-030309 · ownership.xml · nonDerivative · entry 2

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,471,298

F1 · kind: These shares of common stock were sold by the Reporting Person for tax withholding and tax planning purposes in connection with the settlement of certain time-based restricted stock unit awards.

F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $3.00 to $3.11. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0000950170-24-045113 · ownership.xml · nonDerivative · entry 1

Machatha Stephen · CIK 0001836354 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 252,812

F1 · kind: These shares of common stock were sold by the Reporting Person for tax withholding and tax planning purposes in connection with the settlement of certain time-based restricted stock unit awards. This sale was previously reported in the Reporting Person's Form 4 filed on March 12, 2024 (the "Original Form 4").

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $3.11 to $3.31. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

F3 · balance_after: Adjusted to reflect 9,317 shares of common stock acquired under the Issuer's Employee Stock Purchase Plan, which were inadvertently omitted in the Original Form 4. The amount in Column 5 of this Form 4 reflects the number of shares beneficially owned by the Reporting Person as of the date of this report after giving effect to the adjustment.

SEC source: 0000950170-24-030314 · ownership.xml · nonDerivative · entry 1

Greenberg Bruce · CIK 0001928391 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,699

F1 · kind: These shares of common stock were automatically sold in a non-discretionary transaction by the Reporting Person in order to cover tax withholding obligations upon the settlement of certain time-based restricted stock unit awards.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $3.27 to $3.58. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0000950170-24-030311 · ownership.xml · nonDerivative · entry 1

Machatha Stephen · CIK 0001836354 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 255,032

F1 · kind: These shares of common stock were automatically sold in a non-discretionary transaction by the Reporting Person in order to cover tax withholding obligations upon the settlement of certain time-based restricted stock unit awards.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $3.27 to $3.58. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0000950170-24-030309 · ownership.xml · nonDerivative · entry 1

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,556,622

F1 · kind: These shares of common stock were sold by the Reporting Person for tax withholding and tax planning purposes in connection with the settlement of certain time-based restricted stock unit awards.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $3.25 to $3.35. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0000950170-24-045108 · ownership.xml · nonDerivative · entry 1

Greenberg Bruce · CIK 0001928391 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,154

F1 · kind: These shares of common stock were automatically sold in a non-discretionary transaction by the Reporting Person in order to cover tax withholding obligations upon the settlement of certain time-based restricted stock unit awards. This sale was previously reported in the Reporting Person's Form 4 filed on March 12, 2024 (the "Original Form 4").

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $3.27 to $3.58. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

F3 · balance_after: Adjusted to reflect 9,455 shares of common stock acquired under the Issuer's Employee Stock Purchase Plan, which were inadvertently omitted in the Original Form 4. The amount in Column 5 of this Form 4 reflects the number of shares beneficially owned by the Reporting Person as of the date of this report after giving effect to the adjustment.

SEC source: 0000950170-24-030314 · ownership.xml · derivative · entry 2

Greenberg Bruce · CIK 0001928391 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 252,280

Underlying: Common Stock · 252,280 shares

Expires 2034-03-08

F3 · derivative.exercise_date: The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2024.

SEC source: 0000950170-24-030311 · ownership.xml · derivative · entry 4

Machatha Stephen · CIK 0001836354 · Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 405,450

Underlying: Common Stock · 405,450 shares

Expires 2034-03-08

F6 · derivative.exercise_date: The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2024.

SEC source: 0000950170-24-030309 · ownership.xml · derivative · entry 3

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,081,201

Underlying: Common Stock · 1,081,201 shares

Expires 2034-03-08

F4 · derivative.exercise_date: The shares subject to this option shall vest in equal monthly installments over the next 48 months of continuous service to the Issuer after January 1, 2024.

SEC source: 0001062993-23-019546 · form4.xml · nonDerivative · entry 2

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 8,593,586

F2 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.675 to $1.775 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of sold at each separate price within such range.

F3 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0001062993-23-019546 · form4.xml · nonDerivative · entry 1

PERCEPTIVE ADVISORS LLC · CIK 0001224962 · 10% owner

PERCEPTIVE LIFE SCIENCES MASTER FUND LTD · CIK 0001249675 · 10% owner

EDELMAN JOSEPH · CIK 0001164426 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 8,900,085

F1 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.45 to $2.03 inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of sold at each separate price within such range.

F3 · ownership.nature: The securities are directly held by Perceptive Life Sciences Master Fund Ltd. (the "Master Fund"). Perceptive Advisors LLC (the "Advisor") serves as the investment manager of Master Fund. Joseph Edelman is the managing member of the Advisor. Each of Mr. Edelman and the Advisor disclaims, for purposes of Section 16 of the Securities Exchange Act of 1934, beneficial ownership of such securities, except to the extent of his/its indirect pecuniary interest therein, and this report shall not be deemed an admission that either Mr. Edelman or the Advisor is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.

SEC source: 0000950170-23-047497 · ownership.xml · derivative · entry 2

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,437 shares

Expires 2023-09-07

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: The stock option is fully vested.

SEC source: 0000950170-23-047497 · ownership.xml · nonDerivative · entry 1

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,812

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: 0000950170-23-047530 · ownership.xml · derivative · entry 7

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 48,021 shares

Expires 2023-09-07

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: The stock option is fully vested.

SEC source: 0000950170-23-047530 · ownership.xml · derivative · entry 6

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,953 shares

Expires 2023-09-07

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: The stock option is fully vested.

SEC source: 0000950170-23-047530 · ownership.xml · derivative · entry 5

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 192,084 shares

Expires 2023-09-07

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: The stock option is fully vested.

SEC source: 0000950170-23-047530 · ownership.xml · nonDerivative · entry 4

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,654,536

F1 · shares: Represents the number of shares withheld by the Issuer to satisfy the tax withholding obligations in connection with the exercise of the stock options.

SEC source: 0000950170-23-047530 · ownership.xml · nonDerivative · entry 3

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,728,343

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: 0000950170-23-047530 · ownership.xml · nonDerivative · entry 2

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,680,322

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: 0000950170-23-047530 · ownership.xml · nonDerivative · entry 1

Brady Todd C · CIK 0001579179 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,647,369

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: 0000950170-23-044379 · ownership.xml · derivative · entry 2

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,604 shares

Expires 2023-09-07

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: The stock option is fully vested.

SEC source: 0000950170-23-044379 · ownership.xml · nonDerivative · entry 1

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,854

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: 0000950170-23-031778 · ownership.xml · derivative · entry 3

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 640

Underlying: Common Stock · 640 shares

Expires 2033-06-29

F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031778 · ownership.xml · derivative · entry 2

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,488

Underlying: Common Stock · 5,488 shares

Expires 2033-06-29

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as the Chairperson of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031778 · ownership.xml · derivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,222

Underlying: Common Stock · 21,222 shares

Expires 2033-06-29

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031789 · ownership.xml · derivative · entry 3

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,744

Underlying: Common Stock · 2,744 shares

Expires 2033-06-29

F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Audit Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031789 · ownership.xml · derivative · entry 2

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 640

Underlying: Common Stock · 640 shares

Expires 2033-06-29

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Nominating/Corporate Governance Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031789 · ownership.xml · derivative · entry 1

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,222

Underlying: Common Stock · 21,222 shares

Expires 2033-06-29

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031788 · ownership.xml · derivative · entry 3

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,372

Underlying: Common Stock · 1,372 shares

Expires 2033-06-29

F3 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Audit Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031788 · ownership.xml · derivative · entry 2

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,829

Underlying: Common Stock · 1,829 shares

Expires 2033-06-29

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Compensation Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031788 · ownership.xml · derivative · entry 1

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,222

Underlying: Common Stock · 21,222 shares

Expires 2033-06-29

F1 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000950170-23-031786 · ownership.xml · derivative · entry 2

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 915

Underlying: Common Stock · 915 shares

Expires 2033-06-29

F2 · derivative.exercise_date: Exercisable with respect to 100% of the shares on the one-year anniversary of the grant date, provided that the Reporting Person provides continuous service as a member of the Compensation Committee of the Board of Directors of the Issuer through the applicable vesting date.