ALDX

SEC source: 0000899243-22-013173 · doc4.xml · derivative · entry 3

Machatha Stephen · CIK 0001836354 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2032-03-29

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, 2022.

SEC source: 0000899243-22-013173 · doc4.xml · nonDerivative · entry 1

Machatha Stephen · CIK 0001836354 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,658

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). The RSU vests ratably in equal annual installments over a four-year period beginning on January 1, 2022, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.

F2 · balance_after: Includes 2,972 shares previously purchased under the Issuer's Employee Stock Purchase Plan.

SEC source: 0000899243-21-023013 · doc4.xml · derivative · entry 3

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408

Underlying: Common Stock · 408 shares

Expires 2031-06-07

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: 0000899243-21-023013 · doc4.xml · derivative · entry 2

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500

Underlying: Common Stock · 3,500 shares

Expires 2031-06-07

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: 0000899243-21-023013 · doc4.xml · derivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,534

Underlying: Common Stock · 13,534 shares

Expires 2031-06-07

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: 0000899243-21-023010 · doc4.xml · derivative · entry 3

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,750

Underlying: Common Stock · 1,750 shares

Expires 2031-06-07

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: 0000899243-21-023010 · doc4.xml · derivative · entry 2

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408

Underlying: Common Stock · 408 shares

Expires 2031-06-07

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: 0000899243-21-023010 · doc4.xml · derivative · entry 1

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,534

Underlying: Common Stock · 13,534 shares

Expires 2031-06-07

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: 0000899243-21-023012 · doc4.xml · derivative · entry 3

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 875

Underlying: Common Stock · 875 shares

Expires 2031-06-07

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: 0000899243-21-023012 · doc4.xml · derivative · entry 2

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,167

Underlying: Common Stock · 1,167 shares

Expires 2031-06-07

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: 0000899243-21-023012 · doc4.xml · derivative · entry 1

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,534

Underlying: Common Stock · 13,534 shares

Expires 2031-06-07

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: 0000899243-21-023011 · doc4.xml · derivative · entry 2

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 583

Underlying: Common Stock · 583 shares

Expires 2031-06-07

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: 0000899243-21-023011 · doc4.xml · derivative · entry 1

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,534

Underlying: Common Stock · 13,534 shares

Expires 2031-06-07

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: 0000899243-21-023009 · doc4.xml · derivative · entry 2

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 583

Underlying: Common Stock · 583 shares

Expires 2031-06-07

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: 0000899243-21-023009 · doc4.xml · derivative · entry 1

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,534

Underlying: Common Stock · 13,534 shares

Expires 2031-06-07

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: 0000899243-21-023007 · doc4.xml · derivative · entry 3

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 933

Underlying: Common Stock · 933 shares

Expires 2031-06-07

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: 0000899243-21-023007 · doc4.xml · derivative · entry 2

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 875

Underlying: Common Stock · 875 shares

Expires 2031-06-07

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: 0000899243-21-023007 · doc4.xml · derivative · entry 1

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,534

Underlying: Common Stock · 13,534 shares

Expires 2031-06-07

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: 0001062993-21-004109 · 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: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,903,879

F1 · 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: 0000950170-24-116048 · ownership.xml · nonDerivative · entry 1

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 413

F1 · kind: The purchases reported herein were executed under the trading discretion of an investment advisor in a managed account, without any instruction from or knowledge of the Reporting Person. The Reporting Person only recently become aware of these transactions.

SEC source: 0000899243-21-015839 · doc4.xml · derivative · entry 1

Reed Joshua · CIK 0001746541 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,185

Underlying: Common Stock · 150,185 shares

Expires 2031-04-11

F1 · 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, 2021.

SEC source: 0000899243-21-015838 · doc4.xml · derivative · entry 1

Machatha Stephen · CIK 0001836354 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,201

Underlying: Common Stock · 116,201 shares

Expires 2031-04-11

F1 · 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, 2021.

SEC source: 0000899243-21-015837 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2031-04-11

F2 · 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, 2021.

SEC source: 0000899243-21-015837 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 948,835

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). The RSU vests ratably in equal annual installments over a four-year period beginning on January 1, 2021, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.

SEC source: 0001062993-21-000506 · 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: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 8,703,879

F1 · 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: 0001062993-21-000275 · form4.xml · nonDerivative · entry 4

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: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,335,458

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: 0001062993-21-000275 · 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: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,285,458

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.63 to $10.43, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the 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: 0001062993-21-000275 · 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: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,132,790

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.63 to $9.62, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the 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: 0001062993-21-000275 · 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: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,785,458

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.49 to $8.44, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the 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: 0000899243-20-019004 · doc4.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: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 6,285,458

F1 · 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: 0000904454-20-000398 · edgar.xml · derivative · entry 3

TREU JESSE I · CIK 0001013425 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,311

Underlying: Common Stock · 2,311 shares

Expires 2030-06-08

F3 · derivative.exercise_date: The option is exercisable in full on the one-year anniversary of the grant date, subject to the Reporting Person's continuous service to the Issuer as a member of the Audit Committee of the Board of Directors through such vesting date.

SEC source: 0000904454-20-000398 · edgar.xml · derivative · entry 2

TREU JESSE I · CIK 0001013425 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,465

Underlying: Common Stock · 2,465 shares

Expires 2030-06-08

F2 · derivative.exercise_date: The option is exercisable in full on the one-year anniversary of the grant date, subject to the Reporting Person's continuous service to the Issuer as the chairman of the Nominating and Corporate Governance Committee of the Board of Directors through such vesting date.

SEC source: 0000904454-20-000398 · edgar.xml · derivative · entry 1

TREU JESSE I · CIK 0001013425 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,503

Underlying: Common Stock · 26,503 shares

Expires 2030-06-08

F1 · derivative.exercise_date: The option is exercisable in full on the one-year anniversary of the grant date, subject to the Reporting Person's continuous service to the Issuer as a member of the Board of Directors through such vesting date.

SEC source: 0000899243-20-016182 · doc4.xml · derivative · entry 3

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,079

Underlying: Common Stock · 1,079 shares

Expires 2030-06-08

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: 0000899243-20-016182 · doc4.xml · derivative · entry 2

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,245

Underlying: Common Stock · 9,245 shares

Expires 2030-06-08

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: 0000899243-20-016182 · doc4.xml · derivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,503

Underlying: Common Stock · 26,503 shares

Expires 2030-06-08

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: 0000899243-20-016181 · doc4.xml · derivative · entry 3

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,623

Underlying: Common Stock · 4,623 shares

Expires 2030-06-08

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: 0000899243-20-016181 · doc4.xml · derivative · entry 2

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,079

Underlying: Common Stock · 1,079 shares

Expires 2030-06-08

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: 0000899243-20-016181 · doc4.xml · derivative · entry 1

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,503

Underlying: Common Stock · 26,503 shares

Expires 2030-06-08

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: 0000899243-20-016177 · doc4.xml · derivative · entry 2

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,082

Underlying: Common Stock · 3,082 shares

Expires 2030-06-08

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: 0000899243-20-016177 · doc4.xml · derivative · entry 1

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,503

Underlying: Common Stock · 26,503 shares

Expires 2030-06-08

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: 0000899243-20-016185 · doc4.xml · derivative · entry 3

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,541

Underlying: Common Stock · 1,541 shares

Expires 2030-06-08

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 Compensation Committee of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-20-016185 · doc4.xml · derivative · entry 2

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,311

Underlying: Common Stock · 2,311 shares

Expires 2030-06-08

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: 0000899243-20-016185 · doc4.xml · derivative · entry 1

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,503

Underlying: Common Stock · 26,503 shares

Expires 2030-06-08

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: 0000899243-20-016183 · doc4.xml · derivative · entry 1

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,503

Underlying: Common Stock · 26,503 shares

Expires 2030-06-08

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: 0000899243-20-016180 · doc4.xml · derivative · entry 2

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,541

Underlying: Common Stock · 1,541 shares

Expires 2030-06-08

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: 0000899243-20-016180 · doc4.xml · derivative · entry 1

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,503

Underlying: Common Stock · 26,503 shares

Expires 2030-06-08

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: 0000899243-20-008616 · doc4.xml · nonDerivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

SEC source: 0000899243-20-007067 · doc4.xml · derivative · entry 2

Reed Joshua · CIK 0001746541 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,707

Underlying: Common Stock · 137,707 shares

Expires 2030-03-01

F2 · 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, 2020.

SEC source: 0000899243-20-007067 · doc4.xml · nonDerivative · entry 1

Reed Joshua · CIK 0001746541 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,774

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). The RSU vests ratably in equal annual installments over a four-year period beginning on January 1, 2020, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.