ALDX

SEC source: 0000899243-20-007064 · doc4.xml · derivative · entry 2

McMullin David · CIK 0001738662 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,480

Underlying: Common Stock · 247,480 shares

Expires 2030-03-01

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, 2020.

SEC source: 0000899243-20-007064 · doc4.xml · nonDerivative · entry 1

McMullin David · CIK 0001738662 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,703

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.

F2 · balance_after: Includes an additional 1,555 shares of common stock previously acquired under the Issuer's Employee Stock Purchase Plan.

SEC source: 0000899243-20-007060 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,865

Underlying: Common Stock · 450,865 shares

Expires not disclosed

F3 · derivative.exercise_price: The bonus units vest in four (4) annual installments from the date of grant and entitle the Reporting Person to receive a cash payment, on the earlier of (i) four (4) years from the date of grant or (ii) a Change of Control of the Issuer (as defined in the grant documents), equal in value to the amount by which the then value of the Issuer's common stock exceeds the base value of $3.78.

F3 · derivative.exercise_date: The bonus units vest in four (4) annual installments from the date of grant and entitle the Reporting Person to receive a cash payment, on the earlier of (i) four (4) years from the date of grant or (ii) a Change of Control of the Issuer (as defined in the grant documents), equal in value to the amount by which the then value of the Issuer's common stock exceeds the base value of $3.78.

F3 · derivative.expiration_date: The bonus units vest in four (4) annual installments from the date of grant and entitle the Reporting Person to receive a cash payment, on the earlier of (i) four (4) years from the date of grant or (ii) a Change of Control of the Issuer (as defined in the grant documents), equal in value to the amount by which the then value of the Issuer's common stock exceeds the base value of $3.78.

SEC source: 0000899243-20-007060 · 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 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: 0000899243-20-007060 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 902,216

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.

SEC source: 0000899243-20-007448 · doc4a.xml · derivative · entry 2

Reed Joshua · CIK 0001746541 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 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: 0000899243-20-007448 · doc4a.xml · nonDerivative · entry 1

Reed Joshua · CIK 0001746541 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,481

F1 · acquired: 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.

SEC source: 0000899243-20-007447 · doc4a.xml · derivative · entry 2

McMullin David · CIK 0001738662 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2030-03-01

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, 2020.

SEC source: 0000899243-20-007447 · doc4a.xml · nonDerivative · entry 1

McMullin David · CIK 0001738662 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,183

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.

F2 · balance_after: Includes an additional 1,555 shares of common stock previously acquired under the Issuer's Employee Stock Purchase Plan.

SEC source: 0000899243-20-001261 · doc4.xml · derivative · entry 1

Miller-Rich Nancy · CIK 0001735084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,264

Underlying: Common Stock · 24,264 shares

Expires 2030-01-12

F1 · derivative.exercise_date: Exercisable in equal annual installments over three years of continuous service to the Issuer after January 13, 2020.

SEC source: 0000899243-19-029509 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 652,216

SEC source: 0000899243-19-024582 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 632,216

F1 · kind: The purchase of these shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.41 to $5.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2) to this Form 4.

SEC source: 0000899243-19-024225 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 623,506

F1 · kind: The purchase of these shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 30, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.75 to $5.87, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2) to this Form 4.

SEC source: 0000899243-19-023982 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 614,826

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.80 to $5.97, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

SEC source: 0000899243-19-023923 · doc4.xml · nonDerivative · entry 1

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,644

SEC source: 0000899243-19-023735 · doc4a.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,538

SEC source: 0000899243-19-023718 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 591,991

SEC source: 0000899243-19-023719 · doc4.xml · nonDerivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

SEC source: 0000899243-19-023735 · doc4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 597,538

F1 · shares: Includes 8,547 shares that were inadvertently omitted from the original Form 4.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.79 to $6.29, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2) to this Form 4.

SEC source: 0000899243-19-023718 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 588,991

SEC source: 0000899243-19-023539 · doc4.xml · nonDerivative · entry 2

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.93 to $6.04, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2) to this Form 4.

SEC source: 0000899243-19-023628 · doc4.xml · nonDerivative · entry 1

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,644

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.85 to $5.87, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

SEC source: 0000899243-19-023539 · doc4.xml · nonDerivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.65 to $5.79, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

SEC source: 0000899243-19-023315 · doc4.xml · nonDerivative · entry 2

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.03 to $5.11, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (2) to this Form 4.

SEC source: 0000899243-19-023317 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 578,991

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.375 to $5.43, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (3) to this Form 4.

SEC source: 0000899243-19-023315 · doc4.xml · nonDerivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.82 to $4.92, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

SEC source: 0000899243-19-023317 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 568,991

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $4.88 to $4.93, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2 · balance_after: Includes 2,937 shares of common stock acquired under the Issuer's Employee Stock Purchase Plan (ESPP) in 2019.

SEC source: 0000899243-19-023265 · doc4.xml · nonDerivative · entry 1

Clark David J · CIK 0001662693 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,878

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.03 to $5.07, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.

F2 · balance_after: Includes 1,366 shares of common stock acquired under the Issuer's Employee Stock Purchase Plan (ESPP) in 2019.

SEC source: 0000899243-19-023129 · doc4.xml · nonDerivative · entry 1

Reed Joshua · CIK 0001746541 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,774

F1 · balance_after: Includes 2,937 shares of common stock acquired under the Issuer's Employee Stock Purchase Plan (ESPP) in 2019.

SEC source: 0000899243-19-023128 · doc4.xml · nonDerivative · entry 1

McMullin David · CIK 0001738662 · Chief Commerical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,148

F1 · balance_after: Includes 1,819 shares of common stock acquired under the Issuer's Employee Stock Purchase Plan (ESPP) in 2019.

SEC source: 0000904454-19-000466 · edgar.xml · derivative · entry 3

TREU JESSE I · CIK 0001013425 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,653

Underlying: Common Stock · 1,653 shares

Expires 2029-06-03

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: 0000904454-19-000466 · edgar.xml · derivative · entry 2

TREU JESSE I · CIK 0001013425 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,763

Underlying: Common Stock · 1,763 shares

Expires 2029-06-03

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: 0000904454-19-000466 · edgar.xml · derivative · entry 1

TREU JESSE I · CIK 0001013425 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,951

Underlying: Common Stock · 18,951 shares

Expires 2029-06-03

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: 0000899243-19-015821 · doc4.xml · derivative · entry 3

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 771

Underlying: Common Stock · 771 shares

Expires 2029-06-03

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: 0000899243-19-015821 · doc4.xml · derivative · entry 2

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,611

Underlying: Common Stock · 6,611 shares

Expires 2029-06-03

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 the Chairperson of the Board of Directors of the Issuer through the applicable vesting date.

SEC source: 0000899243-19-015821 · doc4.xml · derivative · entry 1

DOUGLAS RICHARD · CIK 0001021015 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,951

Underlying: Common Stock · 18,951 shares

Expires 2029-06-03

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: 0000899243-19-015820 · doc4.xml · derivative · entry 3

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,305

Underlying: Common Stock · 3,305 shares

Expires 2029-06-03

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: 0000899243-19-015820 · doc4.xml · derivative · entry 2

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 771

Underlying: Common Stock · 771 shares

Expires 2029-06-03

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: 0000899243-19-015820 · doc4.xml · derivative · entry 1

JOYCE MARTIN JOSEPH · CIK 0001300858 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,951

Underlying: Common Stock · 18,951 shares

Expires 2029-06-03

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: 0000899243-19-015822 · doc4.xml · derivative · entry 2

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,204

Underlying: Common Stock · 2,204 shares

Expires 2029-06-03

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: 0000899243-19-015822 · doc4.xml · derivative · entry 1

Phillips Gary M. · CIK 0001197795 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,951

Underlying: Common Stock · 18,951 shares

Expires 2029-06-03

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: 0000899243-19-015824 · doc4.xml · derivative · entry 3

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,102

Underlying: Common Stock · 1,102 shares

Expires 2029-06-03

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

SEC source: 0000899243-19-015824 · doc4.xml · derivative · entry 2

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,653

Underlying: Common Stock · 1,653 shares

Expires 2029-06-03

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: 0000899243-19-015824 · doc4.xml · derivative · entry 1

Bronstein Ben · CIK 0001604458 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,951

Underlying: Common Stock · 18,951 shares

Expires 2029-06-03

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: 0000899243-19-015819 · doc4.xml · derivative · entry 2

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,102

Underlying: Common Stock · 1,102 shares

Expires 2029-06-03

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: 0000899243-19-015819 · doc4.xml · derivative · entry 1

Walker Neal · CIK 0001604457 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,951

Underlying: Common Stock · 18,951 shares

Expires 2029-06-03

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: 0000904454-19-000337 · edgar.xml · nonDerivative · entry 2

TREU JESSE I · CIK 0001013425 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By DP VI Associates, L.P.

Disclosed balance after: 8,763

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.00 to $10.07. 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 ranges set forth in this footnote.

F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VI, LLC, which is the sole general partner of Domain Partners VI, L.P. and DP VI Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly benefically owned the entire number of securities benefically owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him.

SEC source: 0000904454-19-000337 · edgar.xml · nonDerivative · entry 1

TREU JESSE I · CIK 0001013425 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Domain Partners VI, L.P.

Disclosed balance after: 1,877,091

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.00 to $10.07. 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 ranges set forth in this footnote.

F2 · ownership.nature: The Reporting Person is a Managing Member of One Palmer Square Associates VI, LLC, which is the sole general partner of Domain Partners VI, L.P. and DP VI Associates, L.P. Pursuant to Instruction (4)(b)(iv) of Form 4, the Reporting Person has elected to report as indirectly benefically owned the entire number of securities benefically owned by each such entity. The Reporting Person disclaims beneficial ownership of any securities, and any proceeds thereof, that exceed his pecuniary interest therein and/or that are not actually distributed to him.

SEC source: 0000899243-19-006732 · doc4.xml · derivative · entry 2

Reed Joshua · CIK 0001746541 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2029-03-04

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, 2019.

SEC source: 0000899243-19-006732 · doc4.xml · nonDerivative · entry 1

Reed Joshua · CIK 0001746541 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,637

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, 2019, provided that the Reporting Person has provided continuous service to the Issuer through the applicable vesting date.