AQST

SEC source: 0001140361-19-000283 · form4.xml · nonDerivative · entry 2

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,019,791

SEC source: 0001140361-19-000283 · form4.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,019,953

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 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001140361-19-000279 · form4.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,978

Underlying: Common Stock · 329 shares

Expires not disclosed

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_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on September 30, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

F2 · derivative.expiration_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on September 30, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

SEC source: 0001140361-19-000279 · form4.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 628,701

SEC source: 0001140361-19-000279 · form4.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 628,863

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 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001140361-18-044868 · form4.xml · nonDerivative · entry 1

Barber Daniel · CIK 0001742266 · SVP-Chief Strategy/Dev Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,959

SEC source: 0001140361-18-044950 · form4.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,019,624

SEC source: 0001140361-18-044723 · form4.xml · nonDerivative · entry 1

Maxwell John T. · CIK 0001739025 · SVP-Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,614

F1 · ownership.direct: Includes 10,000 shares owned jointly with Mr. Maxwell's spouse.

SEC source: 0001140361-18-044870 · form4.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,018,624

SEC source: 0001140361-18-044536 · form4.xml · derivative · entry 3

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,432

Underlying: Common Stock · 14,572 shares

Expires not disclosed

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_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on August 31, 2018, subject in each case to Mr. Schobel's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

F2 · derivative.expiration_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on August 31, 2018, subject in each case to Mr. Schobel's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

SEC source: 0001140361-18-044536 · form4.xml · nonDerivative · entry 2

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,016,624

SEC source: 0001140361-18-044536 · form4.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,023,801

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 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001140361-18-044533 · form4.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,432

Underlying: Common Stock · 14,572 shares

Expires not disclosed

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_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on August 31, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

F2 · derivative.expiration_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on August 31, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

SEC source: 0001140361-18-044533 · form4.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 628,534

SEC source: 0001140361-18-044533 · form4.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 635,711

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 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001140361-18-043897 · form4.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 621,139

SEC source: 0001140361-18-044032 · form4.xml · nonDerivative · entry 1

BRAENDER LORI J · CIK 0001752955 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

SEC source: 0001140361-18-043665 · form4.xml · nonDerivative · entry 1

Wood Theresa · CIK 0001739784 · SVP-HR and Org. Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,765

SEC source: 0001140361-18-043651 · form4.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 620,139

SEC source: 0001140361-18-043656 · form4.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,009,229

SEC source: 0001140361-18-043651 · form4.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 618,189

SEC source: 0001140361-18-043653 · form4.xml · nonDerivative · entry 1

Maxwell John T. · CIK 0001739025 · SVP-Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,614

F1 · ownership.direct: Includes 10,000 shares owned jointly with Mr. Maxwell's spouse.

SEC source: 0001140361-18-043649 · form4.xml · nonDerivative · entry 1

Boyd Peter E. · CIK 0001739816 · SVP-Operations/Value Delivery

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,639

SEC source: 0001140361-18-044399 · form4.xml · nonDerivative · entry 1

Marshall Ken W. · CIK 0001740092 · Commercial Leader

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 1,445

F1 · ownership.nature: Shares held by the Tasro Consulting, LLC 401(k) Plan, Kenneth Marshall Trustee, f/b/o Kenneth Marshall.

SEC source: 0001140361-18-039942 · form4.xml · derivative · entry 3

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,307

Underlying: Common Stock · 329 shares

Expires not disclosed

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_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on September 30, 2018, subject in each case to Mr. Schobel's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

F2 · derivative.expiration_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on September 30, 2018, subject in each case to Mr. Schobel's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

SEC source: 0001140361-18-039942 · form4.xml · nonDerivative · entry 2

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,008,229

SEC source: 0001140361-18-039942 · form4.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,008,391

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 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001140361-18-039945 · form4.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,307

Underlying: Common Stock · 329 shares

Expires not disclosed

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_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on September 30, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

F3 · derivative.expiration_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on September 30, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

SEC source: 0001140361-18-039945 · form4.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,008,229

F2 · balance_after: Includes 396,040 shares of common stock currently issued and outstanding, which are held by Mr. Kendall in constructive trust for his former spouse pursuant to a divorce settlement agreement reached in November 2016 and which will be transferred and come under the control of Mr. Kendall's former spouse in the near future.

SEC source: 0001140361-18-039945 · form4.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,008,391

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 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Includes 396,040 shares of common stock currently issued and outstanding, which are held by Mr. Kendall in constructive trust for his former spouse pursuant to a divorce settlement agreement reached in November 2016 and which will be transferred and come under the control of Mr. Kendall's former spouse in the near future.

SEC source: 0001140361-18-038414 · form4.xml · derivative · entry 1

BRAENDER LORI J · CIK 0001752955 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2028-09-10

F1 · derivative.exercise_date: The shares underlying the options vest in three annual installments of 25%, 25% and 50% on September 10, 2019, September 10, 2020 and September 10, 2021, respectively, subject in each case to Ms. Braender's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001140361-18-037868 · form4.xml · derivative · entry 3

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,004

Underlying: Common Stock · 14,572 shares

Expires not disclosed

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_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on August 31, 2018, subject in each case to Mr. Schobel's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

F2 · derivative.expiration_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on August 31, 2018, subject in each case to Mr. Schobel's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

SEC source: 0001140361-18-037868 · form4.xml · nonDerivative · entry 2

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,008,062

SEC source: 0001140361-18-037868 · form4.xml · nonDerivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,014,572

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 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001140361-18-037870 · form4.xml · derivative · entry 3

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,004

Underlying: Common Stock · 14,572 shares

Expires not disclosed

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_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on August 31, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

F3 · derivative.expiration_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on August 31, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

SEC source: 0001140361-18-037870 · form4.xml · nonDerivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,008,062

F2 · balance_after: Includes 396,040 shares of common stock currently issued and outstanding, which are held by Mr. Kendall in constructive trust for his former spouse pursuant to a divorce settlement agreement reached in November 2016 and which will be transferred and come under the control of Mr. Kendall's former spouse in the near future.

SEC source: 0001140361-18-037870 · form4.xml · nonDerivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,014,572

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 · price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Includes 396,040 shares of common stock currently issued and outstanding, which are held by Mr. Kendall in constructive trust for his former spouse pursuant to a divorce settlement agreement reached in November 2016 and which will be transferred and come under the control of Mr. Kendall's former spouse in the near future.

SEC source: 0001140361-18-036639 · form4.xml · derivative · entry 2

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,636

Underlying: Common Stock · 2,636 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on September 30, 2018, subject in each case to Mr. Schobel's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

F3 · derivative.expiration_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on September 30, 2018, subject in each case to Mr. Schobel's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

SEC source: 0001140361-18-036639 · form4.xml · derivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,043

Underlying: Common Stock · 28,043 shares

Expires 2028-08-15

F1 · derivative.exercise_date: The shares underlying the options vest in 36 equal (or as nearly equal as possible) monthly installments beginning on September 30, 2018, subject in each case to Mr. Schobel's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001140361-18-036637 · form4.xml · derivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,636

Underlying: Common Stock · 2,636 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on September 30, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

F3 · derivative.expiration_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on September 30, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

SEC source: 0001140361-18-036637 · form4.xml · derivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,043

Underlying: Common Stock · 28,043 shares

Expires 2028-08-15

F1 · derivative.exercise_date: The shares underlying the options vest in 36 equal (or as nearly equal as possible) monthly installments beginning on September 30, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001140361-18-033747 · form4.xml · derivative · entry 1

COSTA SANTO J · CIK 0001013419 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,700

Underlying: Common Stock · 26,700 shares

Expires 2028-07-24

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 25% of the underlying shares vest on the first anniversary of the grant date, 25% of the underlying shares vest on the second anniversary of the grant date and the remaining 50% of the underlying shares vest on the third anniversary of the grant date, subject in each case to Mr. Costa's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001140361-18-033745 · form4.xml · derivative · entry 1

Lurker Nancy · CIK 0001450485 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,700

Underlying: Common Stock · 26,700 shares

Expires 2028-07-24

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 25% of the underlying shares vest on the first anniversary of the grant date, 25% of the underlying shares vest on the second anniversary of the grant date and the remaining 50% of the underlying shares vest on the third anniversary of the grant date, subject in each case to Ms. Lurker's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001140361-18-033742 · form4.xml · derivative · entry 1

Cochran John · CIK 0001406773 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,700

Underlying: Common Stock · 26,700 shares

Expires 2028-07-24

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 25% of the underlying shares vest on the first anniversary of the grant date, 25% of the underlying shares vest on the second anniversary of the grant date and the remaining 50% of the underlying shares vest on the third anniversary of the grant date, subject in each case to Mr. Cochran's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001140361-18-033737 · form4.xml · derivative · entry 2

Schobel Alexander Mark · CIK 0001406836 · Director · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,576

Underlying: Common Stock · 116,576 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on August 31, 2018, subject in each case to Mr. Schobel's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

F3 · derivative.expiration_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on August 31, 2018, subject in each case to Mr. Schobel's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

SEC source: 0001140361-18-033737 · form4.xml · derivative · entry 1

Schobel Alexander Mark · CIK 0001406836 · Director · Chief Innovation/Tech Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,165

Underlying: Common Stock · 240,165 shares

Expires 2028-07-24

F1 · derivative.exercise_date: The shares underlying the options vest in 36 equal (or as nearly equal as possible) monthly installments beginning on August 31, 2018, subject in each case to Mr. Schobel's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0001140361-18-033744 · form4.xml · derivative · entry 2

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,576

Underlying: Common Stock · 116,576 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on August 31, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

F3 · derivative.expiration_date: The restricted stock units vest in 8 equal (or as nearly equal as possible) quarterly installments beginning on August 31, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date. Vested shares will be delivered to the reporting person as soon as practicable following the vesting date thereof.

SEC source: 0001140361-18-033744 · form4.xml · derivative · entry 1

Kendall Keith J · CIK 0001406834 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,165

Underlying: Common Stock · 240,165 shares

Expires 2028-07-24

F1 · derivative.exercise_date: The shares underlying the options vest in 36 equal (or as nearly equal as possible) monthly installments beginning on August 31, 2018, subject in each case to Mr. Kendall's continuous service with the Issuer from the grant date through the applicable vesting date.

SEC source: 0000897423-18-000055 · edgar.xml · nonDerivative · entry 1

BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner

Monoline Partners, L.P. · CIK 0001747211 · 10% owner

Bratton Capital Management, L.P. · CIK 0001723787 · 10% owner

Bratton Capital Inc. · CIK 0001723783 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 165,000

F1 · ownership.nature: These securities are beneficially owned by MonoLine Partners, L.P. ("MonoLine").

F2 · ownership.nature: These securities are owned, as indicated, by MonoLine, MRX Partners, LLC ("MRX Partners"), MonoLine Rx, L.P. ("Monoline Rx"), MonoLine Rx II, L.P. ("Monoline II"), and MonoLine Rx III, L.P. ("Monoline III"), respectively. Monoline, MRX Partners, Monoline Rx, Monoline II, and Monoline III are referred to herein collectively as the "Monoline Entities". Bratton Capital Management, L.P. ("Bratton Capital Management") is the general partner of each of the Monoline Entities. Bratton Capital, Inc. ("Bratton") is the general partner of Bratton Capital Management. The Reporting Person, Douglas K. Bratton, is the sole director of Bratton and has voting and investment power over all shares held by the Monoline Entities.

F8 · ownership.nature: Bratton Capital Management, Bratton, and Mr. Bratton may each be deemed to own beneficially all shares owned by the Monoline Entities, and Bratton and Mr. Bratton may be deemed to beneficially own all shares held by Monosol. Each such entity and Mr. Bratton disclaims beneficial ownership of the reported securities except to the extent of its or his respective pecuniary interest therein.

SEC source: 0001140361-18-033739 · form4.xml · derivative · entry 1

BRATTON DOUGLAS K · CIK 0001281933 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,700

Underlying: Common Stock · 26,700 shares

Expires 2028-07-24

F1 · derivative.exercise_date: The shares underlying the options vest as follows: 25% of the underlying shares vest on the first anniversary of the grant date, 25% of the underlying shares vest on the second anniversary of the grant date and the remaining 50% of the underlying shares vest on the third anniversary of the grant date, subject in each case to Mr. Bratton's continuous service with the Issuer from the grant date through the applicable vesting date.