ARDX

SEC source: 0001567619-21-021165 · doc1.xml · nonDerivative · entry 1

Rosenbaum David P. · CIK 0001611311 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311,161

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-021162 · doc1.xml · nonDerivative · entry 1

RAAB MICHAEL · CIK 0001321402 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 631,803

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-021158 · doc1.xml · nonDerivative · entry 1

GRAMMER ELIZABETH A · CIK 0001213041 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275,958

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-021161 · doc1.xml · nonDerivative · entry 2

Jacobs Jeffrey W · CIK 0001611193 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,483

F3 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-021161 · doc1.xml · nonDerivative · entry 1

Jacobs Jeffrey W · CIK 0001611193 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,237

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 29, 2021.

F2 · price: This transaction was executed in multiple trades in prices ranging from $0.96 to $0.992, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

SEC source: 0001567619-21-020591 · doc1.xml · nonDerivative · entry 1

Jacobs Jeffrey W · CIK 0001611193 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,237

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 29, 2021.

SEC source: 0001567619-21-020115 · doc1.xml · nonDerivative · entry 1

GRAMMER ELIZABETH A · CIK 0001213041 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,495

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 28, 2021.

F2 · price: The transaction was executed in multiple trades in prices ranging from $1.11 to $1.15, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

SEC source: 0001567619-21-019728 · doc1.xml · nonDerivative · entry 1

Jacobs Jeffrey W · CIK 0001611193 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,237

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 29, 2021.

F2 · balance_after: Reflects the adjusted total which includes the purchase of 2,166 shares under the Ardelyx Employee Stock Purchase Plan on February 28, 2021.

F3 · balance_after: Reflects the adjusted total which includes the purchase of 2,540 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2021.

SEC source: 0001567619-21-019031 · doc1.xml · nonDerivative · entry 1

Rodriguez Susan · CIK 0001812511 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,673

F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof.

F2 · balance_after: Reflects the adjusted total which includes the purchase of 3,000 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2021.

SEC source: 0001567619-21-019032 · doc1.xml · nonDerivative · entry 2

Rosenbaum David P. · CIK 0001611311 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wife

Disclosed balance after: 90,811

F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof.

F2 · balance_after: Reflects the adjusted total which includes the purchase of 3,000 shares under the Ardelyx Employee Stock Purchase Plan on February 28, 2021.

F3 · balance_after: Reflects the adjusted total which includes the purchase of 1,237 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2021.

F4 · ownership.nature: The shares are directly held by the Reporting Person's wife.

SEC source: 0001567619-21-019032 · doc1.xml · nonDerivative · entry 1

Rosenbaum David P. · CIK 0001611311 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311,804

F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof.

F2 · balance_after: Reflects the adjusted total which includes the purchase of 3,000 shares under the Ardelyx Employee Stock Purchase Plan on February 28, 2021.

SEC source: 0001567619-21-019030 · doc1.xml · nonDerivative · entry 1

Blanks Robert · CIK 0001815433 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 361,511

F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof.

F2 · balance_after: Reflects the adjusted total which includes the purchase of 2,188 shares under the Ardelyx Employee Stock Purchase Plan on February 28, 2021.

F3 · balance_after: Reflects the adjusted total which includes the purchase of 3,000 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2021.

SEC source: 0001567619-21-019029 · doc1.xml · nonDerivative · entry 1

Renz Justin A · CIK 0001466562 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,330

F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof.

F2 · balance_after: Reflects the adjusted total which includes the purchase of 1,283 shares under the Ardelyx Employee Stock Purchase Plan on February 28, 2021.

F3 · balance_after: Reflects the adjusted total which includes the purchase of 3,000 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2021.

SEC source: 0001567619-21-019033 · doc1.xml · nonDerivative · entry 1

RAAB MICHAEL · CIK 0001321402 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 634,410

F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof.

F2 · balance_after: Reflects the adjusted total which includes the purchase of 1,937 shares under the Ardelyx Employee Stock Purchase Plan on February 28, 2021.

F3 · balance_after: Reflects the adjusted total which includes the purchase of 2,743 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2021.

SEC source: 0001567619-21-019028 · doc1.xml · nonDerivative · entry 1

GRAMMER ELIZABETH A · CIK 0001213041 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 353,927

F1 · shares: Restricted stock units ("RSUs"). The Reporting Person is entitled to receive one (1) shares of Common Stock for each one (1) RSU upon the vesting thereof.

F2 · balance_after: Reflects the adjusted total which includes the purchase of 1,541 shares under the Ardelyx Employee Stock Purchase Plan on February 28, 2021.

SEC source: 0001567619-21-016286 · doc1.xml · nonDerivative · entry 1

Rodriguez Susan · CIK 0001812511 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,673

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-016281 · doc1.xml · nonDerivative · entry 1

Blanks Robert · CIK 0001815433 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,323

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-016285 · doc1.xml · nonDerivative · entry 1

Renz Justin A · CIK 0001466562 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,047

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-016287 · doc1.xml · nonDerivative · entry 2

Rosenbaum David P. · CIK 0001611311 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wife

Disclosed balance after: 26,574

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

F2 · ownership.nature: The shares are directly held by the Reporting Person's wife.

SEC source: 0001567619-21-016287 · doc1.xml · nonDerivative · entry 1

Rosenbaum David P. · CIK 0001611311 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,804

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-016284 · doc1.xml · nonDerivative · entry 1

RAAB MICHAEL · CIK 0001321402 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329,730

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-016283 · doc1.xml · nonDerivative · entry 1

Jacobs Jeffrey W · CIK 0001611193 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,697

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-016282 · doc1.xml · nonDerivative · entry 2

GRAMMER ELIZABETH A · CIK 0001213041 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,386

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-014511 · doc1.xml · derivative · entry 5

RAAB MICHAEL · CIK 0001321402 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 267,892 shares

Expires 2021-08-11

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.

F4 · derivative.exercise_date: Fully exercisable.

SEC source: 0001567619-21-014511 · doc1.xml · nonDerivative · entry 2

RAAB MICHAEL · CIK 0001321402 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 332,303

F1 · kind: These shares were withheld so the Reporting Person could satisfy the exercise price and the withholding of taxes arising from a net (cashless) exercise of stock options. The options subject to the net exercise were granted in August 2011 and set to expire on August 11, 2021.

SEC source: 0001567619-21-014511 · doc1.xml · nonDerivative · entry 1

RAAB MICHAEL · CIK 0001321402 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 482,646

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001567619-21-014510 · doc1.xml · derivative · entry 3

Jacobs Jeffrey W · CIK 0001611193 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2021-08-11

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Fully exercisable.

SEC source: 0001567619-21-014510 · doc1.xml · nonDerivative · entry 2

Jacobs Jeffrey W · CIK 0001611193 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,438

F1 · kind: These shares were withheld so the Reporting Person could satisfy the exercise price and the withholding of taxes arising from a net (cashless) exercise of stock options. The options subject to the net exercise were granted in August 2011 and set to expire on August 11, 2021.

SEC source: 0001567619-21-014510 · doc1.xml · nonDerivative · entry 1

Jacobs Jeffrey W · CIK 0001611193 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,051

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001567619-21-012428 · doc1.xml · derivative · entry 1

Cadoret-Manier Onaiza · CIK 0001799355 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,765

Underlying: Common Stock · 32,765 shares

Expires 2031-06-16

F1 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program.

F2 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date.

SEC source: 0001567619-21-012427 · doc1.xml · derivative · entry 2

Lundberg Jan M · CIK 0001480120 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,765

Underlying: Common Stock · 32,765 shares

Expires 2031-06-16

F2 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program.

F3 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date.

SEC source: 0001567619-21-012427 · doc1.xml · nonDerivative · entry 1

Lundberg Jan M · CIK 0001480120 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,799

F1 · shares: The shares were issued pursuant to the Issuer's Non-Employee Director Compensation Program. The Reporting Person elected to receive stock in lieu of cash as permitted under the program.

SEC source: 0001567619-21-012431 · doc1.xml · derivative · entry 2

Bertrand William C JR · CIK 0001291937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,765

Underlying: Common Stock · 32,765 shares

Expires 2031-06-16

F2 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program.

F3 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date.

SEC source: 0001567619-21-012431 · doc1.xml · nonDerivative · entry 1

Bertrand William C JR · CIK 0001291937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,549

F1 · shares: The shares were issued pursuant to the Issuer's Non-Employee Director Compensation Program. The Reporting Person elected to receive stock in lieu of cash as permitted under the program.

SEC source: 0001567619-21-012430 · doc1.xml · derivative · entry 1

Bazemore Robert B · CIK 0001620152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,765

Underlying: Common Stock · 32,765 shares

Expires 2031-06-16

F1 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program.

F2 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date.

SEC source: 0001567619-21-012429 · doc1.xml · derivative · entry 2

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,765

Underlying: Common Stock · 32,765 shares

Expires 2031-06-16

F2 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program.

F3 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date.

SEC source: 0001567619-21-012429 · doc1.xml · nonDerivative · entry 1

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,527

F1 · shares: The shares were issued pursuant to the Issuer's Non-Employee Director Compensation Program. The Reporting Person elected to receive stock in lieu of cash as permitted under the program.

SEC source: 0001567619-21-012426 · doc1.xml · derivative · entry 1

Block Geoffrey A. · CIK 0001770782 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,765

Underlying: Common Stock · 32,765 shares

Expires 2031-06-16

F1 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program.

F2 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date.

SEC source: 0001567619-21-012425 · doc1.xml · derivative · entry 1

MOTT DAVID M · CIK 0001219871 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,765

Underlying: Common Stock · 32,765 shares

Expires 2031-06-16

F1 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program.

F2 · derivative.exercise_date: The option vests with respect to 1/12th of the shares subject thereto on each monthly anniversary of the grant date, which vesting will accelerate in full on the date of the next annual stockholder's meeting to the extent unvested as of such date, subject to continued service through each applicable vesting date.

SEC source: 0001567619-21-012329 · doc1.xml · derivative · entry 3

Jacobs Jeffrey W · CIK 0001611193 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 7,500 shares

Expires 2021-08-11

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on May 10, 2021.

F3 · derivative.exercise_date: The option, which was granted on August 11, 2011 and has an expiration date of August 11, 2021, is fully vested and exercisable.

SEC source: 0001567619-21-012329 · doc1.xml · nonDerivative · entry 2

Jacobs Jeffrey W · CIK 0001611193 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,051

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on May 10, 2021.

F2 · price: This transaction was executed in multiple trades in prices ranging from $7.242 to $7.41, inclusive. The price reported in Column 4 above reflects the weighted average sales price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

SEC source: 0001567619-21-012329 · doc1.xml · nonDerivative · entry 1

Jacobs Jeffrey W · CIK 0001611193 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,551

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 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on May 10, 2021.

SEC source: 0001567619-21-011569 · doc1.xml · nonDerivative · entry 1

Rosenbaum David P. · CIK 0001611311 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wife

Disclosed balance after: 26,750

F1 · price: The transaction was executed in multiple trades in prices ranging from $7.215 to $7.221, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The reporting person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

F2 · ownership.nature: The shares are directly held by the Reporting Person's wife.

SEC source: 0001567619-21-010924 · doc1.xml · nonDerivative · entry 1

Rodriguez Susan · CIK 0001812511 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,303

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-010918 · doc1.xml · nonDerivative · entry 1

Blanks Robert · CIK 0001815433 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,954

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-010923 · doc1.xml · nonDerivative · entry 1

Renz Justin A · CIK 0001466562 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,678

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-010925 · doc1.xml · nonDerivative · entry 2

Rosenbaum David P. · CIK 0001611311 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wife

Disclosed balance after: 29,812

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

F2 · ownership.nature: The shares are directly held by the Reporting Person's wife.

SEC source: 0001567619-21-010925 · doc1.xml · nonDerivative · entry 1

Rosenbaum David P. · CIK 0001611311 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,435

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-010922 · doc1.xml · nonDerivative · entry 1

RAAB MICHAEL · CIK 0001321402 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,754

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

SEC source: 0001567619-21-010921 · doc1.xml · nonDerivative · entry 1

Jacobs Jeffrey W · CIK 0001611193 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,051

F1 · kind: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.

F1 · shares: Pursuant to an automatic sell-to-cover imposed by the terms of the initial grant of the restricted stock units ("RSUs") awards, the shares were sold upon the vesting of the RSUs solely to cover applicable withholding taxes.