ARDX

SEC source: 0001567619-20-000947 · doc1.xml · derivative · entry 1

RAAB MICHAEL · CIK 0001321402 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 557,460

Underlying: Common Stock · 557,460 shares

Expires 2030-01-09

F1 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 9, 2020, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.

SEC source: 0001567619-20-000946 · doc1.xml · derivative · entry 1

GRAMMER ELIZABETH A · CIK 0001213041 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,365

Underlying: Common Stock · 139,365 shares

Expires 2030-01-09

F1 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 9, 2020, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.

SEC source: 0001567619-20-000948 · doc1.xml · derivative · entry 1

Rosenbaum David P. · CIK 0001611311 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,365

Underlying: Common Stock · 139,365 shares

Expires 2030-01-09

F1 · derivative.exercise_date: The option becomes exercisable as it vests and the shares subject to the option vest in 48 successive, equal monthly installments on each monthly anniversary of January 9, 2020, subject to the Reporting Person's continued employment or service relationship with the Issuer on each such vesting date.

SEC source: 0001567619-20-000160 · doc1.xml · nonDerivative · entry 2

GRAMMER ELIZABETH A · CIK 0001213041 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · By son

Disclosed balance after: 2,066

F1 · kind: This transaction involved the purchase of securities by the Reporting Person's son, who shares the Reporting Person's household. The Reporting Person disclaims beneficial ownership of the shares held by her son, and this report should not be deemed an admission that the Reporting Person is the beneficial owner of her son's shares for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-19-059713 · doc4.xml · nonDerivative · entry 2

BARRIS PETER J · CIK 0001005561 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 3,482,186

F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-19-059713 · doc4.xml · nonDerivative · entry 1

BARRIS PETER J · CIK 0001005561 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 9,569,210

F1 · ownership.nature: The Reporting Person is a manager of NEA 12 GP, LLC, ("NEA 12 GP") which is the sole general partner of NEA Partners 12, Limited Partnership ("NEA Partners 12"). NEA Partners 12 is the sole general partner of New Enterprise Associates 12, Limited Partnership ("NEA 12"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 12 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-19-059724 · doc4.xml · nonDerivative · entry 1

Sonsini Peter W. · CIK 0001559807 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 3,482,186

F1 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-19-059723 · doc4.xml · nonDerivative · entry 2

SANDELL SCOTT D · CIK 0001237289 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 3,482,186

F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-19-059723 · doc4.xml · nonDerivative · entry 1

SANDELL SCOTT D · CIK 0001237289 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 9,569,210

F1 · ownership.nature: The Reporting Person is a manager of NEA 12 GP, LLC, ("NEA 12 GP") which is the sole general partner of NEA Partners 12, Limited Partnership ("NEA Partners 12"). NEA Partners 12 is the sole general partner of New Enterprise Associates 12, Limited Partnership ("NEA 12"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 12 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-19-059722 · doc4.xml · nonDerivative · entry 1

MOTT DAVID M · CIK 0001219871 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 3,482,186

F1 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-19-059718 · doc4.xml · nonDerivative · entry 1

Makhzoumi Mohamad · CIK 0001630226 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 3,482,186

F1 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-19-059720 · doc4.xml · nonDerivative · entry 1

MAKOWER JOSHUA · CIK 0001235952 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 3,482,186

F1 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-19-059717 · doc4.xml · nonDerivative · entry 1

KERINS PATRICK J · CIK 0001235112 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 9,569,210

F1 · ownership.nature: The Reporting Person is a manager of NEA 12 GP, LLC, ("NEA 12 GP") which is the sole general partner of NEA Partners 12, Limited Partnership ("NEA Partners 12"). NEA Partners 12 is the sole general partner of New Enterprise Associates 12, Limited Partnership ("NEA 12"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 12 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-19-059716 · doc4.xml · nonDerivative · entry 1

Florence Anthony A. Jr. · CIK 0001559827 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 3,482,186

F1 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-19-059715 · doc4.xml · nonDerivative · entry 2

BASKETT FOREST · CIK 0001277631 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 3,482,186

F2 · ownership.nature: The Reporting Person is a manager of NEA 15 GP, LLC, ("NEA 15 GP") which is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-19-059715 · doc4.xml · nonDerivative · entry 1

BASKETT FOREST · CIK 0001277631 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 9,569,210

F1 · ownership.nature: The Reporting Person is a manager of NEA 12 GP, LLC, ("NEA 12 GP") which is the sole general partner of NEA Partners 12, Limited Partnership ("NEA Partners 12"). NEA Partners 12 is the sole general partner of New Enterprise Associates 12, Limited Partnership ("NEA 12"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 12 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-19-059712 · doc4.xml · nonDerivative · entry 1

New Enterprise Associates 12, Limited Partnership · CIK 0001383391 · 10% owner

NEA Partners 12, Limited Partnership · CIK 0001383390 · 10% owner

NEA 12 GP, LLC · CIK 0001383389 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,569,210

F1 · ownership.direct: The securities are held by New Enterprise Associates 12, Limited Partnership ("NEA 12") and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "Indirect Reporting Persons"). The individual managers of NEA 12 GP are Peter J. Barris, Forest Baskett, Patrick J. Kerins and Scott D. Sandell. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the issuer held by NEA 12 in which the Indirect Reporting Persons have no pecuniary interest.

SEC source: 0001209191-19-059711 · doc4.xml · nonDerivative · entry 1

NEA 15 GP, LLC · CIK 0001640033 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 3,482,186

F1 · ownership.nature: The Reporting Person is the sole general partner of NEA Partners 15-OF, L.P. ("NEA Partners 15-OF"). NEA Partners 15-OF is the sole general partner of NEA 15 Opportunity Fund, L. P. ("NEA Opportunity 15"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA Opportunity 15 in which the Reporting Person has no pecuniary interest.

SEC source: 0001567619-19-022690 · doc1.xml · derivative · entry 4

GRAMMER ELIZABETH A · CIK 0001213041 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,983

Underlying: Common Stock · 5,000 shares

Expires 2022-12-06

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 June 3, 2019.

F2 · derivative.exercise_date: The option is fully vested and exercisable.

SEC source: 0001567619-19-022690 · doc1.xml · nonDerivative · entry 2

GRAMMER ELIZABETH A · CIK 0001213041 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,219

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 3, 2019.

SEC source: 0001567619-19-022690 · doc1.xml · nonDerivative · entry 1

GRAMMER ELIZABETH A · CIK 0001213041 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,219

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 June 3, 2019.

SEC source: 0001567619-19-022043 · doc1.xml · derivative · entry 4

GRAMMER ELIZABETH A · CIK 0001213041 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,983

Underlying: Common Stock · 5,000 shares

Expires 2022-12-06

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.

F3 · derivative.exercise_date: The option is fully vested and exercisable.

SEC source: 0001567619-19-022043 · doc1.xml · nonDerivative · entry 2

GRAMMER ELIZABETH A · CIK 0001213041 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,219

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 3, 2019

F2 · balance_after: Reflects the adjusted total which includes the purchase of 2,329 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2019

SEC source: 0001567619-19-022043 · doc1.xml · nonDerivative · entry 1

GRAMMER ELIZABETH A · CIK 0001213041 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,219

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 June 3, 2019

F2 · balance_after: Reflects the adjusted total which includes the purchase of 2,329 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2019

SEC source: 0001567619-19-019357 · doc1.xml · derivative · entry 3

Kaufmann Mark · CIK 0001611184 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,894

Underlying: Common Stock · 20,000 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.

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 5, 2019.

F4 · derivative.exercise_date: The option is fully vested and exercisable.

SEC source: 0001567619-19-019357 · doc1.xml · nonDerivative · entry 2

Kaufmann Mark · CIK 0001611184 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,418

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on September 5, 2019.

F2 · price: This transaction was executed in multiple trades in prices ranging from $4.50 to $4.64, 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.

F3 · balance_after: Reflects the adjusted total which includes the purchase of 2,330 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2019

SEC source: 0001567619-19-019357 · doc1.xml · nonDerivative · entry 1

Kaufmann Mark · CIK 0001611184 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,418

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 September 5, 2019.

F3 · balance_after: Reflects the adjusted total which includes the purchase of 2,330 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2019

SEC source: 0001567619-20-004459 · 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: 20,638

F1 · balance_after: Reflects the adjusted total which includes the purchase of 2,609 shares under the Ardelyx Employee Stock Purchase Plan on August 31, 2019.

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

SEC source: 0001567619-19-017518 · doc1.xml · nonDerivative · entry 2

GRAMMER ELIZABETH A · CIK 0001213041 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,890

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 3, 2019.

SEC source: 0001567619-19-017518 · doc1.xml · nonDerivative · entry 1

GRAMMER ELIZABETH A · CIK 0001213041 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,838

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 3, 2019.

SEC source: 0001567619-19-017362 · doc1.xml · nonDerivative · entry 1

GRAMMER ELIZABETH A · CIK 0001213041 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,890

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 3, 2019.

SEC source: 0001567619-19-017517 · doc1.xml · nonDerivative · entry 1

GRAMMER ELIZABETH A · CIK 0001213041 · EVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,890

F1 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person on June 3, 2019.

F2 · price: Amendment made to include price which was not included in original filing.

SEC source: 0001567619-19-013482 · doc1.xml · derivative · entry 1

RINGOLD GORDON · CIK 0001101713 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-06-13

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: 0001567619-19-013486 · doc1.xml · derivative · entry 2

Lundberg Jan M · CIK 0001480120 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-06-13

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: 0001567619-19-013486 · doc1.xml · nonDerivative · entry 1

Lundberg Jan M · CIK 0001480120 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,121

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: 0001209191-19-037427 · doc4.xml · derivative · entry 4

MOTT DAVID M · CIK 0001219871 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-06-13

F4 · shares: The option was issued pursuant to the Issuer's Non-Employee Director Compensation Program.

F5 · 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: 0001209191-19-037427 · doc4.xml · nonDerivative · entry 3

MOTT DAVID M · CIK 0001219871 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,566

F3 · 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: 0001567619-19-013484 · doc1.xml · derivative · entry 1

Bazemore Robert B · CIK 0001620152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-06-13

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: 0001567619-19-013483 · doc1.xml · derivative · entry 2

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-06-13

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: 0001567619-19-013483 · doc1.xml · nonDerivative · entry 1

Rodgers Richard J · CIK 0001313397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,377

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: 0001567619-19-013481 · doc1.xml · derivative · entry 2

Bertrand William C JR · CIK 0001291937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-06-13

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: 0001567619-19-013481 · doc1.xml · nonDerivative · entry 1

Bertrand William C JR · CIK 0001291937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,135

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: 0001567619-19-013480 · doc1.xml · derivative · entry 2

Jenkins Annalisa · CIK 0001639481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-06-13

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: 0001567619-19-013480 · doc1.xml · nonDerivative · entry 1

Jenkins Annalisa · CIK 0001639481 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,471

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: 0001567619-19-012996 · doc1.xml · nonDerivative · entry 1

Rosenbaum David P. · CIK 0001611311 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,171

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 · price: This transaction was executed in multiple trades in prices ranging from $2.5200 to $2.5722, 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.

F3 · balance_after: Includes 3,000 shares acquired under the Issuer's Employee Stock Purchase Plan on February 28, 2019.

SEC source: 0001567619-19-012995 · doc1.xml · nonDerivative · entry 1

RAAB MICHAEL · CIK 0001321402 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,355

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 · price: This transaction was executed in multiple trades in prices ranging from $2.5200 to $2.5745, 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.

F3 · balance_after: Includes 3,000 shares acquired under the Issuer's Employee Stock Purchase Plan on February 28, 2019.

SEC source: 0001567619-19-012994 · doc1.xml · nonDerivative · entry 1

Kaufmann Mark · CIK 0001611184 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,088

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 · price: This transaction was executed in multiple trades in prices ranging from $2.5200 to $2.5745, 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.

F3 · balance_after: Includes 2,512 shares acquired under the Issuer's Employee Stock Purchase Plan on February 28, 2019.

SEC source: 0001567619-19-012993 · doc1.xml · nonDerivative · entry 4

GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,764

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.

F4 · price: This transaction was executed in multiple trades in prices ranging from $2.5200 to $2.5722, 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: 0001567619-19-012993 · doc1.xml · nonDerivative · entry 3

GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · By son

Disclosed balance after: 2,000

F2 · kind: This transaction involved a gift of securities by the Reporting Person to her son, who shares Reporting Person's household. The Reporting Person disclaims beneficial ownership of the shares held by her son, and this report should not be deemed an admission that the Reporting Person is the beneficial owner of her son's shares for purposes of Section 16 or for any other purpose.

SEC source: 0001567619-19-012993 · doc1.xml · nonDerivative · entry 2

GRAMMER ELIZABETH A · CIK 0001213041 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,284

F2 · kind: This transaction involved a gift of securities by the Reporting Person to her son, who shares Reporting Person's household. The Reporting Person disclaims beneficial ownership of the shares held by her son, and this report should not be deemed an admission that the Reporting Person is the beneficial owner of her son's shares for purposes of Section 16 or for any other purpose.