ATEC

SEC source: 0000899243-21-009425 · doc4.xml · nonDerivative · entry 1

Pelizzon David R · CIK 0001719217 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Squadron Capital LLC

Disclosed balance after: 11,395,045

F1 · ownership.nature: These shares are held by Squadron Capital LLC ("Squadron"). As one of two members of the Managing Committee of Squadron, the reporting person may be deemed to be the beneficial owner of these shares. The reporting person expressly disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein. The inclusion of these shares in this report shall not be deemed to be an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

SEC source: 0001179110-21-002627 · edgar.xml · nonDerivative · entry 1

Lish Scott · CIK 0001831608 · SVP, Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,405

F1 · kind: Shares withheld by issuer to satisfy tax withholding obligations of reporting person resulting from vesting of restricted stock units.

F1 · shares: Shares withheld by issuer to satisfy tax withholding obligations of reporting person resulting from vesting of restricted stock units.

F1 · balance_after: Shares withheld by issuer to satisfy tax withholding obligations of reporting person resulting from vesting of restricted stock units.

SEC source: 0001179110-21-002291 · edgar.xml · derivative · entry 11

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tullis Dickerson Capital Focus III, LP

Disclosed balance after: 440,973

Underlying: Common Stock · 440,973 shares

Expires not disclosed

F5 · derivative.exercise_date: Each Warrant is exercisable for one share of the issuer's common stock for a period of five years following the date that stockholder approval of the issuance of the Warrants was obtained. The stockholders approved such issuance on May 17, 2018.

F5 · derivative.expiration_date: Each Warrant is exercisable for one share of the issuer's common stock for a period of five years following the date that stockholder approval of the issuance of the Warrants was obtained. The stockholders approved such issuance on May 17, 2018.

SEC source: 0001179110-21-002291 · edgar.xml · derivative · entry 10

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tullis Growth Fund, L.P.

Disclosed balance after: 320,326

Underlying: Common Stock · 320,325 shares

Expires not disclosed

F5 · derivative.exercise_date: Each Warrant is exercisable for one share of the issuer's common stock for a period of five years following the date that stockholder approval of the issuance of the Warrants was obtained. The stockholders approved such issuance on May 17, 2018.

F5 · derivative.expiration_date: Each Warrant is exercisable for one share of the issuer's common stock for a period of five years following the date that stockholder approval of the issuance of the Warrants was obtained. The stockholders approved such issuance on May 17, 2018.

SEC source: 0001179110-21-002291 · edgar.xml · derivative · entry 9

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,338

Underlying: Common Stock · 18,337 shares

Expires not disclosed

F5 · derivative.exercise_date: Each Warrant is exercisable for one share of the issuer's common stock for a period of five years following the date that stockholder approval of the issuance of the Warrants was obtained. The stockholders approved such issuance on May 17, 2018.

F5 · derivative.expiration_date: Each Warrant is exercisable for one share of the issuer's common stock for a period of five years following the date that stockholder approval of the issuance of the Warrants was obtained. The stockholders approved such issuance on May 17, 2018.

SEC source: 0001179110-21-002291 · edgar.xml · nonDerivative · entry 8

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tullis-Dickerson Partners III, LLC

Disclosed balance after: 248,225

F4 · kind: On February 23, 2021, Tullis Dickerson Capital Focus III, LP distributed 600,000 shares to its limited partners on a pro rata basis. Tullis Dickerson Partners III, LLC received 131,870 shares in the distribution.

F4 · shares: On February 23, 2021, Tullis Dickerson Capital Focus III, LP distributed 600,000 shares to its limited partners on a pro rata basis. Tullis Dickerson Partners III, LLC received 131,870 shares in the distribution.

SEC source: 0001179110-21-002291 · edgar.xml · nonDerivative · entry 7

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tullis Dickerson Capital Focus III, LP

Disclosed balance after: 891,293

F4 · kind: On February 23, 2021, Tullis Dickerson Capital Focus III, LP distributed 600,000 shares to its limited partners on a pro rata basis. Tullis Dickerson Partners III, LLC received 131,870 shares in the distribution.

F4 · shares: On February 23, 2021, Tullis Dickerson Capital Focus III, LP distributed 600,000 shares to its limited partners on a pro rata basis. Tullis Dickerson Partners III, LLC received 131,870 shares in the distribution.

SEC source: 0001179110-21-002291 · edgar.xml · nonDerivative · entry 6

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tullis Dickerson Capital Focus III, LP

Disclosed balance after: 1,491,293

F3 · kind: On February 23, 2021, Tullis Dickerson Capital Focus III, LP exercised warrants to purchase 440,973 shares of the issuer's common stock for $3.50 per share. Tullis Dickerson Capital Focus III, LP paid the exercise price on a cashless basis, resulting in the issuer withholding 93,483 of the warrant shares to pay the exercise price and issuing to Tullis Dickerson Capital Focus III, LP 347,490 shares.

SEC source: 0001179110-21-002291 · edgar.xml · nonDerivative · entry 5

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tullis Dickerson Capital Focus III, LP

Disclosed balance after: 1,584,776

SEC source: 0001179110-21-002291 · edgar.xml · nonDerivative · entry 4

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tullis Growth Fund, L.P.

Disclosed balance after: 568,247

F2 · kind: On February 23, 2021, Tullis Growth Fund, L.P. exercised warrants to purchase 320,325 shares of the issuer's common stock for $3.50 per share. Tullis Growth Fund, L.P. paid the exercise price on a cashless basis, resulting in the issuer withholding 67,906 of the warrant shares to pay the exercise price and issuing to Tullis Growth Fund, L.P. 252,419 shares.

SEC source: 0001179110-21-002291 · edgar.xml · nonDerivative · entry 3

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tullis Growth Fund, L.P.

Disclosed balance after: 636,153

SEC source: 0001179110-21-002291 · edgar.xml · nonDerivative · entry 2

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,869

F1 · kind: On February 23, 2021, the reporting person exercised warrants to purchase 18,337 shares of the issuer's common stock for $3.50 per share. The reporting person paid the exercise price on a cashless basis, resulting in the issuer withholding 3,887 of the warrant shares to pay the exercise price and issuing to the reporting person 14,450 shares.

SEC source: 0001179110-21-002291 · edgar.xml · nonDerivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,756

SEC source: 0001179110-21-002080 · edgar.xml · nonDerivative · entry 1

Miles Patrick · CIK 0001289409 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,104,849

F1 · security: On February 18, 2021, issuer granted to the reporting person 50,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · shares: On February 18, 2021, issuer granted to the reporting person 50,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · balance_after: On February 18, 2021, issuer granted to the reporting person 50,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

SEC source: 0001179110-21-002083 · edgar.xml · nonDerivative · entry 1

Snider Brian · CIK 0001702383 · EVP, Strat. Mktg. & Prod. Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 666,226

F1 · security: On February 18, 2021, issuer granted to the reporting person 20,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · shares: On February 18, 2021, issuer granted to the reporting person 20,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · balance_after: On February 18, 2021, issuer granted to the reporting person 20,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Includes 3,306 and 2,203 shares acquired under the issuer's employee stock purchase plan on May 15, 2020 and November 13, 2020, respectively.

SEC source: 0001179110-21-002082 · edgar.xml · nonDerivative · entry 1

Howell Kelli Mari · CIK 0001734485 · EVP, Clinical Strategies

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 523,941

F1 · security: On February 18, 2021, issuer granted to the reporting person 20,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · shares: On February 18, 2021, issuer granted to the reporting person 20,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · balance_after: On February 18, 2021, issuer granted to the reporting person 20,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Includes 3,392 shares acquired under the issuer's employee stock purchase plan on May 15, 2020.

SEC source: 0001179110-21-002081 · edgar.xml · nonDerivative · entry 1

Sponsel David · CIK 0001772837 · EVP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 612,756

F1 · security: On February 18, 2021, issuer granted to the reporting person 40,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · shares: On February 18, 2021, issuer granted to the reporting person 40,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · balance_after: On February 18, 2021, issuer granted to the reporting person 40,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Includes 482 and 434 shares acquired under the issuer's employee stock purchase plan on May 15, 2020 and November 13, 2020, respectively.

SEC source: 0001179110-21-002079 · edgar.xml · nonDerivative · entry 1

Hunsaker Craig E · CIK 0001509282 · EVP, People/Culture & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,033,361

F1 · security: On February 18, 2021, issuer granted to the reporting person 50,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · shares: On February 18, 2021, issuer granted to the reporting person 50,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · balance_after: On February 18, 2021, issuer granted to the reporting person 50,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

SEC source: 0001179110-21-002078 · edgar.xml · nonDerivative · entry 1

Lish Scott · CIK 0001831608 · SVP, Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 328,247

F1 · security: On February 18, 2021, issuer granted to the reporting person 35,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · shares: On February 18, 2021, issuer granted to the reporting person 35,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · balance_after: On February 18, 2021, issuer granted to the reporting person 35,000 restricted stock units (RSUs). The RSUs vest in three equal installments on each of the first three anniversaries of the grant date. Each RSU represents a contingent right to receive one share of the issuer's common stock.

SEC source: 0001179110-21-001849 · edgar.xml · nonDerivative · entry 1

Black Jeffrey G. · CIK 0001449439 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 627,770

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2019, as amended November 27, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.10 to $16.50, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001179110-21-000819 · edgar.xml · nonDerivative · entry 3

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,419

F1 · kind: On January 21, 2021, Tullis Growth Fund, L.P. distributed 400,000 shares to its partners on a pro rata basis (392,000 shares to its limited partners, and 8,000 shares to its General Partner, Tullis Growth Partners LLC, which in turn distributed such shares to its members). The reporting person received 4,003 shares as a result of the distribution from Tullis Growth Partners, LLC and 711 shares as a result of the distribution to the limited partners.

F1 · shares: On January 21, 2021, Tullis Growth Fund, L.P. distributed 400,000 shares to its partners on a pro rata basis (392,000 shares to its limited partners, and 8,000 shares to its General Partner, Tullis Growth Partners LLC, which in turn distributed such shares to its members). The reporting person received 4,003 shares as a result of the distribution from Tullis Growth Partners, LLC and 711 shares as a result of the distribution to the limited partners.

SEC source: 0001179110-21-000819 · edgar.xml · nonDerivative · entry 2

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tullis Growth Fund, L.P.

Disclosed balance after: 315,828

F1 · kind: On January 21, 2021, Tullis Growth Fund, L.P. distributed 400,000 shares to its partners on a pro rata basis (392,000 shares to its limited partners, and 8,000 shares to its General Partner, Tullis Growth Partners LLC, which in turn distributed such shares to its members). The reporting person received 4,003 shares as a result of the distribution from Tullis Growth Partners, LLC and 711 shares as a result of the distribution to the limited partners.

F1 · shares: On January 21, 2021, Tullis Growth Fund, L.P. distributed 400,000 shares to its partners on a pro rata basis (392,000 shares to its limited partners, and 8,000 shares to its General Partner, Tullis Growth Partners LLC, which in turn distributed such shares to its members). The reporting person received 4,003 shares as a result of the distribution from Tullis Growth Partners, LLC and 711 shares as a result of the distribution to the limited partners.

SEC source: 0001179110-21-000810 · edgar.xml · nonDerivative · entry 1

Hunsaker Craig E · CIK 0001509282 · EVP, People/Culture & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 983,361

SEC source: 0001179110-20-012195 · edgar.xml · nonDerivative · entry 2

Pelizzon David R · CIK 0001719217 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Squadron Capital LLC

Disclosed balance after: 2,437,092

F1 · ownership.nature: These shares are held by Squadron Capital LLC ("Squadron"). As the President and a member of the Managing Committee of Squadron, the reporting person may be deemed to be the beneficial owner of these shares. The reporting person expressly disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein. The inclusion of these shares in this report shall not be deemed to be an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

SEC source: 0001179110-21-000819 · edgar.xml · nonDerivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,705

SEC source: 0001179110-20-011661 · edgar.xml · nonDerivative · entry 2

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tullis-Dickerson Partners III, LLC

Disclosed balance after: 116,355

F1 · kind: On December 1, 2020, Tullis Dickerson Capital Focus III, LP distributed 483,645 shares to its limited partners on a pro rata basis and 116,355 shares to its General Partner, Tullis-Dickerson Partners III, LLC. The reporting person is the Manager of the General Partner.

F1 · shares: On December 1, 2020, Tullis Dickerson Capital Focus III, LP distributed 483,645 shares to its limited partners on a pro rata basis and 116,355 shares to its General Partner, Tullis-Dickerson Partners III, LLC. The reporting person is the Manager of the General Partner.

F1 · ownership.nature: On December 1, 2020, Tullis Dickerson Capital Focus III, LP distributed 483,645 shares to its limited partners on a pro rata basis and 116,355 shares to its General Partner, Tullis-Dickerson Partners III, LLC. The reporting person is the Manager of the General Partner.

F2 · ownership.nature: The reporting person disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0001179110-20-011661 · edgar.xml · nonDerivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tullis Dickerson Capital Focus III, LP

Disclosed balance after: 1,143,803

F1 · kind: On December 1, 2020, Tullis Dickerson Capital Focus III, LP distributed 483,645 shares to its limited partners on a pro rata basis and 116,355 shares to its General Partner, Tullis-Dickerson Partners III, LLC. The reporting person is the Manager of the General Partner.

F1 · shares: On December 1, 2020, Tullis Dickerson Capital Focus III, LP distributed 483,645 shares to its limited partners on a pro rata basis and 116,355 shares to its General Partner, Tullis-Dickerson Partners III, LLC. The reporting person is the Manager of the General Partner.

F2 · ownership.nature: The reporting person disclaims beneficial ownership of these securities except to the extent of the reporting person's pecuniary interest therein.

SEC source: 0001179110-20-011194 · edgar.xml · nonDerivative · entry 1

Lish Scott · CIK 0001831608 · SVP, Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,247

F1 · kind: Shares withheld by issuer to satisfy tax withholding obligations of reporting person resulting from vesting of restricted stock units.

F1 · shares: Shares withheld by issuer to satisfy tax withholding obligations of reporting person resulting from vesting of restricted stock units.

F2 · balance_after: Includes 1,735 shares acquired under the issuer's employee stock purchase plan on November 13, 2020.

SEC source: 0001179110-21-000830 · edgar.xml · nonDerivative · entry 1

Blackford Quentin S. · CIK 0001612451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 513,930

SEC source: 0001179110-21-000832 · edgar.xml · nonDerivative · entry 1

Pelizzon David R · CIK 0001719217 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Squadron Capital LLC

Disclosed balance after: 3,294,235

F1 · ownership.nature: These shares are held by Squadron Capital LLC ("Squadron"). As the President and a member of the Managing Committee of Squadron, the reporting person may be deemed to be the beneficial owner of these shares. The reporting person expressly disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein. The inclusion of these shares in this report shall not be deemed to be an admission of beneficial ownership for purposes of Section 16 or for any other purpose.

SEC source: 0001179110-20-010442 · edgar.xml · nonDerivative · entry 1

Sponsel David · CIK 0001772837 · EVP, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 571,840

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on September 10, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.25 to $9.67, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001179110-20-010385 · edgar.xml · nonDerivative · entry 2

Hunsaker Craig E · CIK 0001509282 · EVP, People/Culture & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 985,361

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 12, 2019.

SEC source: 0001179110-20-010385 · edgar.xml · nonDerivative · entry 1

Hunsaker Craig E · CIK 0001509282 · EVP, People/Culture & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,016,092

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 12, 2019.

SEC source: 0001179110-20-009015 · edgar.xml · nonDerivative · entry 1

Black Jeffrey G. · CIK 0001449439 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 652,770

SEC source: 0001179110-20-008785 · edgar.xml · nonDerivative · entry 1

Black Jeffrey G. · CIK 0001449439 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 657,770

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 5, 2019 to satisfy certain tax withholding obligations of the reporting person resulting from the vesting of previously granted restricted stock unit awards.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.96 to $5.07, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001179110-20-007570 · edgar.xml · nonDerivative · entry 2

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,734

F2 · security: On June 17, 2020, issuer granted to the reporting person 22,146 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F2 · shares: On June 17, 2020, issuer granted to the reporting person 22,146 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F2 · price: On June 17, 2020, issuer granted to the reporting person 22,146 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F2 · balance_after: On June 17, 2020, issuer granted to the reporting person 22,146 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

SEC source: 0001179110-20-007663 · edgar.xml · nonDerivative · entry 1

Blackford Quentin S. · CIK 0001612451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 530,180

F1 · security: On June 17, 2020, issuer granted to the reporting person 28,013 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · shares: On June 17, 2020, issuer granted to the reporting person 28,013 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · price: On June 17, 2020, issuer granted to the reporting person 28,013 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · balance_after: On June 17, 2020, issuer granted to the reporting person 28,013 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

SEC source: 0001179110-20-007665 · edgar.xml · nonDerivative · entry 1

Mowry David H · CIK 0001414301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,830

F1 · security: On June 17, 2020, issuer granted to the reporting person 24,313 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · shares: On June 17, 2020, issuer granted to the reporting person 24,313 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · price: On June 17, 2020, issuer granted to the reporting person 24,313 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · balance_after: On June 17, 2020, issuer granted to the reporting person 24,313 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

SEC source: 0001179110-20-007669 · edgar.xml · nonDerivative · entry 1

MCGINNIS KAREN K · CIK 0001188264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,439

F1 · security: On June 17, 2020, issuer granted to the reporting person 23,784 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · shares: On June 17, 2020, issuer granted to the reporting person 23,784 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · price: On June 17, 2020, issuer granted to the reporting person 23,784 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · balance_after: On June 17, 2020, issuer granted to the reporting person 23,784 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

SEC source: 0001179110-20-007666 · edgar.xml · nonDerivative · entry 1

WOODS WARD W JR · CIK 0001196931 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,738

F1 · security: On June 17, 2020, issuer granted to the reporting person 24,049 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · shares: On June 17, 2020, issuer granted to the reporting person 24,049 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · price: On June 17, 2020, issuer granted to the reporting person 24,049 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · balance_after: On June 17, 2020, issuer granted to the reporting person 24,049 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

SEC source: 0001179110-20-007667 · edgar.xml · nonDerivative · entry 1

Rydin Jeffrey P · CIK 0001345767 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 414,888

F1 · security: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · shares: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · price: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · balance_after: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

SEC source: 0001179110-20-007664 · edgar.xml · nonDerivative · entry 1

Hochberg Jason · CIK 0001392348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,154

F1 · security: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · shares: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · price: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · balance_after: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

SEC source: 0001179110-20-007662 · edgar.xml · nonDerivative · entry 1

Bakst Evan · CIK 0001733939 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 766,140

F1 · security: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · shares: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · price: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · balance_after: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

SEC source: 0001179110-20-007661 · edgar.xml · nonDerivative · entry 1

Williams Donald Allen · CIK 0001620013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,507

F1 · security: On June 17, 2020, issuer granted to the reporting person 26,956 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · shares: On June 17, 2020, issuer granted to the reporting person 26,956 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · price: On June 17, 2020, issuer granted to the reporting person 26,956 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · balance_after: On June 17, 2020, issuer granted to the reporting person 26,956 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

SEC source: 0001179110-20-007647 · edgar.xml · nonDerivative · entry 1

Pelizzon David R · CIK 0001719217 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,139

F1 · security: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · shares: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · price: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

F1 · balance_after: On June 17, 2020, issuer granted to the reporting person 21,142 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock. The restricted stock units vest on the 12 month anniversary of the grant date.

SEC source: 0001179110-20-007570 · edgar.xml · nonDerivative · entry 1

TULLIS JAMES L L · CIK 0001230641 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Tullis Growth Fund, L.P.

Disclosed balance after: 715,828

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.05 to $5.42, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001179110-20-006120 · edgar.xml · nonDerivative · entry 1

Black Jeffrey G. · CIK 0001449439 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 666,699

F1 · kind: Shares withheld by issuer to satisfy tax withholding obligations of reporting person resulting from vesting of restricted stock units.

F1 · shares: Shares withheld by issuer to satisfy tax withholding obligations of reporting person resulting from vesting of restricted stock units.

SEC source: 0001179110-20-005125 · edgar.xml · nonDerivative · entry 1

Black Jeffrey G. · CIK 0001449439 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 690,473

F1 · date: On April 22, 2020, issuer granted to the reporting person 179,178 restricted stock units (RSUs), subject to receipt of required approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by at least such number as is necessary to vest all of the awards granted on April 22, 2020. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date; provided, however, that the vesting of 50% of these RSUs is subject to the additional condition that the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $7.52 per share during the first three years following the grant date. Should the publicly-traded stock price for the issuer's common stock reach a 30-day average trading price at or above $7.52 per share at any time during such three year period, this pricing condition will be satisfied and will terminate.

F2 · date: Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · shares: On April 22, 2020, issuer granted to the reporting person 179,178 restricted stock units (RSUs), subject to receipt of required approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by at least such number as is necessary to vest all of the awards granted on April 22, 2020. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date; provided, however, that the vesting of 50% of these RSUs is subject to the additional condition that the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $7.52 per share during the first three years following the grant date. Should the publicly-traded stock price for the issuer's common stock reach a 30-day average trading price at or above $7.52 per share at any time during such three year period, this pricing condition will be satisfied and will terminate.

F2 · shares: Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · balance_after: On April 22, 2020, issuer granted to the reporting person 179,178 restricted stock units (RSUs), subject to receipt of required approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by at least such number as is necessary to vest all of the awards granted on April 22, 2020. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date; provided, however, that the vesting of 50% of these RSUs is subject to the additional condition that the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $7.52 per share during the first three years following the grant date. Should the publicly-traded stock price for the issuer's common stock reach a 30-day average trading price at or above $7.52 per share at any time during such three year period, this pricing condition will be satisfied and will terminate.

F2 · balance_after: Each RSU represents a contingent right to receive one share of the issuer's common stock.

SEC source: 0001179110-20-005122 · edgar.xml · nonDerivative · entry 1

Miles Patrick · CIK 0001289409 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,054,849

F1 · date: On April 22, 2020, issuer granted to the reporting person 875,660 restricted stock units (RSUs), subject to receipt of required approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by at least such number as is necessary to vest all of the awards granted on April 22, 2020. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date; provided, however, that the vesting of 50% of these RSUs is subject to the additional condition that the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $7.52 per share during the first three years following the grant date. Should the publicly-traded stock price for the issuer's common stock reach a 30-day average trading price at or above $7.52 per share at any time during such three year period, this pricing condition will be satisfied and will terminate.

F2 · date: Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · shares: On April 22, 2020, issuer granted to the reporting person 875,660 restricted stock units (RSUs), subject to receipt of required approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by at least such number as is necessary to vest all of the awards granted on April 22, 2020. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date; provided, however, that the vesting of 50% of these RSUs is subject to the additional condition that the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $7.52 per share during the first three years following the grant date. Should the publicly-traded stock price for the issuer's common stock reach a 30-day average trading price at or above $7.52 per share at any time during such three year period, this pricing condition will be satisfied and will terminate.

F2 · shares: Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · balance_after: On April 22, 2020, issuer granted to the reporting person 875,660 restricted stock units (RSUs), subject to receipt of required approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by at least such number as is necessary to vest all of the awards granted on April 22, 2020. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date; provided, however, that the vesting of 50% of these RSUs is subject to the additional condition that the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $7.52 per share during the first three years following the grant date. Should the publicly-traded stock price for the issuer's common stock reach a 30-day average trading price at or above $7.52 per share at any time during such three year period, this pricing condition will be satisfied and will terminate.

F2 · balance_after: Each RSU represents a contingent right to receive one share of the issuer's common stock.

SEC source: 0001179110-20-005127 · edgar.xml · nonDerivative · entry 1

Howell Kelli Mari · CIK 0001734485 · EVP, Clinical Strategies

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,549

F1 · date: On April 22, 2020, issuer granted to the reporting person 98,534 restricted stock units (RSUs), subject to receipt of required approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by at least such number as is necessary to vest all of the awards granted on April 22, 2020. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date; provided, however, that the vesting of 50% of these RSUs is subject to the additional condition that the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $7.52 per share during the first three years following the grant date. Should the publicly-traded stock price for the issuer's common stock reach a 30-day average trading price at or above $7.52 per share at any time during such three year period, this pricing condition will be satisfied and will terminate.

F2 · date: Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · shares: On April 22, 2020, issuer granted to the reporting person 98,534 restricted stock units (RSUs), subject to receipt of required approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by at least such number as is necessary to vest all of the awards granted on April 22, 2020. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date; provided, however, that the vesting of 50% of these RSUs is subject to the additional condition that the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $7.52 per share during the first three years following the grant date. Should the publicly-traded stock price for the issuer's common stock reach a 30-day average trading price at or above $7.52 per share at any time during such three year period, this pricing condition will be satisfied and will terminate.

F2 · shares: Each RSU represents a contingent right to receive one share of the issuer's common stock.

F1 · balance_after: On April 22, 2020, issuer granted to the reporting person 98,534 restricted stock units (RSUs), subject to receipt of required approval of an amendment to issuer's 2016 Equity Incentive Plan to increase the number of shares authorized for issuance under the plan by at least such number as is necessary to vest all of the awards granted on April 22, 2020. The RSUs vest in three equal installments on each of the first three anniversaries of the grant date; provided, however, that the vesting of 50% of these RSUs is subject to the additional condition that the publicly-traded stock price for the issuer's common stock reaches a 30-day average trading price equal to or above $7.52 per share during the first three years following the grant date. Should the publicly-traded stock price for the issuer's common stock reach a 30-day average trading price at or above $7.52 per share at any time during such three year period, this pricing condition will be satisfied and will terminate.

F2 · balance_after: Each RSU represents a contingent right to receive one share of the issuer's common stock.