ATEC

SEC source: 0000899243-18-017196 · doc4.xml · nonDerivative · entry 4

Berkowitz Mortimer III · CIK 0001364333 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,121

F1 · kind: This Form 4 is being filed to report (a) the pro rata distribution of 906,431 shares of the Issuer's common stock by HealthpointCapital Partners, L.P. to its limited partners for no consideration (the "Fund I Distribution"); (b) the pro rata distribution of 1,742,546 shares of the Issuer's common stock by HealthpointCapital Partners II, L.P. to its limited partners for no consideration (the "Fund II Distribution"); (c) the receipt of 2,807 shares of the Issuer's common stock by the Reporting Person in the Fund I Distribution as a limited partner of HealthpointCapital Partners, L.P.; and (d) the receipt of 8,396 shares of the Issuer's common stock by the Reporting Person in the Fund II Distribution as a limited partner of HealthpointCapital Partners II, L.P.

F3 · balance_after: Includes shares owned by the Reporting Person and shares owned by the Reporting Person's spouse.

SEC source: 0000899243-18-017196 · doc4.xml · nonDerivative · entry 3

Berkowitz Mortimer III · CIK 0001364333 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,725

F1 · kind: This Form 4 is being filed to report (a) the pro rata distribution of 906,431 shares of the Issuer's common stock by HealthpointCapital Partners, L.P. to its limited partners for no consideration (the "Fund I Distribution"); (b) the pro rata distribution of 1,742,546 shares of the Issuer's common stock by HealthpointCapital Partners II, L.P. to its limited partners for no consideration (the "Fund II Distribution"); (c) the receipt of 2,807 shares of the Issuer's common stock by the Reporting Person in the Fund I Distribution as a limited partner of HealthpointCapital Partners, L.P.; and (d) the receipt of 8,396 shares of the Issuer's common stock by the Reporting Person in the Fund II Distribution as a limited partner of HealthpointCapital Partners II, L.P.

F3 · balance_after: Includes shares owned by the Reporting Person and shares owned by the Reporting Person's spouse.

SEC source: 0000899243-18-017196 · doc4.xml · nonDerivative · entry 2

Berkowitz Mortimer III · CIK 0001364333 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held By HealthpointCapital Partners II, L.P.

Disclosed balance after: 0

F1 · kind: This Form 4 is being filed to report (a) the pro rata distribution of 906,431 shares of the Issuer's common stock by HealthpointCapital Partners, L.P. to its limited partners for no consideration (the "Fund I Distribution"); (b) the pro rata distribution of 1,742,546 shares of the Issuer's common stock by HealthpointCapital Partners II, L.P. to its limited partners for no consideration (the "Fund II Distribution"); (c) the receipt of 2,807 shares of the Issuer's common stock by the Reporting Person in the Fund I Distribution as a limited partner of HealthpointCapital Partners, L.P.; and (d) the receipt of 8,396 shares of the Issuer's common stock by the Reporting Person in the Fund II Distribution as a limited partner of HealthpointCapital Partners II, L.P.

F2 · ownership.nature: The Reporting Person is a managing member of HGP LLC, which is the general partner of HealthpointCapital Partners, L.P. In addition, the Reporting Person is a managing member of HGP II, LLC, which is the general partner of HealthpointCapital Partners II, L.P. As such, the Reporting Person may be deemed to beneficially own the securities held by HealthpointCapital Partners, L.P. and HealthpointCapital Partners II, L.P. The Reporting Person, however, disclaims beneficial ownership of such shares except as to the extent of his pecuniary interest therein.

SEC source: 0000899243-18-017196 · doc4.xml · nonDerivative · entry 1

Berkowitz Mortimer III · CIK 0001364333 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held By HealthpointCapital Partners, L.P.

Disclosed balance after: 0

F1 · kind: This Form 4 is being filed to report (a) the pro rata distribution of 906,431 shares of the Issuer's common stock by HealthpointCapital Partners, L.P. to its limited partners for no consideration (the "Fund I Distribution"); (b) the pro rata distribution of 1,742,546 shares of the Issuer's common stock by HealthpointCapital Partners II, L.P. to its limited partners for no consideration (the "Fund II Distribution"); (c) the receipt of 2,807 shares of the Issuer's common stock by the Reporting Person in the Fund I Distribution as a limited partner of HealthpointCapital Partners, L.P.; and (d) the receipt of 8,396 shares of the Issuer's common stock by the Reporting Person in the Fund II Distribution as a limited partner of HealthpointCapital Partners II, L.P.

F2 · ownership.nature: The Reporting Person is a managing member of HGP LLC, which is the general partner of HealthpointCapital Partners, L.P. In addition, the Reporting Person is a managing member of HGP II, LLC, which is the general partner of HealthpointCapital Partners II, L.P. As such, the Reporting Person may be deemed to beneficially own the securities held by HealthpointCapital Partners, L.P. and HealthpointCapital Partners II, L.P. The Reporting Person, however, disclaims beneficial ownership of such shares except as to the extent of his pecuniary interest therein.

SEC source: 0001179110-18-007275 · edgar.xml · derivative · entry 3

Black Jeffrey G. · CIK 0001449439 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 0

Underlying: Common Stock · 15,874 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F2 · derivative.underlying_shares: Due to a rounding error, Reporting Person's Form 4 filing dated March 12, 2018 incorrectly stated that the number of shares of common stock underlying the Series B Convertible Preferred Stock purchased by Reporting Person on March 8, 2018 was 15,873. The actual number of underlying shares was 15,874, which is reflected in this Form 4.

SEC source: 0001179110-18-007275 · edgar.xml · nonDerivative · entry 1

Black Jeffrey G. · CIK 0001449439 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 49,874

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 · shares: Due to a rounding error, Reporting Person's Form 4 filing dated March 12, 2018 incorrectly stated that the number of shares of common stock underlying the Series B Convertible Preferred Stock purchased by Reporting Person on March 8, 2018 was 15,873. The actual number of underlying shares was 15,874, which is reflected in this Form 4.

F1 · price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001140361-18-024930 · doc1.xml · derivative · entry 2

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,936,508 shares

Expires not disclosed

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

F1 · derivative.exercise_price: The Series B Convertible Preferred Stock automatically converted into 7,936,508 shares of Common Stock upon approval by the issuer's stockholders on May 17, 2018.

F1 · derivative.exercise_date: The Series B Convertible Preferred Stock automatically converted into 7,936,508 shares of Common Stock upon approval by the issuer's stockholders on May 17, 2018.

F1 · derivative.expiration_date: The Series B Convertible Preferred Stock automatically converted into 7,936,508 shares of Common Stock upon approval by the issuer's stockholders on May 17, 2018.

F2 · ownership.direct: Each of Jason Hochberg and Evan Bakst serve on the board of directors of the issuer as a representative of the reporting persons. As a result, each reporting person herein may be deemed a director by deputization for the purposes of Section 16 of the Exchange Act.

F3 · ownership.direct: Paul Segal directly (through his position as manager of L-5 Healthcare Partners, LLC ("L-5")) may be deemed to control L-5 and to have shared voting and investment power with respect to the shares beneficially owned by L-5. As such, Mr. Segal may be deemed to have shared beneficial ownership of the shares beneficially owned by L-5. Mr. Segal, however, disclaims beneficial ownership of such shares, except to the extent of his indirect pecuniary interest therein.

SEC source: 0001140361-18-024930 · doc1.xml · nonDerivative · entry 1

L-5 Healthcare Partners, LLC · CIK 0001733085 · 10% owner · Director by deputization

Segal Paul · CIK 0001427470 · 10% owner · Director by deputization

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,936,508

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

F1 · price: The Series B Convertible Preferred Stock automatically converted into 7,936,508 shares of Common Stock upon approval by the issuer's stockholders on May 17, 2018.

F2 · ownership.direct: Each of Jason Hochberg and Evan Bakst serve on the board of directors of the issuer as a representative of the reporting persons. As a result, each reporting person herein may be deemed a director by deputization for the purposes of Section 16 of the Exchange Act.

F3 · ownership.direct: Paul Segal directly (through his position as manager of L-5 Healthcare Partners, LLC ("L-5")) may be deemed to control L-5 and to have shared voting and investment power with respect to the shares beneficially owned by L-5. As such, Mr. Segal may be deemed to have shared beneficial ownership of the shares beneficially owned by L-5. Mr. Segal, however, disclaims beneficial ownership of such shares, except to the extent of his indirect pecuniary interest therein.

SEC source: 0001179110-18-007277 · edgar.xml · derivative · entry 3

Miles Patrick · CIK 0001289409 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 317,461 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001179110-18-007277 · edgar.xml · nonDerivative · entry 1

Miles Patrick · CIK 0001289409 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,644,895

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

F1 · price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001179110-18-007278 · edgar.xml · derivative · entry 2

WOODS WARD W JR · CIK 0001196931 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods 1994 Family Partnership, LP

Disclosed balance after: 0

Underlying: Common Stock · 634,921 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001179110-18-007278 · edgar.xml · nonDerivative · entry 1

WOODS WARD W JR · CIK 0001196931 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods 1994 Family Partnership, LP

Disclosed balance after: 1,134,921

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

F1 · price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001179110-18-007279 · edgar.xml · derivative · entry 6

Berkowitz Mortimer III · CIK 0001364333 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Porcupine Investment Partners, LLC

Disclosed balance after: 0

Underlying: Common Stock · 126,985 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001179110-18-007279 · edgar.xml · derivative · entry 5

Berkowitz Mortimer III · CIK 0001364333 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 126,985 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001179110-18-007279 · edgar.xml · nonDerivative · entry 2

Berkowitz Mortimer III · CIK 0001364333 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Porcupine Investment Partners, LLC

Disclosed balance after: 326,985

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

F1 · price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001179110-18-007279 · edgar.xml · nonDerivative · entry 1

Berkowitz Mortimer III · CIK 0001364333 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 327,918

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

F1 · price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F2 · balance_after: Includes shares owned by Reporting Person and shares owned by Reporting Person's spouse.

SEC source: 0001179110-18-007276 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,747 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001179110-18-007276 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,887

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

F1 · price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F2 · balance_after: Includes 4,140 shares acquired under the issuer's employee stock purchase plan on May 15, 2018.

SEC source: 0001179110-18-007274 · edgar.xml · derivative · entry 4

Rich Terry · CIK 0001544482 · Director · President & COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 0

Underlying: Common Stock · 58,096 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001179110-18-007274 · edgar.xml · derivative · entry 3

Rich Terry · CIK 0001544482 · Director · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,635 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001179110-18-007274 · edgar.xml · nonDerivative · entry 2

Rich Terry · CIK 0001544482 · Director · President & COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 58,096

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

F1 · price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001179110-18-007274 · edgar.xml · nonDerivative · entry 1

Rich Terry · CIK 0001544482 · Director · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 568,837

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

F1 · price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F2 · balance_after: Includes 6,363 and 3,881 shares acquired under the issuer's employee stock purchase plan on November 15, 2017 and May 15, 2018, respectively.

SEC source: 0001179110-18-007267 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 158,731 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

SEC source: 0001179110-18-007267 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 597,273

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

F1 · price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F2 · balance_after: Includes 6,928 and 4,226 shares acquired under the issuer's employee stock purchase plan on November 15, 2017 and May 15, 2018, respectively.

SEC source: 0001179110-20-003604 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,887

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

F1 · price: Each share of Series B Convertible Preferred Stock had no expiration date and converted into 317.4603 shares of the issuer's common stock on May 17, 2018, the date that issuer's stockholders approved such conversion.

F2 · balance_after: Includes 4,140 shares acquired under the issuer's employee stock purchase plan on May 15, 2018.

F3 · balance_after: On May 21, 2018, the reporting person mistakenly reported in Box 5 of Table I that following the reported transaction he beneficially owned 113,887 shares of the issuer's common stock. This amendment is being filed to report the correct number of shares beneficially owned by the reporting person following the subject transaction, which was 163,887.

SEC source: 0001179110-18-004318 · edgar.xml · derivative · entry 2

Howell Kelli Mari · CIK 0001734485 · EVP, Clinical Strategies

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-03-11

F3 · derivative.exercise_date: The options vest 25% on the first anniversary of the grant date and thereafter in 36 equal monthly installments.

SEC source: 0001179110-18-004318 · edgar.xml · nonDerivative · entry 1

Howell Kelli Mari · CIK 0001734485 · EVP, Clinical Strategies

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · security: On March 12, 2018, issuer granted to the reporting person 50,000 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock.

F2 · security: The restricted stock units vest in four equal annual installments on the first, second, third and fourth anniversaries of the grant date.

F1 · shares: On March 12, 2018, issuer granted to the reporting person 50,000 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock.

F2 · shares: The restricted stock units vest in four equal annual installments on the first, second, third and fourth anniversaries of the grant date.

F1 · balance_after: On March 12, 2018, issuer granted to the reporting person 50,000 restricted stock units. Each restricted stock unit represents a contingent right to receive one share of issuer's common stock.

F2 · balance_after: The restricted stock units vest in four equal annual installments on the first, second, third and fourth anniversaries of the grant date.

SEC source: 0001179110-18-004085 · edgar.xml · derivative · entry 4

WOODS WARD W JR · CIK 0001196931 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods 1994 Family Partnership, LP

Disclosed balance after: 0

Underlying: Common Stock · 386,997 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock has no expiration date and became convertible into 500 shares of the issuer's common stock following the date that stockholders approved such conversion, which approval was obtained on June 15, 2017.

F3 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and became convertible into 500 shares of the issuer's common stock following the date that stockholders approved such conversion, which approval was obtained on June 15, 2017.

F3 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and became convertible into 500 shares of the issuer's common stock following the date that stockholders approved such conversion, which approval was obtained on June 15, 2017.

SEC source: 0001179110-18-004085 · edgar.xml · nonDerivative · entry 1

WOODS WARD W JR · CIK 0001196931 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods 1994 Family Partnership, LP

Disclosed balance after: 500,000

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: 0001179110-18-004080 · edgar.xml · derivative · entry 2

Black Jeffrey G. · CIK 0001449439 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 13,492

Underlying: Common Stock · 13,492 shares

Expires not disclosed

F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004080 · edgar.xml · derivative · entry 1

Black Jeffrey G. · CIK 0001449439 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 50

Underlying: Common Stock · 15,873 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004081 · edgar.xml · derivative · entry 2

Miles Patrick · CIK 0001289409 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,842

Underlying: Common Stock · 269,842 shares

Expires not disclosed

F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004081 · edgar.xml · derivative · entry 1

Miles Patrick · CIK 0001289409 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 317,461 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004085 · edgar.xml · derivative · entry 3

WOODS WARD W JR · CIK 0001196931 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods 1994 Family Partnership, LP

Disclosed balance after: 539,683

Underlying: Common Stock · 539,683 shares

Expires not disclosed

F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004085 · edgar.xml · derivative · entry 2

WOODS WARD W JR · CIK 0001196931 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Woods 1994 Family Partnership, LP

Disclosed balance after: 2,000

Underlying: Common Stock · 634,921 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004101 · edgar.xml · derivative · entry 4

Berkowitz Mortimer III · CIK 0001364333 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Porcupine Investment Partners, LLC

Disclosed balance after: 107,937

Underlying: Common Stock · 107,937 shares

Expires not disclosed

F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004101 · edgar.xml · derivative · entry 3

Berkowitz Mortimer III · CIK 0001364333 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,937

Underlying: Common Stock · 107,937 shares

Expires not disclosed

F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004101 · edgar.xml · derivative · entry 2

Berkowitz Mortimer III · CIK 0001364333 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Porcupine Investment Partners, LLC

Disclosed balance after: 400

Underlying: Common Stock · 126,985 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004101 · edgar.xml · derivative · entry 1

Berkowitz Mortimer III · CIK 0001364333 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400

Underlying: Common Stock · 126,985 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004086 · edgar.xml · derivative · entry 2

Allen Jonathan · CIK 0001700477 · EVP, Commerical Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,493

Underlying: Common Stock · 13,493 shares

Expires not disclosed

F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004086 · edgar.xml · derivative · entry 1

Allen Jonathan · CIK 0001700477 · EVP, Commerical Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50

Underlying: Common Stock · 15,874 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004084 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,985

Underlying: Common Stock · 26,985 shares

Expires not disclosed

F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004084 · edgar.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

Underlying: Common Stock · 31,747 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004083 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,921

Underlying: Common Stock · 134,921 shares

Expires not disclosed

F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004083 · edgar.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500

Underlying: Common Stock · 158,731 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004082 · edgar.xml · derivative · entry 4

Rich Terry · CIK 0001544482 · Director · President & COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 49,381

Underlying: Common Stock · 49,381 shares

Expires not disclosed

F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004082 · edgar.xml · derivative · entry 3

Rich Terry · CIK 0001544482 · Director · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,540

Underlying: Common Stock · 85,540 shares

Expires not disclosed

F2 · derivative.exercise_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

F2 · derivative.expiration_date: Each Warrant is exercisable for 1 share of the issuer's common stock for a period of five years following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004082 · edgar.xml · derivative · entry 2

Rich Terry · CIK 0001544482 · Director · President & COO

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 183

Underlying: Common Stock · 58,096 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

SEC source: 0001179110-18-004082 · edgar.xml · derivative · entry 1

Rich Terry · CIK 0001544482 · Director · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317

Underlying: Common Stock · 100,635 shares

Expires not disclosed

F1 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.exercise_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

F1 · derivative.expiration_date: Each share of Series B Convertible Preferred Stock has no expiration date and is convertible into 317.4603 shares of the issuer's common stock following the date that stockholder approval is obtained.

SEC source: 0001179110-18-003276 · edgar.xml · derivative · entry 2

Allen Jonathan · CIK 0001700477 · EVP, Commerical Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 125,000 shares

Expires not disclosed

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

F1 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.

F1 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock has no expiration date and is convertible into 500 shares of the Issuer's common stock following the date that shareholders approve such conversion, which approval was obtained on June 15, 2017.