BCDA

SEC source: 0001437749-18-017509 · rdgdoc.xml · nonDerivative · entry 2

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,277

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 · kind: Represents the conversion upon vesting of RSUs into common stock. On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the SEC on August 25, 2017.

F7 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-18-017508 · rdgdoc.xml · derivative · entry 4

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 0 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.

F4 · derivative.exercise_price: Each RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on June 15, 2018 was $1.40 per share.

F9 · derivative.exercise_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4.

F9 · derivative.expiration_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4.

SEC source: 0001437749-18-017508 · rdgdoc.xml · nonDerivative · entry 2

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,277

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 · kind: Represents the conversion upon vesting of RSUs into common stock. On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the SEC on August 25, 2017.

F7 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-18-017507 · rdgdoc.xml · derivative · entry 4

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 0 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.

F4 · derivative.exercise_price: Each RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on June 15, 2018 was $1.40 per share.

F9 · derivative.exercise_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4.

F9 · derivative.expiration_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4.

SEC source: 0001437749-18-017507 · rdgdoc.xml · nonDerivative · entry 2

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,277

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 · kind: Represents the conversion upon vesting of RSUs into common stock. On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the SEC on August 25, 2017.

F7 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-18-017506 · rdgdoc.xml · derivative · entry 4

FERNANDEZ FERNANDO L · CIK 0001214346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 0 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.

F4 · derivative.exercise_price: Each RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on June 15, 2018 was $1.40 per share.

F9 · derivative.exercise_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4.

F9 · derivative.expiration_date: On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4.

SEC source: 0001437749-18-017506 · rdgdoc.xml · nonDerivative · entry 2

FERNANDEZ FERNANDO L · CIK 0001214346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,277

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 · kind: Represents the conversion upon vesting of RSUs into common stock. On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the SEC on August 25, 2017.

F7 · balance_after: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-18-011581 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 703,842

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.44 to $1.45, the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant.

SEC source: 0001437749-18-007382 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,842

SEC source: 0001437749-18-005521 · rdgdoc.xml · nonDerivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,611,609

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.88 to $1.91 for the March 23, 2018 purchases and $1.85 to $1.90 for the March 26, 2018 purchases; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant.

F2 · ownership.nature: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-18-005521 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,603,609

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.88 to $1.91 for the March 23, 2018 purchases and $1.85 to $1.90 for the March 26, 2018 purchases; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant.

F2 · ownership.nature: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-18-005274 · rdgdoc.xml · nonDerivative · entry 1

McClung David · CIK 0001686155 · Director · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,250

SEC source: 0001437749-18-005273 · rdgdoc.xml · nonDerivative · entry 2

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 2,593,608

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.90 to $1.94 for the March 21, 2018 purchases and $1.85 to $1.90 for the March 22, 2018 purchases; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant.

F2 · ownership.nature: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-18-005273 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,590,608

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.90 to $1.94 for the March 21, 2018 purchases and $1.85 to $1.90 for the March 22, 2018 purchases; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant.

F2 · ownership.nature: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

SEC source: 0001437749-18-005236 · rdgdoc.xml · nonDerivative · entry 1

McClung David · CIK 0001686155 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750

SEC source: 0001437749-18-005235 · rdgdoc.xml · nonDerivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 699,842

SEC source: 0001437749-18-005234 · rdgdoc.xml · derivative · entry 1

McClung David · CIK 0001686155 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,020

Underlying: Common stock · 159,020 shares

Expires 2028-02-01

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on March 1, 2018 and each monthly anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-18-005232 · rdgdoc.xml · derivative · entry 1

Pesta Phil · CIK 0001686095 · Vice President of Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common stock · 70,000 shares

Expires 2028-02-01

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on March 1, 2018 and each monthly anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-18-005233 · rdgdoc.xml · derivative · entry 1

Altman Peter · CIK 0001647542 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common stock · 400,000 shares

Expires 2028-02-01

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on March 1, 2018 and each monthly anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-18-005231 · rdgdoc.xml · derivative · entry 1

Allen Richard T · CIK 0001686153 · Vice President of Quality

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common stock · 70,000 shares

Expires 2028-02-01

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on March 1, 2018 and each monthly anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-18-005230 · rdgdoc.xml · derivative · entry 1

Duckers Eric · CIK 0001686154 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,880

Underlying: Common stock · 167,880 shares

Expires 2028-02-01

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 1/48th of the shares on March 1, 2018 and each monthly anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-18-017509 · rdgdoc.xml · derivative · entry 6

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,222

Underlying: Common Stock · 10,222 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 RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on January 12, 2018 was $2.95 per share.

F11 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date.

F11 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-18-017509 · rdgdoc.xml · nonDerivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,111

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

F1 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017.

F6 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-18-017508 · rdgdoc.xml · derivative · entry 3

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,222

Underlying: Common Stock · 10,222 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 RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on January 12, 2018 was $2.95 per share.

F8 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date.

F8 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-18-017508 · rdgdoc.xml · nonDerivative · entry 1

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,111

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

F1 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017.

F6 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-18-017507 · rdgdoc.xml · derivative · entry 3

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,222

Underlying: Common Stock · 10,222 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 RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on January 12, 2018 was $2.95 per share.

F8 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date.

F8 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-18-017507 · rdgdoc.xml · nonDerivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,111

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

F1 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017.

F6 · price: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-18-017506 · rdgdoc.xml · derivative · entry 3

FERNANDEZ FERNANDO L · CIK 0001214346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,222

Underlying: Common Stock · 10,222 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 RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on January 12, 2018 was $2.95 per share.

F8 · derivative.exercise_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date.

F8 · derivative.expiration_date: On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-18-017506 · rdgdoc.xml · nonDerivative · entry 1

FERNANDEZ FERNANDO L · CIK 0001214346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,111

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

F1 · kind: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017.

F6 · balance_after: The converted RSU corresponds to a 1:1 common stock issuance.

SEC source: 0001437749-17-016912 · rdgdoc.xml · derivative · entry 4

Allen Richard T · CIK 0001686153 · Vice President of Quality

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 798,462

Underlying: Common Stock · 237,250 shares

Expires 2026-08-19

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

F2 · derivative.exercise_date: One-forty-eighth of the shares subject to the option vest on November 24, 2016 and each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-17-016912 · rdgdoc.xml · derivative · entry 3

Allen Richard T · CIK 0001686153 · Vice President of Quality

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 692,399

Underlying: Common Stock · 585,875 shares

Expires 2026-08-09

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: One-fourth of the shares subject to the option vest on December 1, 2016 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-17-016912 · rdgdoc.xml · nonDerivative · entry 2

Allen Richard T · CIK 0001686153 · Vice President of Quality

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 823,125

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: 0001437749-17-016912 · rdgdoc.xml · nonDerivative · entry 1

Allen Richard T · CIK 0001686153 · Vice President of Quality

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 585,875

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: 0001437749-18-001603 · rdgdoc.xml · derivative · entry 4

Allen Richard T · CIK 0001686153 · Vice President of Quality

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 802,870

Underlying: Common Stock · 232,842 shares

Expires 2026-08-19

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 · security: The Reporting Person incorrectly listed the number of shares exercised under the employee stock option and is filing this Form 4 to correct the amount acquired.

F4 · derivative.exercise_date: One-forty-eighth of the shares subject to the option vest on November 24, 2016 and each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-18-001603 · rdgdoc.xml · derivative · entry 3

Allen Richard T · CIK 0001686153 · Vice President of Quality

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 703,525

Underlying: Common Stock · 574,749 shares

Expires 2026-08-09

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 · security: The Reporting Person incorrectly listed the number of shares exercised under the employee stock option and is filing this Form 4 to correct the amount acquired.

F3 · derivative.exercise_date: One-fourth of the shares subject to the option vest on December 1, 2016 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-18-001603 · rdgdoc.xml · nonDerivative · entry 2

Allen Richard T · CIK 0001686153 · Vice President of Quality

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 807,591

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 · security: The Reporting Person incorrectly listed the number of shares acquired via option exercise and is filing this Form 4 to correct the amount acquired.

SEC source: 0001437749-18-001603 · rdgdoc.xml · nonDerivative · entry 1

Allen Richard T · CIK 0001686153 · Vice President of Quality

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 574,749

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 · security: The Reporting Person incorrectly listed the number of shares acquired via option exercise and is filing this Form 4 to correct the amount acquired.

SEC source: 0001437749-17-015349 · rdgdoc.xml · derivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through such date.

F2 · derivative.expiration_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through such date.

SEC source: 0001437749-17-015350 · rdgdoc.xml · derivative · entry 1

PFENNIGER RICHARD C JR · CIK 0001200796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through such date.

F2 · derivative.expiration_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through such date.

SEC source: 0001437749-17-015351 · rdgdoc.xml · derivative · entry 1

KRASNO RICHARD M · CIK 0001215060 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through each such date.

F2 · derivative.expiration_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-17-015346 · rdgdoc.xml · derivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,583

Underlying: Common Stock · 156,583 shares

Expires 2027-06-15

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one year anniversary of the date of grant.

SEC source: 0001437749-17-015347 · rdgdoc.xml · derivative · entry 1

FERNANDEZ FERNANDO L · CIK 0001214346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,000

Underlying: Common Stock · 110,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through such date

F2 · derivative.expiration_date: The restricted stock units vest and become exercisable as to one hundred percent of the shares on June 15, 2018, subject to the Reporting Person continuing as a service provider through such date

SEC source: 0001437749-17-015345 · rdgdoc.xml · derivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,583

Underlying: Common Stock · 156,583 shares

Expires 2027-06-15

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one year anniversary of the date of grant.

SEC source: 0001437749-17-015344 · rdgdoc.xml · derivative · entry 1

Quertermous Thomas · CIK 0001647524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,583

Underlying: Common Stock · 156,583 shares

Expires 2027-06-15

F1 · derivative.exercise_date: One hundred percent of the shares subject to the option vest and become exercisable on the one year anniversary of the date of grant.

SEC source: 0001437749-17-003689 · rdgdoc.xml · nonDerivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 4,916,171

F1 · ownership.nature: These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are sole members and managers.

SEC source: 0001437749-17-000790 · rdgdoc.xml · derivative · entry 1

TESSLER ALLAN R · CIK 0000905084 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,000

Underlying: Common Stock · 184,000 shares

Expires 2020-01-13

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest and become exercisable as to one-third of the shares on January 13, 2018 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-17-000796 · rdgdoc.xml · derivative · entry 1

FERNANDEZ FERNANDO L · CIK 0001214346 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,000

Underlying: Common Stock · 184,000 shares

Expires 2020-01-13

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units vest and become exercisable as to one-third of the shares on January 13, 2018 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-17-000792 · rdgdoc.xml · derivative · entry 1

Quertermous Thomas · CIK 0001647524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,000

Underlying: Common Stock · 267,000 shares

Expires 2027-01-13

F1 · derivative.exercise_date: The option vests and becomes exercisable as to one-third of the shares on January 13, 2018 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-17-000794 · rdgdoc.xml · derivative · entry 1

MOYES JAY M · CIK 0001191062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,000

Underlying: Common Stock · 267,000 shares

Expires 2027-01-13

F1 · derivative.exercise_date: The option vests and becomes exercisable as to one-third of the shares on January 13, 2018 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.

SEC source: 0001437749-17-000791 · rdgdoc.xml · derivative · entry 1

STERTZER SIMON H · CIK 0001031689 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,000

Underlying: Common Stock · 267,000 shares

Expires 2027-01-13

F1 · derivative.exercise_date: The option vests and becomes exercisable as to one-third of the shares on January 13, 2018 and each one-year anniversary thereafter, subject to the Reporting Person continuing as a service provider through each such date.