CDNA

SEC source: 0000899243-19-000347 · doc4.xml · nonDerivative · entry 1

SNYDERMAN RALPH · CIK 0001178031 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,841

F1 · shares: Represents an automatic quarterly grant of common stock to the reporting person in lieu of cash for non-employee director compensation pursuant to the issuer's Outside Director Compensation Policy.

SEC source: 0000899243-19-000354 · doc4.xml · nonDerivative · entry 1

Goldberg Michael · CIK 0001366412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,740

F1 · shares: Represents an automatic quarterly grant of common stock to the reporting person in lieu of cash for non-employee director compensation pursuant to the issuer's Outside Director Compensation Policy.

SEC source: 0000899243-19-000353 · doc4.xml · nonDerivative · entry 1

Abernethy Amy · CIK 0001590728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,837

F1 · shares: Represents an automatic quarterly grant of common stock to the reporting person in lieu of cash for non-employee director compensation pursuant to the issuer's Outside Director Compensation Policy.

F2 · balance_after: Includes 2,500 restricted stock units granted on July 1, 2018, the vesting of which was accelerated in full by the Issuer on December 17, 2018.

SEC source: 0000899243-19-000351 · doc4.xml · nonDerivative · entry 1

Bickerstaff George · CIK 0001329646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,473

F1 · shares: Represents an automatic quarterly grant of common stock to the reporting person in lieu of cash for non-employee director compensation pursuant to the issuer's Outside Director Compensation Policy.

SEC source: 0000899243-19-000531 · doc4.xml · derivative · entry 2

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,444

Underlying: Common Stock · 4,556 shares

Expires 2027-09-01

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: 50% of the shares subject to the option vested on September 1, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.

SEC source: 0000899243-19-000531 · doc4.xml · nonDerivative · entry 1

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,932

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: The exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0000899243-19-004605 · doc5.xml · nonDerivative · entry 2

SNYDERMAN RALPH · CIK 0001178031 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,485

SEC source: 0000899243-19-004605 · doc5.xml · nonDerivative · entry 1

SNYDERMAN RALPH · CIK 0001178031 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,485

SEC source: 0000899243-18-031739 · doc4.xml · derivative · entry 6

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,458

Underlying: Common Stock · 834 shares

Expires 2027-06-09

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.

F4 · derivative.exercise_date: 25% of the shares subject to the option vested on June 9, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.

SEC source: 0000899243-18-031739 · doc4.xml · derivative · entry 5

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 1,000 shares

Expires 2027-09-01

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

F3 · derivative.exercise_date: 50% of the shares subject to the option vested on September 1, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.

SEC source: 0000899243-18-031739 · doc4.xml · derivative · entry 4

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,250

Underlying: Common Stock · 1,000 shares

Expires 2027-04-21

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: 25% of the shares subject to the option vested on March 30, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.

SEC source: 0000899243-18-031739 · doc4.xml · nonDerivative · entry 3

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,376

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: The exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0000899243-18-031739 · doc4.xml · nonDerivative · entry 2

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,542

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: The exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0000899243-18-031739 · doc4.xml · nonDerivative · entry 1

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,542

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: The exercises reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0000899243-18-029918 · doc4.xml · nonDerivative · entry 2

Maag Peter · CIK 0001613855 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,541

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.00 to $29.30, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.

SEC source: 0000899243-18-029918 · doc4.xml · nonDerivative · entry 1

Maag Peter · CIK 0001613855 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 408,372

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.35 to $28.825, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.

SEC source: 0000899243-18-029712 · doc4.xml · derivative · entry 2

Seeto Reginald · CIK 0001688485 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-11-26

F2 · derivative.exercise_date: 25% of the shares subject to the option shall vest on November 26, 2019 and 1/48th of the shares subject to the option shall vest monthly thereafter.

SEC source: 0000899243-18-029712 · doc4.xml · nonDerivative · entry 1

Seeto Reginald · CIK 0001688485 · SEE REMARKS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · shares: The reported securities are represented by restricted stock units, 1/4th of which shall vest on November 26, 2019 and 1/4th of which shall vest on each anniversary thereafter.

SEC source: 0000899243-18-029564 · doc4.xml · derivative · entry 8

Maag Peter · CIK 0001613855 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,316

Underlying: Common Stock · 23,158 shares

Expires 2024-11-09

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.

F4 · derivative.exercise_date: The shares subject to this option vest in three equal installments based upon the Issuer's achievement of certain performance goals as follows: (i) one third of the shares subject to the option vest upon the Issuer's determination, which has been reviewed by the Issuer's independent registered public accounting firm, that the Issuer has achieved $10 million of total cumulative sales of Allosure, its proprietary next-generation sequencing-based test to detect donor-derived, cell-free DNA after transplantation, commencing after November 8, 2017, (ii) one third of the shares subject to the option vest upon the Issuer's determination, which has been reviewed by the Issuer's independent registered public accounting firm, that the Issuer has achieved quarterly revenues of at least $18.75 million for two consecutive fiscal quarters commencing after November 8, 2017

F5 · derivative.exercise_date: (Continued from Footnote 4) and (iii) one third of the shares subject to the option vested upon the closing sales price of the Issuer's common stock being at or above $5.00 per share, as quoted by NASDAQ, for 10 consecutive trading days after November 8, 2017.

SEC source: 0000899243-18-029564 · doc4.xml · derivative · entry 7

Maag Peter · CIK 0001613855 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,364

Underlying: Common Stock · 37,636 shares

Expires 2025-03-06

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

F3 · derivative.exercise_date: 1/4th of the shares subject to this option vested on January 21, 2016 and 1/48th of the shares subject to this option vest monthly thereafter.

SEC source: 0000899243-18-029564 · doc4.xml · derivative · entry 6

Maag Peter · CIK 0001613855 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2022-10-17

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: 2/48ths of the shares subject to this option vested and became exercisable on the Date Exercisable set forth in column 6 and each month thereafter until October 1, 2013. 1/36th of the remaining shares vested and became exercisable each month thereafter.

SEC source: 0000899243-18-029564 · doc4.xml · nonDerivative · entry 3

Maag Peter · CIK 0001613855 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,541

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: 0000899243-18-029564 · doc4.xml · nonDerivative · entry 2

Maag Peter · CIK 0001613855 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 477,383

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: 0000899243-18-029564 · doc4.xml · nonDerivative · entry 1

Maag Peter · CIK 0001613855 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 439,747

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: 0000899243-18-029076 · doc4.xml · nonDerivative · entry 1

Maag Peter · CIK 0001613855 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 389,747

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 22, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.47 to $28.25, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.

SEC source: 0001019056-18-001051 · ownership.xml · nonDerivative · entry 2

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managing Member as General Partner of Gagnon Investment Associates

Disclosed balance after: 867,744

SEC source: 0001019056-18-001051 · ownership.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Managing Member as General Partner of Darwin Partnership

Disclosed balance after: 107,940

SEC source: 0000899243-18-026464 · doc4.xml · nonDerivative · entry 1

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,542

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0000899243-18-025912 · doc4.xml · nonDerivative · entry 1

SNYDERMAN RALPH · CIK 0001178031 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,485

F1 · shares: Represents an automatic quarterly grant of common stock to the reporting person in lieu of cash for non-employee director compensation pursuant to the issuer's Outside Director Compensation Policy.

SEC source: 0000899243-18-025911 · doc4.xml · nonDerivative · entry 1

Abernethy Amy · CIK 0001590728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,400

F1 · shares: Represents an automatic quarterly grant of common stock to the reporting person in lieu of cash for non-employee director compensation pursuant to the issuer's Outside Director Compensation Policy.

SEC source: 0000899243-18-025910 · doc4.xml · nonDerivative · entry 1

Goldberg Michael · CIK 0001366412 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,956

F1 · shares: Represents an automatic quarterly grant of common stock to the reporting person in lieu of cash for non-employee director compensation pursuant to the issuer's Outside Director Compensation Policy.

SEC source: 0000899243-18-025909 · doc4.xml · nonDerivative · entry 1

Bickerstaff George · CIK 0001329646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,938

F1 · shares: Represents an automatic quarterly grant of common stock to the reporting person in lieu of cash for non-employee director compensation pursuant to the issuer's Outside Director Compensation Policy.

SEC source: 0000899243-18-024474 · doc4.xml · nonDerivative · entry 1

Bell Michael Brian · CIK 0001702824 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,238

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.7 to $25.99, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.

SEC source: 0000899243-18-023781 · doc4.xml · nonDerivative · entry 1

Maag Peter · CIK 0001613855 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 439,747

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $22.4 to $23.49, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares sold at each separate price.

SEC source: 0000899243-18-023497 · doc4.xml · derivative · entry 2

Cohen Fred E · CIK 0001339358 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2027-07-13

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: 1/12th of the shares subject to the option vested on August 13, 2017 and the remaining shares subject to the option vested monthly thereafter through July 13, 2018.

SEC source: 0000899243-18-023497 · doc4.xml · nonDerivative · entry 1

Cohen Fred E · CIK 0001339358 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,901

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: 0001019056-18-000988 · ownership.xml · nonDerivative · entry 1

Gagnon Neil · CIK 0001070170 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 828,768

SEC source: 0000899243-18-022299 · doc4.xml · nonDerivative · entry 1

Bell Michael Brian · CIK 0001702824 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,593

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.75 to $17.045, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0000899243-19-013218 · doc4a.xml · derivative · entry 3

Bell Michael Brian · CIK 0001702824 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 12,500 shares

Expires 2027-04-21

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: This amendment is being filed to report the exercise of an option to purchase 12,500 shares of common stock by the Reporting Person on August 14, 2018 which was inadvertently omitted from the original Form 4. This exercise resulted in an additional 12,500 shares held by the Reporting Person which were inadvertently omitted from the original Form 4 and also were omitted from five Forms 4 filed by the Reporting Person after the date the original Form 4 was filed.

F2 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F4 · derivative.exercise_date: 1/4th of the shares subject to the option vested on April 21, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.

SEC source: 0000899243-19-013218 · doc4a.xml · nonDerivative · entry 2

Bell Michael Brian · CIK 0001702824 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,093

F2 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.75 to $17.045, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0000899243-19-013218 · doc4a.xml · nonDerivative · entry 1

Bell Michael Brian · CIK 0001702824 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,593

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: This amendment is being filed to report the exercise of an option to purchase 12,500 shares of common stock by the Reporting Person on August 14, 2018 which was inadvertently omitted from the original Form 4. This exercise resulted in an additional 12,500 shares held by the Reporting Person which were inadvertently omitted from the original Form 4 and also were omitted from five Forms 4 filed by the Reporting Person after the date the original Form 4 was filed.

F2 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

SEC source: 0000899243-18-021022 · doc4.xml · derivative · entry 5

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,292

Underlying: Common Stock · 2,708 shares

Expires 2027-06-09

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.

F3 · derivative.exercise_date: 25% of the shares subject to the option vested on June 9, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.

SEC source: 0000899243-18-021022 · doc4.xml · derivative · entry 4

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,250

Underlying: Common Stock · 3,750 shares

Expires 2027-04-21

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: 25% of the shares subject to the option vested on March 30, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.

SEC source: 0000899243-18-021022 · doc4.xml · nonDerivative · entry 3

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,042

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.15, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0000899243-18-021022 · doc4.xml · nonDerivative · entry 2

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,500

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: 0000899243-18-021022 · doc4.xml · nonDerivative · entry 1

King Sasha · CIK 0001721150 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,792

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: 0000899243-18-019286 · doc4.xml · derivative · entry 10

Nelles Mitchell J · CIK 0001421333 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,938

Underlying: Common Stock · 9,000 shares

Expires 2027-02-17

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.

F7 · derivative.exercise_date: 1/4th of the shares subject to the option vested on January 27, 2018 and 1/48th of the shares subject to the option vest monthly thereafter.

SEC source: 0000899243-18-019286 · doc4.xml · derivative · entry 9

Nelles Mitchell J · CIK 0001421333 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,750

Underlying: Common Stock · 19,250 shares

Expires 2026-01-22

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.

F6 · derivative.exercise_date: 1/4th of the shares subject to the option vested on January 22, 2017 and 1/48th of the shares subject to the option vest monthly thereafter.

SEC source: 0000899243-18-019286 · doc4.xml · derivative · entry 8

Nelles Mitchell J · CIK 0001421333 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,649 shares

Expires 2020-04-08

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.

F5 · derivative.exercise_date: 1/4th of the shares subject to the option vested on January 1, 2011 and 1/48th of the shares subject to the option vested monthly thereafter. The shares were fully vested as of January 1, 2014.

SEC source: 0000899243-18-019286 · doc4.xml · nonDerivative · entry 6

Nelles Mitchell J · CIK 0001421333 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,889

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.25 to $12.68, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased or sold at each separate price.