CLRB

SEC source: 0001104659-20-070837 · tm2022064d2_4.xml · nonDerivative · entry 1

CARUSO JAMES V · CIK 0001202770 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,264

SEC source: 0001104659-20-070843 · tm2022064d4_4.xml · nonDerivative · entry 1

HILL STEPHEN A · CIK 0001237404 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

SEC source: 0001104659-20-010614 · tm206696d2_4.xml · nonDerivative · entry 1

Elefant Dov · CIK 0001326487 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · shares: Common stock grant that vests in equal annual increments on February 3, 2021, February 3, 2022, and February 3, 2023.

SEC source: 0001104659-20-010610 · tm206696d3_4.xml · nonDerivative · entry 1

Longcor Jarrod · CIK 0001545565 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

F1 · shares: Common stock grant that vests in equal annual increments on February 3, 2021, February 3, 2022, and February 3, 2023.

SEC source: 0001104659-20-010608 · tm206696d1_4.xml · nonDerivative · entry 1

CARUSO JAMES V · CIK 0001202770 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

F1 · shares: Common stock grant that vests in equal annual increments on February 3, 2021, February 3, 2022, and February 3, 2023.

SEC source: 0001104659-20-029696 · tm2011832d2_4a.xml · derivative · entry 1

Elefant Dov · CIK 0001326487 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2030-02-03

F1 · shares: This Form 4/A is being filed to correct a Form 4 filed on February 4, 2020, in which the stock option grant was reported as a common stock grant. The underlying value of the award remains unchanged.

F2 · derivative.exercise_date: Stock options vest in equal annual increments on February 3, 2021, February 3, 2022, and February 3, 2023.

SEC source: 0001104659-20-029695 · tm2011832d1_4a.xml · derivative · entry 1

Longcor Jarrod · CIK 0001545565 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2030-02-03

F1 · shares: This Form 4/A is being filed to correct a Form 4 filed on February 4, 2020, in which the stock option grant was reported as a common stock grant. The underlying value of the award remains unchanged.

F2 · derivative.exercise_date: Stock options vest in equal annual increments on February 3, 2021, February 3, 2022, and February 3, 2023.

SEC source: 0001104659-20-029693 · tm2011832d3_4a.xml · derivative · entry 1

CARUSO JAMES V · CIK 0001202770 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2030-02-03

F1 · shares: This Form 4/A is being filed to correct a Form 4 filed on February 4, 2020, in which the stock option grant was reported as a common stock grant. The underlying value of the award remains unchanged.

F2 · derivative.exercise_date: Stock options vest in equal annual increments on February 3, 2021, February 3, 2022, and February 3, 2023.

SEC source: 0001104659-20-002254 · tm201560d1_4.xml · derivative · entry 1

Grachev Igor D · CIK 0001798815 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2030-01-06

F1 · derivative.exercise_date: Options vest in equal annual increments over a period of three years from the date of grant.

SEC source: 0001144204-19-044252 · tv529248_4.xml · derivative · entry 1

Elefant Dov · CIK 0001326487 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2029-09-10

F1 · derivative.exercise_date: Options vest in equal annual increments over a period of three years from the date of grant.

SEC source: 0001144204-19-031009 · tv523610_4.xml · derivative · entry 1

DRISCOLL FREDERICK W · CIK 0001129890 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

Underlying: Common Stock · 6,500 shares

Expires 2029-06-13

F1 · derivative.exercise_date: Options vest on the one year anniversary of the date of grant.

SEC source: 0001144204-19-031010 · tv523611_4.xml · derivative · entry 1

NEIS JOHN · CIK 0001167426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

Underlying: Common Stock · 6,500 shares

Expires 2029-06-13

F1 · derivative.exercise_date: Options vest on the one year anniversary of the date of grant.

SEC source: 0001144204-19-031008 · tv523609_4.xml · derivative · entry 1

Loren Stefan · CIK 0001441500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

Underlying: Common Stock · 6,500 shares

Expires 2029-06-13

F1 · derivative.exercise_date: Options vest on the one year anniversary of the date of grant.

SEC source: 0001144204-19-031007 · tv523608_4.xml · derivative · entry 1

HILL STEPHEN A · CIK 0001237404 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

Underlying: Common Stock · 6,500 shares

Expires 2029-06-13

F1 · derivative.exercise_date: Options vest on the one year anniversary of the date of grant.

SEC source: 0001144204-19-031006 · tv523607_4.xml · derivative · entry 1

Swirsky Douglas J · CIK 0001375884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,750

Underlying: Common Stock · 9,750 shares

Expires 2029-06-13

F1 · derivative.exercise_date: Options vest on the one year anniversary of the date of grant.

SEC source: 0001144204-19-011646 · tv515197_4.xml · nonDerivative · entry 1

Longcor Jarrod · CIK 0001545565 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,300

SEC source: 0001144204-19-002085 · tv511256_4.xml · derivative · entry 1

CARUSO JAMES V · CIK 0001202770 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2029-01-17

F1 · derivative.exercise_date: This option grant is a contingent grant subject to the following conditions: (i) approval by Cellectar's stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation's 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the grant shall vest over a period of three years from the grant date, with 1/3 vesting on the first anniversary of the grant date and the remainder vesting in 24 equal monthly installments over a 24 month period beginning on the first anniversary of the grant date.

SEC source: 0001144204-19-002088 · tv511257_4.xml · derivative · entry 1

POSNER BRIAN M · CIK 0001287711 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-01-17

F1 · derivative.exercise_date: This option grant is a contingent grant subject to the following conditions: (i) approval by Cellectar's stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation's 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the grant shall vest over a period of three years from the grant date, with 1/3 vesting on the first anniversary of the grant date and the remainder vesting in 24 equal monthly installments over a 24 month period beginning on the first anniversary of the grant date.

SEC source: 0001144204-19-002090 · tv511259_4.xml · derivative · entry 1

Longcor Jarrod · CIK 0001545565 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-01-17

F1 · derivative.exercise_date: This option grant is a contingent grant subject to the following conditions: (i) approval by Cellectar's stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation's 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the grant shall vest over a period of three years from the grant date, with 1/3 vesting on the first anniversary of the grant date and the remainder vesting in 24 equal monthly installments over a 24 month period beginning on the first anniversary of the grant date.

SEC source: 0001144204-18-062710 · tv508310_4.xml · nonDerivative · entry 1

CARUSO JAMES V · CIK 0001202770 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,354

SEC source: 0001144204-18-062709 · tv508276_4.xml · derivative · entry 4

HILL STEPHEN A · CIK 0001237404 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 530 shares

Expires 2019-08-20

SEC source: 0001144204-18-062709 · tv508276_4.xml · derivative · entry 3

HILL STEPHEN A · CIK 0001237404 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,390 shares

Expires 2021-04-20

SEC source: 0001144204-18-062709 · tv508276_4.xml · nonDerivative · entry 2

HILL STEPHEN A · CIK 0001237404 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001144204-18-062709 · tv508276_4.xml · nonDerivative · entry 1

HILL STEPHEN A · CIK 0001237404 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53

SEC source: 0001144204-18-053879 · tv504844_form4.xml · derivative · entry 1

DRISCOLL FREDERICK W · CIK 0001129890 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2028-10-12

F1 · derivative.exercise_date: This option grant was divided into a definitive grant of 6,150 shares, which vest in equal monthly installments over a seven month period from the grant date, and a contingent grant of 6,850 shares, which are subject to the following conditions: (i) approval by Cellectar's stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation's 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the contingent grant shall vest immediately upon such stockholder approval.

SEC source: 0001144204-18-053882 · tv504847_form4.xml · derivative · entry 1

NEIS JOHN · CIK 0001167426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2028-10-12

F1 · derivative.exercise_date: This option grant was divided into a definitive grant of 6,150 shares, which vest in equal monthly installments over a seven month period from the grant date, and a contingent grant of 6,850 shares, which are subject to the following conditions: (i) approval by Cellectar's stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation's 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the contingent grant shall vest immediately upon such stockholder approval.

SEC source: 0001144204-18-053878 · tv504843_form4.xml · derivative · entry 1

Swirsky Douglas J · CIK 0001375884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,500

Underlying: Common Stock · 19,500 shares

Expires 2028-10-12

F1 · derivative.exercise_date: This option grant was divided into a definitive grant of 6,150 shares, which vest in equal monthly installments over a seven month period from the grant date, and a contingent grant of 13,350 shares, which are subject to the following conditions: (i) approval by Cellectar's stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation's 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the contingent grant shall vest immediately upon such stockholder approval.

SEC source: 0001144204-18-053876 · tv504840_form4.xml · derivative · entry 1

Friend John E. II · CIK 0001704021 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,000

Underlying: Common Stock · 63,000 shares

Expires 2028-10-12

F1 · derivative.exercise_date: This option grant was divided into a definitive grant of 29,820 shares, which vest as to all shares on the first anniversary of the grant date, and a contingent grant of 33,180 shares, which are subject to the following conditions: (i) approval by Cellectar?s stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation?s 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the contingent grant shall vest over a period of three years from the grant date, vesting in 24 equal monthly installments over a 24 month period beginning on the first anniversary of the grant date.

SEC source: 0001144204-18-053881 · tv504846_form4.xml · derivative · entry 1

Loren Stefan · CIK 0001441500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2028-10-12

F1 · derivative.exercise_date: This option grant was divided into a definitive grant of 6,150 shares, which vest in equal monthly installments over a seven month period from the grant date, and a contingent grant of 6,850 shares, which are subject to the following conditions: (i) approval by Cellectar's stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation's 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the contingent grant shall vest immediately upon such stockholder approval.

SEC source: 0001144204-18-053877 · tv504842_form4.xml · derivative · entry 1

POSNER BRIAN M · CIK 0001287711 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,000

Underlying: Common Stock · 54,000 shares

Expires 2028-10-12

F1 · derivative.exercise_date: This option grant was divided into a definitive grant of 25,559 shares, which vest as to all shares on the first anniversary of the grant date, and a contingent grant of 28,441 shares, which are subject to the following conditions: (i) approval by Cellectar's stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation's 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the contingent grant shall vest over a period of three years from the grant date, vesting in 24 equal monthly installments over a 24 month period beginning on the first anniversary of the grant date.

SEC source: 0001144204-18-053880 · tv504845_form4.xml · derivative · entry 1

HILL STEPHEN A · CIK 0001237404 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,000

Underlying: Common Stock · 13,000 shares

Expires 2028-10-12

F1 · derivative.exercise_date: This option grant was divided into a definitive grant of 6,150 shares, which vest in equal monthly installments over a seven month period from the grant date, and a contingent grant of 6,850 shares, which are subject to the following conditions: (i) approval by Cellectar's stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation's 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the contingent grant shall vest immediately upon such stockholder approval.

SEC source: 0001144204-18-053875 · tv504838_form4.xml · derivative · entry 1

Longcor Jarrod · CIK 0001545565 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,000

Underlying: Common Stock · 63,000 shares

Expires 2028-10-12

F1 · derivative.exercise_date: This option grant was divided into a definitive grant of 29,820 shares, which vest as to all shares on the first anniversary of the grant date, and a contingent grant of 33,180 shares, which are subject to the following conditions: (i) approval by Cellectar's stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation's 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the contingent grant shall vest over a period of three years from the grant date, vesting in 24 equal monthly installments over a 24 month period beginning on the first anniversary of the grant date.

SEC source: 0001144204-18-053874 · tv504837_form4.xml · derivative · entry 1

CARUSO JAMES V · CIK 0001202770 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2028-10-12

F1 · derivative.exercise_date: This option grant was divided into a definitive grant of 70,950 shares, which vest as to all shares on the first anniversary of the grant date, and a contingent grant of 79,050 shares, which are subject to the following conditions: (i) approval by Cellectar's stockholders of an increase in shares available under the Amended and Restated 2015 Stock Incentive Plan at the Corporation's 2019 annual meeting of stockholders or other special meeting of stockholders called for such purpose; and (ii) to the extent stockholder approval is received, the contingent grant shall vest over a period of three years from the grant date, vesting in 24 equal monthly installments over a 24 month period beginning on the first anniversary of the grant date.

SEC source: 0001144204-18-045405 · tv501325_form4.xml · nonDerivative · entry 1

Longcor Jarrod · CIK 0001545565 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,200

SEC source: 0001144204-18-019628 · v490606_4.xml · derivative · entry 1

POSNER BRIAN M · CIK 0001287711 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2028-04-06

F1 · derivative.exercise_date: Options vest in equal annual increments over a period of three years from the date of grant.

SEC source: 0001144204-18-014639 · tv488454_4.xml · nonDerivative · entry 1

Longcor Jarrod · CIK 0001545565 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,000

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 29, 2017 to satisfy tax withholding obligations upon vesting of restricted stock.

F2 · price: The price reported in Column 4 of Line 1 with respect to the 13,000 shares sold on March 13, 2018 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.17 to $1.21. The Reporting Person has provided to the Issuer, and undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in Footnote (2) to this Form 4.

SEC source: 0001144204-18-014636 · tv488453_4.xml · nonDerivative · entry 1

CARUSO JAMES V · CIK 0001202770 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,548

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 29, 2017 to satisfy tax withholding obligations upon vesting of restricted stock.

F2 · price: The price reported in Column 4 of Line 1 with respect to the 34,000 shares sold on March 12, 2018 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.17 to $1.26. The Reporting Person has provided to the Issuer, and undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in Footnote (2) to this Form 4.

SEC source: 0001144204-17-059707 · tv479684_4.xml · nonDerivative · entry 1

NEIS JOHN · CIK 0001167426 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 626,103

F1 · kind: Advantage Capital Wisconsin Partners I, Limited Partnership sold 5,214 shares which represented all of its Cellectar holdings in order for the fund to make its final distributions and dissolve before the end of 2017.

F2 · price: The price reported in Column 4 of Line 1 with respect to the 5,214 shares sold on November 14, 2017 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.46 to $1.53. The reporting person has provided to the Issuer, and undertakes to provide to any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in Footnote (2) to this Form 4.

F3 · ownership.nature: These securities are held by Advantage Capital Wisconsin Partners I, Limited Partnership. Venture Investors LLC is the submanager and special limited partner of Advantage Capital Wisconsin Partners I, Limited Partnership. The investment decisions of Venture Investors LLC are made collectively by five managers, including the reporting person. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest herein.

SEC source: 0001144204-17-049455 · v475738_4.xml · derivative · entry 1

Longcor Jarrod · CIK 0001545565 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2027-09-18

F1 · derivative.exercise_date: Option vests in equal quarterly increments over a period of three years from the date of grant.

SEC source: 0001144204-17-030682 · v468271_4.xml · derivative · entry 1

DRISCOLL FREDERICK W · CIK 0001129890 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-05-31

F1 · derivative.exercise_date: Options vest in equal annual increments over a period of three years from the date of grant.

SEC source: 0001144204-17-030681 · v468270_4.xml · derivative · entry 1

NEIS JOHN · CIK 0001167426 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-05-31

F1 · derivative.exercise_date: Options vest in equal annual increments over a period of three years from the date of grant.

SEC source: 0001144204-17-030680 · v468269_4.xml · derivative · entry 1

Loren Stefan · CIK 0001441500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-05-31

F1 · derivative.exercise_date: Options vest in equal annual increments over a period of three years from the date of grant.

SEC source: 0001144204-17-030679 · v468267_4.xml · derivative · entry 1

Swirsky Douglas J · CIK 0001375884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-05-31

F1 · derivative.exercise_date: Options vest in equal annual increments over a period of three years from the date of grant.

SEC source: 0001144204-17-030683 · v468272_4.xml · derivative · entry 1

HILL STEPHEN A · CIK 0001237404 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common Stock · 10,000 shares

Expires 2027-05-31

F1 · derivative.exercise_date: Options vest in equal annual increments over a period of three years from the date of grant.

SEC source: 0001144204-17-021331 · v464726_form4.xml · nonDerivative · entry 1

Kolean Chad J · CIK 0001616753 · VP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

F1 · shares: Common stock grant that vests in equal annual increments on March 2, 2018, March 2, 2019, and March 2, 2020.

SEC source: 0001144204-17-021330 · v464725_form4.xml · nonDerivative · entry 1

Longcor Jarrod · CIK 0001545565 · Sr. VP of Corp Dev & Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

F1 · shares: Common stock grant that vests in equal annual increments on March 2, 2018, March 2, 2019, and March 2, 2020.

SEC source: 0001144204-17-021329 · v464724_form4.xml · nonDerivative · entry 1

CARUSO JAMES V · CIK 0001202770 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,548

F1 · shares: Common stock grant that vests in equal annual increments on March 2, 2018, March 2, 2019, and March 2, 2020.

SEC source: 0001144204-17-020952 · v464509_form4.xml · nonDerivative · entry 1

Friend John E. II · CIK 0001704021 · VP, Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

F1 · shares: Common stock grant that vests in equal annual increments over a period of three years from the date of grant.

SEC source: 0001144204-16-137317 · v454220_4.xml · derivative · entry 2

NEIS JOHN · CIK 0001167426 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 607,946

Underlying: Common Stock · 333,333 shares

Expires 2021-11-29

F1 · ownership.nature: These securities are held by Venture Investors Early Stage fund IV Limited Partnership and Advantage Capital Wisconsin Partners I, Limited Partnership. VIESF IV GP LLC is the general partner of Venture Investors Early Stage Fund IV Limited Partnership and Venture Investors LLC is the submanager and special limited partner of Advantage Capital Wisconsin Partners I, Limited Partnership. The investment decisions of VIESF IV GP LLC and Venture Investors LLC are made collectively by seven managers, including the reporting person. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest herein.

SEC source: 0001144204-16-137317 · v454220_4.xml · nonDerivative · entry 1

NEIS JOHN · CIK 0001167426 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 631,317

F1 · ownership.nature: These securities are held by Venture Investors Early Stage fund IV Limited Partnership and Advantage Capital Wisconsin Partners I, Limited Partnership. VIESF IV GP LLC is the general partner of Venture Investors Early Stage Fund IV Limited Partnership and Venture Investors LLC is the submanager and special limited partner of Advantage Capital Wisconsin Partners I, Limited Partnership. The investment decisions of VIESF IV GP LLC and Venture Investors LLC are made collectively by seven managers, including the reporting person. The reporting person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest herein.