COLL

SEC source: 0001192482-18-000254 · edgar.xml · derivative · entry 2

Melincoff Gwen A · CIK 0001614890 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,506

Underlying: Common Stock · 4,506 shares

Expires 2028-05-24

F2 · derivative.exercise_date: The option vests and becomes exercisable on May 24, 2019, subject to the director's continued service with the issuer.

SEC source: 0001192482-18-000254 · edgar.xml · nonDerivative · entry 1

Melincoff Gwen A · CIK 0001614890 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,253

F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on May 24, 2019, subject to the director's continued service with the issuer. The restricted stock units will be settled on such date in shares of the issuer's common stock.

SEC source: 0001192482-18-000253 · edgar.xml · derivative · entry 2

BOHLIN GAREN G · CIK 0001254705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,506

Underlying: Common Stock · 4,506 shares

Expires 2028-05-24

F2 · derivative.exercise_date: The option vests and becomes exercisable on May 24, 2019, subject to the director's continued service with the issuer.

SEC source: 0001192482-18-000253 · edgar.xml · nonDerivative · entry 1

BOHLIN GAREN G · CIK 0001254705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,253

F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on May 24, 2019, subject to the director's continued service with the issuer. The restricted stock units will be settled on such date in shares of the issuer's common stock.

SEC source: 0001192482-18-000251 · edgar.xml · derivative · entry 4

Hirsch David · CIK 0001619884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,506

Underlying: Common Stock · 4,506 shares

Expires 2028-05-24

F6 · derivative.exercise_date: The option vests and becomes exercisable on May 24, 2019, subject to the director's continued service with the issuer.

SEC source: 0001192482-18-000251 · edgar.xml · nonDerivative · entry 1

Hirsch David · CIK 0001619884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,193

F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest on May 24, 2019, subject to the director's continued service with the issuer. The restricted stock units will be settled on such date in shares of the issuer's common stock.

F2 · balance_after: Includes 24,940 shares received in distributions from Longitude Venture Partners, L.P. ("LVP") and Longitude Capital Associates, L.P. ("LCA").

SEC source: 0001192482-18-000202 · edgar.xml · nonDerivative · entry 2

Heffernan Michael Thomas · CIK 0001448914 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 538,693

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2016, as amended.

SEC source: 0001192482-18-000202 · edgar.xml · nonDerivative · entry 1

Heffernan Michael Thomas · CIK 0001448914 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 540,193

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2016, as amended.

SEC source: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 11

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,764

F3 · kind: The sale reported in this row was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 13, 2018.

SEC source: 0001192482-18-000165 · edgar.xml · nonDerivative · entry 2

Heffernan Michael Thomas · CIK 0001448914 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 545,793

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2016, as amended.

SEC source: 0001192482-18-000165 · edgar.xml · nonDerivative · entry 1

Heffernan Michael Thomas · CIK 0001448914 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 545,893

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2016, as amended.

SEC source: 0001192482-18-000154 · edgar.xml · derivative · entry 2

Kuhlmann Shirley R. · CIK 0001734919 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2028-04-04

F2 · derivative.exercise_date: Twenty-five percent (25%) of the option vests and becomes exercisable on March 16, 2019, and the balance vests in equal monthly installments (rounded up to the nearest whole share of common stock) over the following three year period, subject to the reporting person's continued service with the issuer.

SEC source: 0001192482-18-000154 · edgar.xml · nonDerivative · entry 1

Kuhlmann Shirley R. · CIK 0001734919 · EVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · security: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. Twenty-five percent (25%) of the restricted stock units vest on March 16, 2019, and the balance of the restricted stock units vest in equal installments every six months (in each case, rounded up to the nearest whole share of common stock) over the following three year period, subject to the reporting person's continued service with the issuer. The restricted stock units will be settled on each applicable vesting date in shares of the issuer's common stock.

SEC source: 0001192482-18-000151 · edgar.xml · derivative · entry 4

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,917 shares

Expires 2024-03-05

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: 3,917 option shares are exercisable. The option, initially representing a right to purchase a total of 14,492 shares, vested and became exercisable over a four-year period commencing on March 5, 2014. Twenty-five percent (25%) of the option vested and became exercisable on March 5, 2015 and the balance vested in equal monthly installments (rounded up to the nearest whole share of common stock) at the end of each monthly period over the remaining three years of the four-year period, subject to the reporting person's continued service with the issuer.

SEC source: 0001192482-18-000151 · edgar.xml · derivative · entry 3

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,225 shares

Expires 2024-03-05

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: 4,225 option shares are exercisable. The option, initially representing a right to purchase a total of 15,623 shares, vested and became exercisable in equal installments (rounded up to the nearest whole share of common stock) on a monthly basis over a four-year period commencing on March 5, 2014, subject to the reporting person's continued service with the issuer.

SEC source: 0001192482-18-000151 · edgar.xml · nonDerivative · entry 2

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,458

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: 0001192482-18-000151 · edgar.xml · nonDerivative · entry 1

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,541

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: 0001192482-18-000131 · edgar.xml · nonDerivative · entry 2

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By John Freund Family Partnership IV, L.P.

Disclosed balance after: 20,506

F3 · kind: Represents a pro rata in-kind distribution of the shares by Skyline Venture Partners V, L.P. without consideration to the reporting person.

F4 · ownership.nature: The shares are held by the John Freund Family Partnership IV, L.P. ("Freund LP"). The reporting person is the trustee and beneficiary of the The John G. Freund Revocable Trust u/a/d 6/26/01 which serves as the general partner of Freund LP. The reporting person disclaims beneficial ownership of the shares held by Freund LP except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001192482-18-000131 · edgar.xml · nonDerivative · entry 1

Freund John Gordon · CIK 0001296771 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Skyline Venture Partners V, L.P.

Disclosed balance after: 1,549,916

F1 · kind: Represents a pro rata in-kind distribution of the shares by Skyline Venture Partners V, L.P. without consideration to its limited and general partners.

F2 · ownership.nature: The shares are held by Skyline Venture Partners V, L.P. The general partner of Skyline Venture Partners V, L.P. is Skyline Venture Management V, LLC. John G. Freund and Yasunori Kaneko are managers of Skyline Venture Management V, LLC. These individuals share voting and investment power over the shares held by Skyline Venture Management, LLC. Dr. Freund disclaims beneficial ownership of all the shares held by Skyline Venture Partners V, L.P. except to the extent of his proportionate pecuniary interest therein.

SEC source: 0001192482-18-000097 · edgar.xml · nonDerivative · entry 1

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,316

F1 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon vesting of restricted stock units.

SEC source: 0001192482-18-000099 · edgar.xml · nonDerivative · entry 1

Heffernan Michael Thomas · CIK 0001448914 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 590,193

F1 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon vesting of restricted stock units.

SEC source: 0001192482-18-000098 · edgar.xml · nonDerivative · entry 1

Brannelly Paul · CIK 0001394936 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,436

F1 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon vesting of restricted stock units.

SEC source: 0001192482-18-000076 · edgar.xml · nonDerivative · entry 1

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,509

F1 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon vesting of restricted stock units.

SEC source: 0001192482-18-000074 · edgar.xml · nonDerivative · entry 1

Heffernan Michael Thomas · CIK 0001448914 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 594,243

F1 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon vesting of restricted stock units.

SEC source: 0001192482-18-000078 · edgar.xml · nonDerivative · entry 1

Brannelly Paul · CIK 0001394936 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,633

F1 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon vesting of restricted stock units.

SEC source: 0001192482-18-000067 · edgar.xml · nonDerivative · entry 2

Heffernan Michael Thomas · CIK 0001448914 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 595,031

F2 · kind: These shares were acquired under the Collegium Pharmaceutical, Inc. 2015 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001192482-18-000063 · edgar.xml · nonDerivative · entry 3

Brannelly Paul · CIK 0001394936 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,847

F2 · kind: These shares were acquired under the Collegium Pharmaceutical, Inc. 2015 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001192482-18-000061 · edgar.xml · derivative · entry 2

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-01-25

F2 · derivative.exercise_date: The option vests and becomes exercisable over a four-year period commencing on February 10, 2018. Twenty-five percent (25%) of the option vests and becomes exercisable on February 10, 2019, and the balance vests in equal quarterly installments (rounded up to the nearest whole share of common stock) over the remaining three years of the four-year period, subject to the reporting person's continued service with the issuer.

SEC source: 0001192482-18-000061 · edgar.xml · nonDerivative · entry 1

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,723

F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest over a four-year period commencing on February 10, 2018. Twenty-five percent (25%) of the restricted stock units vest on February 10, 2019, and the balance of the restricted stock units vest in equal installments every six months (in each case, rounded up to the nearest whole share of common stock) over the remaining three years of the four-year period, subject to the reporting person's continued service with the issuer. The restricted stock units will be settled on each applicable vest date in shares of the issuer's common stock.

SEC source: 0001192482-18-000067 · edgar.xml · derivative · entry 3

Heffernan Michael Thomas · CIK 0001448914 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2028-01-25

F3 · derivative.exercise_date: The option vests and becomes exercisable over a four-year period commencing on February 10, 2018. Twenty-five percent (25%) of the option vests and becomes exercisable on February 10, 2019, and the balance vests in equal quarterly installments (rounded up to the nearest whole share of common stock) over the remaining three years of the four-year period, subject to the reporting person's continued service with the issuer.

SEC source: 0001192482-18-000067 · edgar.xml · nonDerivative · entry 1

Heffernan Michael Thomas · CIK 0001448914 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 593,987

F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest over a four-year period commencing on February 10, 2018. Twenty-five percent (25%) of the restricted stock units vest on February 10, 2019, and the balance of the restricted stock units vest in equal installments every six months (in each case, rounded up to the nearest whole share of common stock) over the remaining three years of the four-year period, subject to the reporting person's continued service with the issuer. The restricted stock units will be settled on each applicable vest date in shares of the issuer's common stock.

SEC source: 0001192482-18-000065 · edgar.xml · derivative · entry 2

Ciaffoni Joseph · CIK 0001443841 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-01-25

F2 · derivative.exercise_date: The option vests and becomes exercisable over a four-year period commencing on February 10, 2018. Twenty-five percent (25%) of the option vests and becomes exercisable on February 10, 2019, and the balance vests in equal quarterly installments (rounded up to the nearest whole share of common stock) over the remaining three years of the four-year period, subject to the reporting person's continued service with the issuer.

SEC source: 0001192482-18-000065 · edgar.xml · nonDerivative · entry 1

Ciaffoni Joseph · CIK 0001443841 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,268

F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest over a four-year period commencing on February 10, 2018. Twenty-five percent (25%) of the restricted stock units vest on February 10, 2019, and the balance of the restricted stock units vest in equal installments every six months (in each case, rounded up to the nearest whole share of common stock) over the remaining three years of the four-year period, subject to the reporting person's continued service with the issuer. The restricted stock units will be settled on each applicable vest date in shares of the issuer's common stock.

SEC source: 0001192482-18-000063 · edgar.xml · derivative · entry 4

Brannelly Paul · CIK 0001394936 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-01-25

F3 · derivative.exercise_date: The option vests and becomes exercisable over a four-year period commencing on February 10, 2018. Twenty-five percent (25%) of the option vests and becomes exercisable on February 10, 2019, and the balance vests in equal quarterly installments (rounded up to the nearest whole share of common stock) over the remaining three years of the four-year period, subject to the reporting person's continued service with the issuer.

SEC source: 0001192482-18-000063 · edgar.xml · nonDerivative · entry 2

Brannelly Paul · CIK 0001394936 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,803

F1 · shares: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest over a four-year period commencing on February 10, 2018. Twenty-five percent (25%) of the restricted stock units vest on February 10, 2019, and the balance of the restricted stock units vest in equal installments every six months (in each case, rounded up to the nearest whole share of common stock) over the remaining three years of the four-year period, subject to the reporting person's continued service with the issuer. The restricted stock units will be settled on each applicable vest date in shares of the issuer's common stock.

SEC source: 0001192482-18-000054 · edgar.xml · nonDerivative · entry 2

Heffernan Michael Thomas · CIK 0001448914 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 518,987

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2016, as amended.

F2 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $25.00 to $25.16, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001192482-18-000054 · edgar.xml · nonDerivative · entry 1

Heffernan Michael Thomas · CIK 0001448914 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 535,395

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2016, as amended.

SEC source: 0001192482-18-000046 · edgar.xml · nonDerivative · entry 1

Heffernan Michael Thomas · CIK 0001448914 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 538,987

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2016, as amended.

F2 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $22.50 to $22.55, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001192482-21-000050 · edgar.xml · derivative · entry 5

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,042

Underlying: Common Stock · 3,336 shares

Expires 2025-03-19

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.

F4 · derivative.exercise_date: At the time of exercise, 3,336 shares under the option were exercisable. The option, initially representing a right to purchase a total of 60,378 shares, vested and became exercisable over a four-year period commencing on March 19, 2015. The option vested and became exercisable in equal installments (rounded up to the nearest whole share) on a monthly basis over a four-year period commencing on March 19, 2015, subject to the employee's continued service with the issuer.

SEC source: 0001192482-21-000050 · edgar.xml · nonDerivative · entry 2

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,419

F2 · kind: The sales occurring on January 19, 2018 reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-21-000050 · edgar.xml · nonDerivative · entry 1

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,755

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 · date: The transactions reported in this Form 4 occurring on January 19, 2018 are late due to an administrative error.

SEC source: 0001192482-21-000211 · edgar.xml · derivative · entry 17

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,449 shares

Expires 2021-02-08

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.

F6 · derivative.exercise_date: The option was fully vested and exercisable as of January 19, 2018.

SEC source: 0001192482-21-000211 · edgar.xml · derivative · entry 16

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,811 shares

Expires 2020-02-26

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: The option was fully vested and exercisable as of January 19, 2018.

SEC source: 0001192482-21-000211 · edgar.xml · derivative · entry 15

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 64 shares

Expires 2019-04-23

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: The option was fully vested and exercisable as of January 19, 2018.

SEC source: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 10

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,164

F2 · kind: The sales reported in these rows were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 9

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,613

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: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 8

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,164

F2 · kind: The sales reported in these rows were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 7

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,975

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: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 6

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,164

F2 · kind: The sales reported in these rows were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 5

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,228

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.