ENTA

SEC source: 0001177648-19-000013 · edgar.xml · nonDerivative · entry 4

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,978

F4 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in August 2018.

F5 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $95.00 to $95.76, inclusive.

SEC source: 0001177648-19-000018 · edgar.xml · derivative · entry 2

MELLETT PAUL J · CIK 0001185034 · Treasurer and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,960 shares

Expires 2019-03-05

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: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000018 · edgar.xml · nonDerivative · entry 1

MELLETT PAUL J · CIK 0001185034 · Treasurer and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,188

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: 0001177648-19-000017 · edgar.xml · nonDerivative · entry 3

Ocain Tim · CIK 0001599020 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,547

F3 · shares: Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU and rTSRU awards.

SEC source: 0001177648-19-000017 · edgar.xml · nonDerivative · entry 2

Ocain Tim · CIK 0001599020 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,127

F2 · shares: Represents shares of Enanta common stock issued under a relative total stockholder return unit ("rTSRU") award granted to the reporting person on January 4, 2017 that was subject to performance-vesting restrictions based on the relative total stockholder return of Enanta's common stock in relation to the total stockholder return of the component companies in the Nasdaq Biotech Index over a two-year period. The performance level was determined by the Compensation Committee of Enanta's Board of Directors and the rTSRU settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000017 · edgar.xml · nonDerivative · entry 1

Ocain Tim · CIK 0001599020 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,127

F1 · shares: Represents shares of Enanta common stock issued under a performance share unit ("PSU") award granted on January 4, 2017 that vested as a result of the achievement of a clinical development milestone in calendar 2018 as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000015 · edgar.xml · nonDerivative · entry 3

Adda Nathalie · CIK 0001646976 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,394

F3 · shares: Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU and rTSRU awards.

SEC source: 0001177648-19-000015 · edgar.xml · nonDerivative · entry 2

Adda Nathalie · CIK 0001646976 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,750

F2 · shares: Represents shares of Enanta common stock issued under a relative total stockholder return unit ("rTSRU") award granted to the reporting person on January 4, 2017 that was subject to performance-vesting restrictions based on the relative total stockholder return of Enanta's common stock in relation to the total stockholder return of the component companies in the Nasdaq Biotech Index over a two-year period. The performance level was determined by the Compensation Committee of Enanta's Board of Directors and the rTSRU settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000015 · edgar.xml · nonDerivative · entry 1

Adda Nathalie · CIK 0001646976 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

F1 · shares: Represents shares of Enanta common stock issued under a performance share unit ("PSU") award granted on January 4, 2017 that vested as a result of the achievement of a clinical development milestone in calendar 2018 as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000013 · edgar.xml · nonDerivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,248

F3 · shares: Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU and rTSRU awards.

SEC source: 0001177648-19-000013 · edgar.xml · nonDerivative · entry 2

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,827

F2 · shares: Represents shares of Enanta common stock issued under a relative total stockholder return unit ("rTSRU") award granted to the reporting person on January 4, 2017 that was subject to performance-vesting restrictions based on the relative total stockholder return of Enanta's common stock in relation to the total stockholder return of the component companies in the Nasdaq Biotech Index over a two-year period. The performance level was determined by the Compensation Committee of Enanta's Board of Directors and the rTSRU settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000013 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,827

F1 · shares: Represents shares of Enanta common stock issued under a performance share unit ("PSU") award granted on January 4, 2017 that vested as a result of the achievement of a clinical development milestone in calendar 2018 as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000011 · edgar.xml · nonDerivative · entry 3

MELLETT PAUL J · CIK 0001185034 · Treasurer and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,228

F3 · shares: Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU and rTSRU awards.

SEC source: 0001177648-19-000011 · edgar.xml · nonDerivative · entry 2

MELLETT PAUL J · CIK 0001185034 · Treasurer and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,118

F2 · shares: Represents shares of Enanta common stock issued under a relative total stockholder return unit ("rTSRU") award granted to the reporting person on January 4, 2017 that was subject to performance-vesting restrictions based on the relative total stockholder return of Enanta's common stock in relation to the total stockholder return of the component companies in the Nasdaq Biotech Index over a two-year period. The performance level was determined by the Compensation Committee of Enanta's Board of Directors and the rTSRU settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000011 · edgar.xml · nonDerivative · entry 1

MELLETT PAUL J · CIK 0001185034 · Treasurer and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,618

F1 · shares: Represents shares of Enanta common stock issued under a performance share unit ("PSU") award granted on January 4, 2017 that vested as a result of the achievement of a clinical development milestone in calendar 2018 as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000009 · edgar.xml · nonDerivative · entry 3

Luly Jay R. · CIK 0001571211 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 631,194

F3 · shares: Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU and rTSRU awards.

SEC source: 0001177648-19-000009 · edgar.xml · nonDerivative · entry 2

Luly Jay R. · CIK 0001571211 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 651,924

F2 · shares: Represents shares of Enanta common stock issued under a relative total stockholder return unit ("rTSRU") award granted to the reporting person on January 4, 2017 that was subject to performance-vesting restrictions based on the relative total stockholder return of Enanta's common stock in relation to the total stockholder return of the component companies in the Nasdaq Biotech Index over a two-year period. The performance level was determined by the Compensation Committee of Enanta's Board of Directors and the rTSRU settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000009 · edgar.xml · nonDerivative · entry 1

Luly Jay R. · CIK 0001571211 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 615,924

F1 · shares: Represents shares of Enanta common stock issued under a performance share unit ("PSU") award granted on January 4, 2017 that vested as a result of the achievement of a clinical development milestone in calendar 2018 as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 11

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,673

F9 · shares: Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU and rTSRU awards.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 10

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 317,666

F8 · shares: Represents shares of Enanta common stock issued under a relative total stockholder return unit ("rTSRU") award granted to the reporting person on January 4, 2017 that was subject to performance-vesting restrictions based on the relative total stockholder return of Enanta's common stock in relation to the total stockholder return of the component companies in the Nasdaq Biotech Index over a two-year period. The performance level was determined by the Compensation Committee of Enanta's Board of Directors and the rTSRU settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 9

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 306,416

F7 · shares: Represents shares of Enanta common stock issued under a performance share unit ("PSU") award granted on January 4, 2017 that vested as a result of the achievement of a clinical development milestone in calendar 2018 as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 12, 2019.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 8

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 301,916

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 23, 2016

F6 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $90.00 to $90.13, inclusive.

SEC source: 0001177648-19-000005 · edgar.xml · derivative · entry 8

Golumbeski George · CIK 0001586660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,500 shares

Expires 2027-02-16

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: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000005 · edgar.xml · derivative · entry 7

Golumbeski George · CIK 0001586660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,728 shares

Expires 2026-02-11

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: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000005 · edgar.xml · nonDerivative · entry 5

Golumbeski George · CIK 0001586660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in June 2018.

F3 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $90.0672 to $90.0716, inclusive.

SEC source: 0001177648-19-000005 · edgar.xml · nonDerivative · entry 4

Golumbeski George · CIK 0001586660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,228

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.

SEC source: 0001177648-19-000005 · edgar.xml · nonDerivative · entry 3

Golumbeski George · CIK 0001586660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,728

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: 0001177648-19-000003 · edgar.xml · derivative · entry 6

CARTER BRUCE L A · CIK 0001225503 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,546

Underlying: Common Stock · 5,000 shares

Expires 2023-11-22

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.

F3 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000003 · edgar.xml · nonDerivative · entry 4

CARTER BRUCE L A · CIK 0001225503 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in August 2018.

SEC source: 0001177648-19-000003 · edgar.xml · nonDerivative · entry 3

CARTER BRUCE L A · CIK 0001225503 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

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

SEC source: 0001177648-19-000007 · edgar.xml · derivative · entry 14

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,149

Underlying: Common Stock · 8,772 shares

Expires 2022-12-26

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.

F10 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000007 · edgar.xml · derivative · entry 13

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,926

Underlying: Common Stock · 6,956 shares

Expires 2023-03-20

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.

F11 · derivative.exercise_date: The option, representing a right to purchase 41,763 shares of common stock, became or will become exercisable in up to nine installments, six of which are installments of 8.33% of the shares and three of which are installments of 16.67% of the shares, based on Enanta's achievement of certain clinical milestones with respect to three or more programs that progress to clinical development. As of the date of this filing, a total of 50% of the shares subject to the option have become exercisable.

SEC source: 0001177648-19-000007 · edgar.xml · derivative · entry 12

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,672

Underlying: Common Stock · 10,249 shares

Expires 2022-06-20

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.

F10 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 7

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,213

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 23, 2016

F5 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $91.16 to $91.35, inclusive.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 6

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,384

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 23, 2016

F4 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $90.00 to $90.785, inclusive.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 5

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311,091

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 23, 2016

F3 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $89.00 to $89.99, inclusive.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 4

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,062

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 23, 2016

F2 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $88.08 to $88.99, inclusive.

SEC source: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 3

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,897

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: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 2

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 327,125

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: 0001177648-19-000007 · edgar.xml · nonDerivative · entry 1

Or Yat Sun · CIK 0001571212 · Sr. VP & CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,169

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: 0001177648-19-000005 · edgar.xml · derivative · entry 6

Golumbeski George · CIK 0001586660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,728

Underlying: Common Stock · 2,272 shares

Expires 2026-02-11

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: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000005 · edgar.xml · nonDerivative · entry 2

Golumbeski George · CIK 0001586660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in June 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 $90.0307 to $90.0323, inclusive.

SEC source: 0001177648-19-000005 · edgar.xml · nonDerivative · entry 1

Golumbeski George · CIK 0001586660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,272

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: 0001177648-19-000003 · edgar.xml · derivative · entry 5

CARTER BRUCE L A · CIK 0001225503 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,546

Underlying: Common Stock · 2,734 shares

Expires 2023-11-22

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.

F3 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000003 · edgar.xml · nonDerivative · entry 2

CARTER BRUCE L A · CIK 0001225503 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in August 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 $90.00 to $90.045, inclusive.

SEC source: 0001177648-19-000003 · edgar.xml · nonDerivative · entry 1

CARTER BRUCE L A · CIK 0001225503 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,734

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: 0001177648-19-000001 · edgar.xml · derivative · entry 2

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,700

Underlying: Common Stock · 2,000 shares

Expires 2024-05-09

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: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000001 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,827

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: 0001177648-18-000053 · edgar.xml · derivative · entry 2

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,700

Underlying: Common Stock · 2,000 shares

Expires 2024-05-09

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: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-18-000053 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,827

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.