GKOS

SEC source: 0001104659-22-042965 · tm2211737-3_4seq1.xml · nonDerivative · entry 3

Gilliam Joseph E · CIK 0001705850 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,286

F5 · kind: In order to comply with the terms of a domestic relations order ("DRO") in connection with a marital dissolution, the Reporting Person's former spouse now holds the economic interest, and the Reporting Person no longer has any pecuniary interest, in the reported securities, which were reported above as directly owned by the Reporting Person. While the Reporting Person retains possession of the common stock until they are sold in connection with the DRO, the Reporting Person's former spouse will receive the economic benefits from, and the Reporting Person will have no discretion with respect to, such securities. (Continued in footnote 4)

F6 · kind: Accordingly, the Reporting Person will not report beneficial ownership or dispositions of these securities in future Section 16(a) reports, including to the extent such securities are sold pursuant to a Rule 10b5-1 trading plan that has been or may be adopted by the Reporting Person that includes these securities. Likewise, the number of shares of common stock of the Issuer that may be reported as withheld to satisfy tax obligations in Table 1 will not include the shares withheld with respect to the portion of the restricted stock units representing the former spouse's economic interest.

F4 · balance_after: Includes 77,922 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-042940 · tm2211737-5_4seq1.xml · nonDerivative · entry 1

Thurman Alex R. · CIK 0001920061 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,217

F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer.

F2 · balance_after: Includes 24,512 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-042965 · tm2211737-3_4seq1.xml · nonDerivative · entry 2

Gilliam Joseph E · CIK 0001705850 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,537

F3 · shares: Granted by the Issuer in the form of restricted stock units which vest 50% on the third anniversary of the grant date and 50% on the fourth anniversary of the grant date.

F4 · balance_after: Includes 77,922 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-042965 · tm2211737-3_4seq1.xml · nonDerivative · entry 1

Gilliam Joseph E · CIK 0001705850 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,858

F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer.

F2 · balance_after: Includes 53,243 restricted stock units that have not yet vested or been delivered to the Reporting Person. Also includes 296 shares purchased by the Reporting Person pursuant to the Issuer's Employee Stock Purchase Plan.

SEC source: 0001104659-22-042939 · tm2211737-4_4seq1.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 666,967

F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer.

F2 · balance_after: Includes 81,313 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-042941 · tm2211737-6_4seq1.xml · nonDerivative · entry 1

Navratil Tomas · CIK 0001920053 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,529

F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer.

F2 · balance_after: Includes 34,997 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-038987 · tm2210670-1_4seq1.xml · derivative · entry 11

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,993

Underlying: Common Stock · 42,993 shares

Expires 2032-03-24

F9 · derivative.exercise_date: These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years.

SEC source: 0001104659-22-038987 · tm2210670-1_4seq1.xml · derivative · entry 10

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,455

Underlying: Common Stock · 12,381 shares

Expires 2030-03-12

F8 · shares: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 12, 2020, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee determined on March 18, 2021 the level of achievement for the second year of the multi-year performance period. The Reporting Person elected to receive 50% of this performance grant in the form of restricted stock units and 50% in the form of an option to purchase shares of common stock. The number of shares of common stock subject to the stock option reported herein consists of the portion of the shares subject to the stock option that vested with respect to 50% of the second-year performance goal.

SEC source: 0001104659-22-038987 · tm2210670-1_4seq1.xml · nonDerivative · entry 4

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 670,789

F7 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 12, 2020.

F6 · balance_after: Includes 89,021 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-038987 · tm2210670-1_4seq1.xml · nonDerivative · entry 3

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 672,764

F5 · shares: Granted by the Issuer in the form of restricted stock units which vest over a four-year period, with 25% to vest on each anniversary of the grant date.

F6 · balance_after: Includes 89,021 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-038987 · tm2210670-1_4seq1.xml · nonDerivative · entry 2

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 651,470

F3 · shares: Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 18, 2021, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee determined on March 24, 2022 the level of achievement for the first year of the multi-year performance period. The Reporting Person elected to receive this performance grant in the form of restricted stock units. The number of shares reported herein consists of the portion of the award that was deemed earned based upon the achievement with respect to the first-year performance goal. 50% of the number of shares of common stock reported herein will vest and be delivered on April 6, 2022 and the remaining 50% will vest and be delivered on January 6, 2023.

F4 · balance_after: Includes 67,727 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-038987 · tm2210670-1_4seq1.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 636,052

F1 · shares: Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 12, 2020, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 24, 2022 the level of achievement for the second year of the multi-year performance period. The Reporting Person elected to receive 50% of this performance grant in the form of restricted stock units and 50% in the form of an option to purchase shares of common stock. The number of shares of common stock reported herein consists of the portion of the award that vested based upon the achievement with respect to 50% of the second-year performance goal.

F2 · balance_after: Includes 52,309 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-038982 · tm2210670-3_4seq1.xml · derivative · entry 3

Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,107

Underlying: Common Stock · 5,268 shares

Expires 2030-03-12

F5 · shares: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 12, 2020, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 24, 2022 the level of achievement for the second year of the multi-year performance period. The number of shares of common stock subject to the stock option as reported herein consists of the portion of the award that was earned based upon the achievement with respect to the second-year performance goal. The portion of the option reported herein will vest and become exercisable on April 1, 2022.

SEC source: 0001104659-22-038982 · tm2210670-3_4seq1.xml · nonDerivative · entry 2

Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,902

F3 · shares: Granted by the Issuer in the form of restricted stock units which vest over a four-year period, with 25% to vest on each anniversary of the grant date.

F4 · balance_after: Includes 57,117 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-038982 · tm2210670-3_4seq1.xml · nonDerivative · entry 1

Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,657

F1 · shares: Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 18, 2021, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 24, 2022 the level of achievement for the first year of the multi-year performance period. The Reporting Person elected to receive this performance grant in the form of restricted stock units. The number of shares reported herein consists of the portion of the award that was deemed earned based upon the achievement with respect to the first-year performance goal. 50% of the number of shares of common stock reported herein will vest and be delivered on April 6, 2022 and the remaining 50% will vest and be delivered on January 6, 2023.

F2 · balance_after: Includes 20,872 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-038980 · tm2210670-2_4seq1.xml · derivative · entry 2

Calcaterra Chris M. · CIK 0001640771 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,301

Underlying: Common Stock · 4,917 shares

Expires 2030-03-12

F3 · shares: Represents a portion of an option to purchase shares of common stock previously granted by the Issuer on March 12, 2020, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 24, 2022 the level of achievement for the second year of the multi-year performance period. The number of shares of common stock subject to the stock option as reported herein consists of the portion of the award that was earned based upon the achievement with respect to the second-year performance goal. The portion of the option reported herein will vest and become exercisable on April 1, 2022.

SEC source: 0001104659-22-038980 · tm2210670-2_4seq1.xml · nonDerivative · entry 1

Calcaterra Chris M. · CIK 0001640771 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,594

F1 · shares: Represents shares of common stock underlying a portion of an award of restricted stock units previously granted by the Issuer on March 18, 2021, the vesting of which was subject to the Issuer's achievement of certain multi-year performance goals. The Compensation Committee of the Issuer's Board of Directors (the "Compensation Committee") determined on March 24, 2022 the level of achievement for the first year of the multi-year performance period. The Reporting Person elected to receive this performance grant in the form of restricted stock units. The number of shares reported herein consists of the portion of the award that was deemed earned based upon the achievement with respect to the first-year performance goal. 50% of the number of shares of common stock reported herein will vest and be delivered on April 6, 2022 and the remaining 50% will vest and be delivered on January 6, 2023.

F2 · balance_after: Includes 21,787 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-047057 · tm2213003-1_4aseq1.xml · derivative · entry 2

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,078

Underlying: Common Stock · 42,078 shares

Expires 2032-03-24

F3 · shares: This Form 4/A amends a Form 4 filed March 28, 2022 that incorrectly reported the number of options to purchase shares of common stock granted to the Reporting Person on March 24, 2022 as 42,993. The correct number of stock options granted was 42,078, as shown above.

F4 · derivative.exercise_date: These options vest over four years from the grant date, with 25% vesting on the first anniversary of the grant date and the remaining amount vesting in equal monthly installments over the following three years.

SEC source: 0001104659-22-047057 · tm2213003-1_4aseq1.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 666,514

F1 · shares: This Form 4/A amends a Form 4 filed March 28, 2022 that incorrectly reported the number of restricted stock units ("RSUs") granted to the Reporting Person on March 24, 2022 as 21,294. The correct number of RSUs granted was 20,841, as shown above.

F2 · balance_after: After giving effect to this amendment and the transactions reported on the Form 4 filed by the Reporting Person on April 5, 2022, the Reporting Person directly owns 666,514 shares, which includes 80,860 RSUs that have not yet vested and been delivered, as of April 5, 2022.

SEC source: 0001104659-22-073582 · tm2219185-1_4aseq1.xml · nonDerivative · entry 1

Gilliam Joseph E · CIK 0001705850 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,119

F1 · shares: This Form 4 amends a Form 4 filed April 5, 2022 that reflected an incorrect number of restricted stock units ("RSUs") granted to the Reporting Person as 24,679 RSUs, and an incorrect grant date of April 1, 2022, due to an administrative error. The correct number of RSUs granted to the Reporting Person was 27,184, and the correct grant date was March 24, 2022, as shown above.

F2 · balance_after: After giving effect to this Amendment and the transactions reported on the Form 4 filed by the Reporting Person on April 21, 2022, the Reporting Person owns 102,119 shares directly, which includes 78,484 RSUs that have not yet vested and been delivered.

SEC source: 0001415889-23-013184 · form4a-09122023_090910.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · CHAIRMAN & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 669,933

F1 · shares: This Form 4 amends a Form 4 filed March 28, 2022 that contained a clerical error that resulted in the underreporting of the number of shares withheld for tax purposes related to the vesting and delivery of restricted stock units on March 24, 2022. The Reporting Person erroneously reported the withholding of 1,975 shares, and the correct number of shares withheld was 2,831.

F2 · balance_after: As of March 24, 2022, included 89,021 restricted stock units that had not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-035770 · tm229831-3_4seq1.xml · nonDerivative · entry 1

Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,771

F1 · shares: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 14, 2019.

F2 · balance_after: Includes 16,986 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-035771 · tm229831-2_4seq1.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 630,343

F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 14, 2019 and March 12, 2020.

F2 · balance_after: Includes 52,309 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-035761 · tm229831-1_4seq1.xml · nonDerivative · entry 1

Calcaterra Chris M. · CIK 0001640771 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,708

F1 · shares: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on March 14, 2019.

F2 · balance_after: Includes 17,901 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-002372 · tm222365-3_4seq1.xml · nonDerivative · entry 1

Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,417

F1 · shares: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on December 17, 2020.

F2 · balance_after: Includes 18,564 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-002370 · tm222365-1_4seq1.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 634,736

F1 · shares: Consists of shares withheld by the Issuer with respect to tax withholding obligations of the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on December 17, 2020.

F2 · balance_after: Includes 64,676 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-002371 · tm222365-2_4seq1.xml · nonDerivative · entry 1

Calcaterra Chris M. · CIK 0001640771 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,354

F1 · shares: Consists of shares withheld by the Issuer with respect to income taxes payable by the Reporting Person upon vesting and delivery of shares of common stock underlying restricted stock units previously granted by the Issuer on December 17, 2020.

F2 · balance_after: Includes 19,479 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-001662 · tm221974-2_4seq1.xml · nonDerivative · entry 1

Hoffmeister David F · CIK 0001305975 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,465

F1 · security: Represents a grant of restricted stock units received by the reporting person in lieu of annual director retainer fees pursuant to a stock-for-fees election under the Issuer's Director Compensation Policy. The units will vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 3,837 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-001665 · tm221974-5_4seq1.xml · nonDerivative · entry 1

WEISNER AIMEE S · CIK 0001227308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,342

F1 · security: Represents a grant of restricted stock units received by the reporting person in lieu of annual director retainer fees pursuant to a stock-for-fees election under the Issuer's Director Compensation Policy. The units will vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 3,837 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-001666 · tm221974-6_4seq1.xml · nonDerivative · entry 1

WEN LEANA · CIK 0001847598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,365

F1 · security: Represents a grant of restricted stock units received by the reporting person in lieu of annual director retainer fees pursuant to a stock-for-fees election under the Issuer's Director Compensation Policy. The units will vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 6,916 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-001661 · tm221974-1_4seq1.xml · nonDerivative · entry 1

Foley Mark J · CIK 0001529196 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,238

F1 · security: Represents a grant of restricted stock units received by the reporting person in lieu of annual director retainer fees pursuant to a stock-for-fees election under the Issuer's Director Compensation Policy. The units will vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 4,868 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-001664 · tm221974-4_4seq1.xml · nonDerivative · entry 1

Torres Denice · CIK 0001820278 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,365

F1 · security: Represents a grant of restricted stock units received by the reporting person in lieu of annual director retainer fees pursuant to a stock-for-fees election under the

F2 · balance_after: Includes 6,916 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-22-001663 · tm221974-3_4seq1.xml · nonDerivative · entry 1

Stapley Marc · CIK 0001539796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,822

F1 · security: Represents a grant of restricted stock units received by the reporting person in lieu of annual director retainer fees pursuant to a stock-for-fees election under the Issuer's Director Compensation Policy. The units will vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 4,140 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-114673 · tm2127285-1_4seq1.xml · nonDerivative · entry 2

Kliman Gilbert H · CIK 0001293171 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By InterWest Venture Management Company

Disclosed balance after: 12,985

F1 · kind: The Reporting Person transferred these shares to InterWest Venture Management Company ("IVMC"), for no consideration, pursuant to an agreement between the Reporting Person and InterWest Partners X, LP ("IP10") relating to compensation received in connection with his service as a director of the Issuer.

F3 · ownership.nature: Consists of shares owned by IVMC. The Reporting Person is an officer, director and the sole shareholder of IVMC and has sole voting and investment control over the shares held by IVMC.

SEC source: 0001104659-21-114673 · tm2127285-1_4seq1.xml · nonDerivative · entry 1

Kliman Gilbert H · CIK 0001293171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,876

F1 · kind: The Reporting Person transferred these shares to InterWest Venture Management Company ("IVMC"), for no consideration, pursuant to an agreement between the Reporting Person and InterWest Partners X, LP ("IP10") relating to compensation received in connection with his service as a director of the Issuer.

F2 · balance_after: Includes 3,362 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-102397 · tm2124630-2_4seq1.xml · nonDerivative · entry 1

WEISNER AIMEE S · CIK 0001227308 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Through the Saeman-Weisner Family Trust

Disclosed balance after: 7,000

SEC source: 0001104659-21-102396 · tm2124630-1_4seq1.xml · derivative · entry 10

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 520,000

Underlying: Common Stock · 20,000 shares

Expires 2024-07-10

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: This option was granted on July 10, 2014 and has a four-year vesting schedule in which 25% vested on the first year anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.

SEC source: 0001104659-21-102396 · tm2124630-1_4seq1.xml · derivative · entry 9

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,880 shares

Expires 2023-04-25

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: This option was granted on April 25, 2013 and has a four-year vesting schedule in which 25% vested on the first year anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.

SEC source: 0001104659-21-102396 · tm2124630-1_4seq1.xml · derivative · entry 8

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 256,000 shares

Expires 2023-01-29

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: This option was granted on January 29, 2013 and has a four-year vesting schedule in which 25% vested on the first year anniversary of the grant date and the remainder vested in equal monthly installments for 36 months thereafter, such that the stock option vests in full on the four-year anniversary of the grant date.

SEC source: 0001104659-21-102396 · tm2124630-1_4seq1.xml · nonDerivative · entry 2

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 635,062

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 · balance_after: Includes 65,471 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-102396 · tm2124630-1_4seq1.xml · nonDerivative · entry 1

Burns Thomas William · CIK 0001644557 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 615,062

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 · balance_after: Includes 65,471 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-077832 · tm2119039-1_4seq1.xml · nonDerivative · entry 1

Hoffmeister David F · CIK 0001305975 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,010

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 3,362 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-077835 · tm2119039-7_4seq1.xml · nonDerivative · entry 1

Kliman Gilbert H · CIK 0001293171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,776

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 3,362 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-077839 · tm2119039-6_4seq1.xml · nonDerivative · entry 1

LINK WILLIAM J PHD · CIK 0001228684 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,821

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 2,382 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-077836 · tm2119039-8_4seq1.xml · nonDerivative · entry 1

WEISNER AIMEE S · CIK 0001227308 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,887

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 3,362 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-077837 · tm2119039-5_4seq.xml · nonDerivative · entry 1

Foley Mark J · CIK 0001529196 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,752

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 3,566 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-077833 · tm2119039-2_4seq1.xml · nonDerivative · entry 1

Stapley Marc · CIK 0001539796 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,064

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 3,566 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-077831 · tm2119039-3_4seq1.xml · nonDerivative · entry 1

Torres Denice · CIK 0001820278 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,910

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 5,461 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-077830 · tm2119039-4_4seq1.xml · nonDerivative · entry 1

WEN LEANA · CIK 0001847598 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,910

F1 · security: Granted by the Issuer in the form of restricted stock units that vest in full on the one-year anniversary of the grant date and are payable in an equivalent number of shares of the Issuer's common stock.

F2 · balance_after: Includes 5,461 restricted stock units that have not yet vested or been delivered to the Reporting Person.

SEC source: 0001104659-21-063275 · tm2115239-2_4seq1.xml · nonDerivative · entry 5

Gilliam Joseph E · CIK 0001705850 · CFO, SVP Corporate Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,190

F3 · kind: These trades were made pursuant to a Rule 10b5-1 trading plan with pre-determined share amounts and prices.

F2 · balance_after: Includes 18,950 restricted stock units that have not yet vested or been delivered to the Reporting Person.