HBIO

SEC source: 0000921895-21-000616 · form412799ols_03032021.xml · nonDerivative · entry 2

Olson Kenneth Fletcher · CIK 0001793360 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,395

F3 · shares: Represents an award of 31,453 restricted stock units with performance based vesting conditions. These restricted stock units will vest upon the achievement of a relative total shareholder return of the Issuer's common stock during the period from March 1, 2021 to the earlier of (i) December 31, 2023, and (ii) the date of a change of control (the "Measurement Period"), measured relative to the Russell 2000 index and based on the 20-day trading average beginning on the first day of the Measurement Period and ending on the last day of the Measurement Period, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person. The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above.

SEC source: 0000921895-21-000616 · form412799ols_03032021.xml · nonDerivative · entry 1

Olson Kenneth Fletcher · CIK 0001793360 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,942

F1 · shares: Represents an award of 32,805 restricted stock units that will vest in three equal installments on December 31, 2021, 2022 and 2023, subject to the terms set forth in an award agreement between the Issuer and the Reporting Person.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) 27,567 remaining restricted stock units that will vest on December 31, 2021, 2022 and 2023, (c) 36,756 restricted stock units with performance based vesting conditions tied to relative total shareholder return that will vest on June 11, 2021, 2022 and 2023, (d) 10,057 remaining restricted stock units that will vest on November 1, 2021 and 2022, and (e) 12,757 shares of common stock beneficially owned by the Reporting Person (which includes 3,644 shares acquired under the Issuer's Employee Stock Purchase Plan).

SEC source: 0000921895-21-000053 · form412799ste_01062021.xml · nonDerivative · entry 1

Steele Susan M. · CIK 0001780523 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,400

F1 · shares: Represents a deferred stock award of 10,800 restricted stock units which vest quarterly in equal installments on March 31, 2021, June 30, 2021, September 30, 2021 and December 31, 2021 and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for her service on the Issuer's Board of Directors and its Committees during 2021. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash, divided by the average daily closing price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, or (ii) June 18, 2021, and (c) 10,500 shares of common stock held by the Reporting Person.

SEC source: 0000921895-21-000052 · form412799loy_01062021.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,426

F1 · shares: Represents a deferred stock award of 21,300 restricted stock units which vest quarterly in equal installments on March 31, 2021, June 30, 2021, September 30, 2021 and December 31, 2021 and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for his service on the Issuer's Board of Directors and its Committees during 2021. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash, divided by the average daily closing price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, or (ii) June 18, 2021, and (c) 223,026 shares of common stock held by the Reporting Person.

SEC source: 0000921895-21-000051 · form412799loe_01062021.xml · nonDerivative · entry 1

Loewald Thomas W · CIK 0001538555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,300

F1 · shares: Represents a deferred stock award of 15,300 restricted stock units which vest quarterly in equal installments on March 31, 2021, June 30, 2021, September 30, 2021 and December 31, 2021 and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for his service on the Issuer's Board of Directors and its Committees during 2021. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash, divided by the average daily closing price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, or (ii) June 18, 2021, and (c) 123,900 shares of common stock held by the Reporting Person.

SEC source: 0000921895-21-000050 · form412799ken_01062021.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342,739

F1 · shares: Represents a deferred stock award of 13,200 restricted stock units which vest quarterly in equal installments on March 31, 2021, June 30, 2021, September 30, 2021 and December 31, 2021 and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for his service on the Issuer's Board of Directors and its Committees during 2021. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash, divided by the average daily closing price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, or (ii) June 18, 2021, and (c) 301,439 shares of common stock held by the Reporting Person.

SEC source: 0000921895-21-000048 · form412799ead_01062021.xml · nonDerivative · entry 1

Eade Katherine A. · CIK 0001721318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,115

F1 · shares: Represents a deferred stock award of 14,200 restricted stock units which vest quarterly in equal installments on March 31, 2021, June 30, 2021, September 30, 2021 and December 31, 2021 and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for her service on the Issuer's Board of Directors and its Committees during 2021. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash, divided by the average daily closing price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, or (ii) June 18, 2021, and (c) 140,815 shares of common stock held by the Reporting Person.

SEC source: 0000921895-21-000049 · form412799edr_01062021.xml · nonDerivative · entry 1

EDRICK ALAN I · CIK 0001195340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,900

F1 · shares: Represents a deferred stock award of 16,300 restricted stock units which vest quarterly in equal installments on March 31, 2021, June 30, 2021, September 30, 2021 and December 31, 2021 and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for his service on the Issuer's Board of Directors and its Committees during 2021. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash, divided by the average daily closing price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, or (ii) June 18, 2021, and (c) 71,500 shares of common stock held by the Reporting Person.

SEC source: 0000921895-21-000028 · form412799gre_01052021.xml · nonDerivative · entry 2

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,933,406

F3 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a restricted stock unit award previously granted to the Reporting Person which vested in part on January 1, 2021.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, less (b) the disposition of shares reported in footnote (3) above.

SEC source: 0000921895-21-000030 · form412799ols_01052021.xml · nonDerivative · entry 1

Olson Kenneth Fletcher · CIK 0001793360 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,137

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a restricted stock unit award previously granted to the Reporting Person which vested in part on December 31, 2020.

F2 · balance_after: Includes (a) 27,567 remaining restricted stock units that will vest on December 31, 2021, 2022 and 2023; (b) 36,756 restricted stock units with performance based vesting conditions tied to relative total shareholder return that will vest on June 11, 2021, 2022 and 2023; (c) 10,057 remaining restricted stock units that will vest on November 1, 2021 and 2022; and (d) 12,757 shares of common stock beneficially owned by the Reporting Person (which includes 3,644 shares acquired under the Issuer's Employee Stock Purchase Plan).

SEC source: 0000921895-21-000029 · form412799ros_01052021.xml · nonDerivative · entry 1

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,276

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a restricted stock unit award previously granted to the Reporting Person which vested in part on December 31, 2020.

F2 · balance_after: Includes (a) 47,753 remaining restricted stock units that will vest on July 18, 2021 and 2022; (b) 32,319 remaining restricted stock units that will vest on December 31, 2021, 2022 and 2023; (c) 43,092 restricted stock units with performance based vesting conditions tied to relative total shareholder return that will vest on June 11, 2021, 2022 and 2023; and (d) 24,112 shares of common stock beneficially owned by the Reporting Person.

SEC source: 0000921895-21-000028 · form412799gre_01052021.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,963,884

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a restricted stock unit award previously granted to the Reporting Person which vested in part on December 31, 2020.

F2 · balance_after: Includes (a) 163,606 remaining restricted stock units that will vest on December 31, 2021, 2022 and 2023; (b) 243,072 restricted stock units that will fully vest on July 8, 2021; (c) 209,180 restricted stock units that will vest on January 1, 2022 and 2023; (d) 636,502 restricted stock units with performance based vesting conditions tied to relative total shareholder return; and (e) 711,524 shares of common stock beneficially owned by the Reporting Person.

SEC source: 0001209191-20-056573 · doc4.xml · nonDerivative · entry 2

Olson Kenneth Fletcher · CIK 0001793360 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,792

F3 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with a performance restricted stock unit award previously granted to the Reporting Person that vested in part on November 1, 2020.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, less (b) the disposition of shares reported in footnote (3) above.

SEC source: 0001209191-20-056573 · doc4.xml · nonDerivative · entry 1

Olson Kenneth Fletcher · CIK 0001793360 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,598

F1 · shares: On November 1, 2019, the Reporting Person was granted an award of 16,949 restricted stock units with performance based vesting conditions based on the achievement of a relative total shareholder return of the Issuer's common stock from November 1, 2019 to the earlier of (i) November 1, 2020 or (ii) upon a change of control (measured relative to the NASDAQ Biotechnology index). The target number of the restricted stock units that may be earned was reported on the date of grant; the maximum amount is 150% of the number then reported. As a result of the Issuer's performance based on such performance targets, the reporting person earned 89% of the target amount, subject to continuation of employment through the remaining vesting dates. Accordingly, the reported transaction reflects the reduction of 1,863 performance restricted stock units from the target grant amount.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) 36,756 restricted stock units that will vest on December 31, 2020, 2021, 2022 and 2023; and (c) 36,756 restricted stock units with performance based vesting conditions tied to relative total shareholder return.

SEC source: 0001209191-20-046013 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329,539

F1 · price: This transaction involved a gift of securities by the Reporting Person. Disposition price is not applicable as this transaction was a bona fide gift.

F2 · balance_after: Includes (a) an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, and (ii) June 18, 2021, (b) an award of 8,900 remaining unvested restricted stock units vesting in equal quarterly installments on September 30, 2020 and December 31, 2020, and (c) 292,539 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-044793 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,039

F1 · price: This transaction involved a gift of securities by the Reporting Person. Disposition price is not applicable as this transaction was a bona fide gift.

F2 · balance_after: Includes (a) an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, and (ii) June 18, 2021, (b) an award of 8,900 remaining unvested restricted stock units vesting in equal quarterly installments on September 30, 2020 and December 31, 2020, and (c) 300,039 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-043472 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 343,869

F1 · price: This transaction involved a gift of securities by the Reporting Person. Disposition price is not applicable as this transaction was a bona fide gift.

F2 · balance_after: Includes (a) an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, and (ii) June 18, 2021, (b) an award of 8,900 remaining unvested restricted stock units vesting in equal quarterly installments on September 30, 2020 and December 31, 2020, and (c) 306,869 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-043251 · doc4.xml · nonDerivative · entry 2

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,020

F3 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with the performance restricted stock unit award previously granted to the Reporting Person that vested in part on July 18, 2020.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, less (b) the disposition of shares reported in footnote (3) above.

SEC source: 0001209191-20-043251 · doc4.xml · nonDerivative · entry 1

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,814

F1 · shares: On July 18, 2019, the Reporting Person was granted an award of 47,753 restricted stock units with performance based vesting conditions based on the achievement of a relative total shareholder return of the Issuer's common stock from July 18, 2019 to the earlier of (i) July 18, 2020 or (ii) upon a change of control (measured relative to the NASDAQ Biotechnology index). The target number of the restricted stock units that may be earned was reported on the date of grant; the maximum amount is 150% of the number then reported. As a result of the Issuer's performance based on such performance targets, the Reporting Person earned 150% of the target amount, subject to continuation of employment through the remaining vesting dates. Accordingly, the reported transaction reflects the acquisition of 23,877 additional performance restricted stock units earned above the target grant.

F2 · balance_after: Includes (a) 47,753 remaining restricted stock units that will vest on July 18, 2021 and 2022, (b) 43,092 restricted stock units that will vest on December 31, 2020, 2021, 2022 and 2023; (c) 43,092 restricted stock units with performance based vesting conditions tied to relative total shareholder return that will vest on June 11, 2021, 2022 and 2023; and (d) 23,877 shares of common stock beneficially owned by the Reporting Person.

SEC source: 0001209191-20-042808 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,699

F1 · price: This transaction involved a gift of securities by the Reporting Person. Disposition price is not applicable as this transaction was a bona fide gift.

F2 · balance_after: Includes (a) an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, and (ii) June 18, 2021, (b) an award of 8,900 remaining unvested restricted stock units vesting in equal quarterly installments on September 30, 2020 and December 31, 2020, and (c) 313,699 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-042223 · doc4.xml · nonDerivative · entry 2

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,990,115

F3 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with restricted stock unit and performance restricted stock unit awards previously granted to the Reporting Person which vested in part on July 8, 2020.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, less (b) the disposition of shares reported in footnote (3) above.

SEC source: 0001209191-20-042223 · doc4.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,147,605

F1 · shares: On July 8, 2019, the Reporting Person was granted an award of 418,360 restricted stock units with performance based vesting conditions based on the achievement of a relative total shareholder return of the Issuer's common stock from July 8, 2019 to the earlier of (i) July 8, 2020 or (ii) upon a change of control (measured relative to the NASDAQ Biotechnology index). The target number of the restricted stock units that may be earned was reported on the date of grant; the maximum amount is 150% of the number then reported. As a result of the Issuer's performance based on such performance targets, the reporting person earned 150% of the target amount, subject to continuation of employment through the remaining vesting dates. Accordingly, the reported transaction reflects the acquisition of 209,180 additional performance restricted stock units earned above the target grant.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) 218,141 restricted stock units that will vest on December 31, 2020, 2021, 2022 and 2023; (c) 243,072 restricted stock units that will fully vest on July 8, 2021; (d) 313,770 restricted stock units that will vest in three equal installments on January 1, 2021, 2022 and 2023; (e) 636,502 restricted stock units with performance based vesting conditions tied to relative total shareholder return; and (f) 526,940 shares of common stock beneficially owned by the Reporting Person.

SEC source: 0001209191-20-042357 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 357,529

F1 · price: This transaction involved a gift of securities by the reporting person. Purchase price is not applicable as this transaction was a bona fide gift.

F2 · balance_after: Includes (a) an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, and (ii) June 18, 2021, (b) an award of 8,900 remaining unvested restricted stock units vesting in equal quarterly installments on September 30, 2020 and December 31, 2020, and (c) 320,529 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-040689 · doc4.xml · nonDerivative · entry 1

Steele Susan M. · CIK 0001780523 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,600

F1 · shares: Represents an award of 1,300 restricted stock units that vests in two equal installments on each of September 30, 2020 and December 31, 2020. This retainer award was granted in lieu and satisfaction of the annual cash retainer compensation to be earned by the director in connection with her service as a member of the Compensation Committee of the Issuer's Board of Directors, which service commenced on June 11, 2020. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash on a prorated basis, divided by the average daily closing market price of the Issuer's common stock for the month of April, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) an award of 28,100 restricted stock units vesting on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders or (ii) June 18, 2021, (c) an award of 6,133 remaining unvested restricted stock units vesting in equal quarterly installments on September 30, 2020 and December 31, 2020, and (d) 3,067 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-040688 · doc4.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,126

F1 · shares: Represents an award of 1,300 restricted stock units that vests in two equal installments on each of September 30, 2020 and December 31, 2020. This retainer award was granted in lieu and satisfaction of the annual cash retainer compensation to be earned by the director in connection with his service as a member of the Compensation Committee of the Issuer's Board of Directors, which service commenced on June 11, 2020. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash on a prorated basis, divided by the average daily closing market price of the Issuer's common stock for the month of April, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) an award of 28,100 restricted stock units vesting on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders or (ii) June 18, 2021, (c) an award of 13,400 remaining unvested restricted stock units vesting in equal quarterly installments on September 30, 2020 and December 31, 2020, and (d) 208,326 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-040686 · doc4.xml · nonDerivative · entry 1

EDRICK ALAN I · CIK 0001195340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,600

F1 · shares: Represents an award of 4,000 restricted stock units that vests in two equal installments on each of September 30, 2020 and December 31, 2020. This retainer award was granted in lieu and satisfaction of the annual cash retainer compensation to be earned by the director in connection with his service as chairman of the Audit Committee of the Issuer's Board of Directors, which service commenced on June 11, 2020. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash on a prorated basis, divided by the average daily closing market price of the Issuer's common stock for the month of April, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) an award of 28,100 restricted stock units vesting on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders or (ii) June 18, 2021, (c) an award of 7,850 remaining unvested restricted stock units vesting in equal quarterly installments on September 30, 2020 and December 31, 2020, and (d) 59,650 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-037995 · doc4.xml · nonDerivative · entry 2

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 364,359

F3 · shares: Represents an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, and (ii) June 18, 2021.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above.

SEC source: 0001209191-20-037994 · doc4.xml · nonDerivative · entry 1

Eade Katherine A. · CIK 0001721318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,915

F1 · shares: Represents an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, and (ii) June 18, 2021.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) a restricted stock unit award of 14,475 remaining unvested restricted stock units vesting in equal quarterly installments on June 30, 2020, September 30, 2020 and December 31, 2020, and (c) 126,340 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-037993 · doc4.xml · nonDerivative · entry 1

EDRICK ALAN I · CIK 0001195340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,600

F1 · shares: Represents an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, and (ii) June 18, 2021.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) a restricted stock unit award of 11,775 remaining unvested restricted stock units vesting in equal quarterly installments on June 30, 2020, September 30, 2020 and December 31, 2020, and (c) 55,725 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-037990 · doc4.xml · nonDerivative · entry 1

Loewald Thomas W · CIK 0001538555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,000

F1 · shares: Represents an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, and (ii) June 18, 2021.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) a restricted stock unit award of 15,525 remaining unvested restricted stock units vesting in equal quarterly installments on June 30, 2020, September 30, 2020 and December 31, 2020, and (c) 108,375 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-037988 · doc4.xml · nonDerivative · entry 2

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,826

F3 · shares: Represents an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, and (ii) June 18, 2021.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above.

SEC source: 0001209191-20-037989 · doc4.xml · nonDerivative · entry 1

Steele Susan M. · CIK 0001780523 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,300

F1 · shares: Represents an award of 28,100 restricted stock units that fully vest on the earlier to occur of (i) the date of the Issuer's next Annual Meeting of Stockholders after June 11, 2020, immediately prior to the commencement of such meeting, and (ii) June 18, 2021.

F2 · balance_after: Includes (a) the award described in footnote (1) above and (b) an award of 9,200 restricted stock units vesting in equal quarterly installments on June 30, 2020, September 30, 2020 and December 31, 2020.

SEC source: 0001209191-20-037041 · doc4.xml · nonDerivative · entry 1

EDRICK ALAN I · CIK 0001195340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,500

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.60 to $2.65, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) a restricted stock unit award with 11,775 remaining unvested restricted stock units vesting in equal quarterly installments on June 30, 2020, September 30, 2020 and December 31, 2020; and (b) 55,725 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-036763 · doc4.xml · derivative · entry 3

Olson Kenneth Fletcher · CIK 0001793360 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,235

Underlying: Common Stock · 79,235 shares

Expires 2027-06-11

F5 · derivative.exercise_date: The options vest in four equal installments on December 31, 2020, 2021, 2022 and 2023.

SEC source: 0001209191-20-036763 · doc4.xml · nonDerivative · entry 2

Olson Kenneth Fletcher · CIK 0001793360 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,461

F3 · shares: Represents an award of 36,756 restricted stock units with performance based vesting conditions. These restricted stock units will vest in equal installments on June 11, 2021, 2022 and 2023, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from June 11, 2020 to the earlier of (i) June 11, 2021 or (ii) upon a change of control (measured relative to the NASDAQ Biotechnology index and based on the 20-day trading average price before each such date). The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above.

SEC source: 0001209191-20-036763 · doc4.xml · nonDerivative · entry 1

Olson Kenneth Fletcher · CIK 0001793360 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,705

F1 · shares: Represents an award of 36,756 restricted stock units that will vest in four equal installments on December 31, 2020, 2021, 2022 and 2023.

F2 · balance_after: Includes (a) the award described in footnote (1) above, and (b) 16,949 restricted stock units with performance based vesting conditions tied to relative total shareholder return.

SEC source: 0001209191-20-036761 · doc4.xml · derivative · entry 3

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,896

Underlying: Common Stock · 92,896 shares

Expires 2027-06-11

F5 · derivative.exercise_date: The options vest in four equal installments on December 31, 2020, 2021, 2022 and 2023.

SEC source: 0001209191-20-036761 · doc4.xml · nonDerivative · entry 2

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,937

F3 · shares: Represents an award of 43,092 restricted stock units with performance based vesting conditions. These restricted stock units will vest in equal installments on June 11, 2021, 2022 and 2023, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from June 11, 2020 to the earlier of (i) June 11, 2021 or (ii) upon a change of control (measured relative to the NASDAQ Biotechnology index and based on the 20-day trading average price before each such date). The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above.

SEC source: 0001209191-20-036761 · doc4.xml · nonDerivative · entry 1

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,845

F1 · shares: Represents an award of 43,092 restricted stock units that will vest in four equal installments on December 31, 2020, 2021, 2022 and 2023.

F2 · balance_after: Includes (a) the award described in footnote (1) above, and (b) 47,753 restricted stock units with performance based vesting conditions tied to relative total shareholder return.

SEC source: 0001209191-20-036759 · doc4.xml · derivative · entry 3

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 470,254

Underlying: Common Stock · 470,254 shares

Expires 2027-06-11

F5 · derivative.exercise_date: The options vest in four equal installments on December 31, 2020, 2021, 2022 and 2023.

SEC source: 0001209191-20-036759 · doc4.xml · nonDerivative · entry 2

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,938,424

F3 · shares: Represents an award of 218,141 restricted stock units with performance based vesting conditions. These restricted stock units will vest in equal installments on June 11, 2021, 2022 and 2023, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from June 11, 2020 to the earlier of (i) June 11, 2021 or (ii) upon a change of control (measured relative to the NASDAQ Biotechnology index and based on the 20-day trading average price before each such date). The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.

F4 · balance_after: Includes (a) the shares and awards described in footnote (2) above, and (b) the award described in footnote (3) above.

SEC source: 0001209191-20-036759 · doc4.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,720,284

F1 · shares: Represents an award of 218,141 restricted stock units that will vest in four equal installments on December 31, 2020, 2021, 2022 and 2023.

F2 · balance_after: Includes (a) the award described in footnote (1) above, (b) 202,875 restricted stock units that will fully vest on July 8, 2020; (c) 243,072 restricted stock units that will fully vest on July 8, 2021; (d) 313,770 restricted stock units that will vest in three equal installments on January 1, 2021, 2022 and 2023; (e) 418,360 restricted stock units with performance based vesting conditions tied to relative total shareholder return; and (f) 324,066 shares of common stock beneficially owned by the Reporting Person.

SEC source: 0001209191-20-037995 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 336,259

F1 · shares: On January 2, 2020, the Reporting Person received a retainer award of 24,200 restricted stock units of the Issuer, vesting in four equal installments on March 31, 2020, June 30, 2020, September 30, 2020 and December 31, 2020. 6,400 of the restricted stock units were granted in connection with the Reporting Person's serving as chair of the Issuer's Audit Committee. On June 11, 2020, the Reporting Person stepped down from serving as chair of the Audit Committee, remaining as a member. In accordance with the Issuer's non- employee director compensation policy, the Reporting Person forfeited 3,534 restricted stock units as a result of the committee change.

F2 · balance_after: Includes (a) a restricted stock unit award of 13,350 remaining unvested restricted stock units vesting in equal quarterly installments on June 30, 2020, September 30, 2020 and December 31, 2020, and (b) 322,909 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-037988 · doc4.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,726

F1 · shares: On January 2, 2020, the Reporting Person received a retainer award of 30,000 restricted stock units of the Issuer, vesting in four equal installments on March 31, 2020, June 30, 2020, September 30, 2020 and December 31, 2020. 3,200 of the restricted stock units were granted in connection with the Reporting Person's membership on the Issuer's Audit Committee. On June 11, 2020, the Reporting Person was appointed to serve on the Issuer's Compensation Committee and stepped down from serving on the Audit Committee. In accordance with the Issuer's non-employee director compensation policy, the Reporting Person forfeited 1,767 restricted stock units as a result of the committee change.

F2 · balance_after: Includes (a) a restricted stock unit award with 20,100 remaining unvested shares vesting in equal quarterly installments on June 30, 2020, September 30, 2020 and December 31, 2020, and (b) 201,626 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-032305 · doc4.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,502,143

F1 · balance_after: Includes (a) 202,875 restricted stock units that will fully vest on July 8, 2020; (b) 243,072 restricted stock units that will fully vest on July 8, 2021; (c) 313,770 restricted stock units that will vest in three equal installments on January 1, 2021, 2022 and 2023; (d) 418,360 restricted stock units with performance based vesting conditions tied to relative total shareholder return; and (e) 324,066 shares of common stock beneficially owned by the Reporting Person.

SEC source: 0001209191-20-027953 · doc4.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,512,445

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.525 to $2.53, inclusive. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the Issuer or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes (a) deferred stock award of 35,100 restricted stock units which fully vest on May 23, 2020; (b) 202,875 restricted stock units that will fully vest on July 8, 2020; (c) 243,072 restricted stock units that will fully vest on July 8, 2021; (d) 313,770 restricted stock units that will vest in three equal installments on January 1, 2021, 2022 and 2023; (e) 418,360 restricted stock units with performance based vesting conditions tied to relative total shareholder return; and (f) 299,268 shares of common stock beneficially owned by the Reporting Person.

SEC source: 0001209191-20-026628 · doc4.xml · nonDerivative · entry 1

Steele Susan M. · CIK 0001780523 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,200

F1 · shares: Represents an award of 9,200 restricted stock units that vests in three equal installments on each of June 30, 2020, September 30, 2020 and December 31, 2020. This retainer award was granted in lieu and satisfaction of the annual cash retainer compensation to be earned by the director for her service on the Issuer's Board of Directors during 2020. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash, divided by the average daily closing market price of the Issuer's common stock for the month of February, rounded to the nearest 100 shares.

SEC source: 0001209191-20-024477 · doc4.xml · derivative · entry 1

Steele Susan M. · CIK 0001780523 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,900

Underlying: Common Stock, par value $0.01 per share · 115,900 shares

Expires 2030-04-13

F1 · derivative.exercise_date: The options vest in three equal installments on April 13, 2021, April 13, 2022 and April 13, 2023.

SEC source: 0001209191-20-001072 · doc4.xml · nonDerivative · entry 1

EDRICK ALAN I · CIK 0001195340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,500

F1 · shares: Represents a deferred stock award of 15,700 restricted stock units which vest quarterly in equal installments on March 31, 2020, June 30, 2020, September 30, 2020 and December 31, 2020, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for his service on the Issuer's Board of Directors and its Committees during 2020. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash, divided by the average daily closing price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 15,700 restricted stock units which vest quarterly in equal installments on March 31, 2020, June 30, 2020, September 30, 2020 and December 31, 2020 as described in footnote 1 above; and (b) 31,800 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-001060 · doc4.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,493

F1 · shares: Represents a deferred stock award of 30,000 restricted stock units which vest quarterly in equal installments on March 31, 2020, June 30, 2020, September 30, 2020 and December 31, 2020, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are granted in satisfaction of the annual retainer compensation to be earned by the director for his service on the Issuer's Board of Directors and its Committees during 2020. The number of shares of common stock subject to such retainer award is equal to the amount of cash that would have been received had the applicable retainer all been paid in cash, divided by the average daily closing price of the Issuer's common stock for the month of November, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 30,000 restricted stock units which vest quarterly in equal installments on March 31, 2020, June 30, 2020, September 30, 2020 and December 31, 2020 as described in footnote 1 above, (b) a deferred stock award of 35,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 16, 2019, immediately prior to the commencement of such meeting, and (ii) May 23, 2020; and (c) 158,393 shares of common stock held by the Reporting Person.