HBIO

SEC source: 0001209191-20-000977 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,793

F1 · shares: Represents a deferred stock award of 24,200 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 24,200 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) 280,493 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-001043 · doc4.xml · nonDerivative · entry 1

Loewald Thomas W · CIK 0001538555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,900

F1 · shares: Represents a deferred stock award of 20,700 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 20,700 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, (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) 68,100 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-000853 · doc4.xml · nonDerivative · entry 1

Eade Katherine A. · CIK 0001721318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,815

F1 · shares: Represents a deferred stock award of 19,300 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 her 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 19,300 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) 86,415 shares of common stock held by the Reporting Person.

SEC source: 0001209191-20-001080 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,631

F1 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with deferred stock awards previously granted to the Reporting Person which vested in part on January 1, 2020.

F2 · balance_after: Reflects the transfer of 71,631 shares from the James W. Green Revocable Trust to James W. Green, individually. This reflects only a change in the form of beneficial ownership of the Reporting Person without affecting the Reporting Person's pecuniary interest in such shares and is, therefore, being voluntarily reported herein.

SEC source: 0001209191-19-056373 · doc4.xml · nonDerivative · entry 4

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,493

F7 · price: This transaction was executed in multiple trades at prices ranging from $2.48 to $2.54, 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.

F8 · balance_after: Includes the awards referenced in clauses (a) through (c) of footnote (2) above, plus 151,593 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-056373 · doc4.xml · nonDerivative · entry 3

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,393

F5 · price: This transaction was executed in multiple trades at prices ranging from $2.49 to $2.58, 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.

F6 · balance_after: Includes the awards referenced in clauses (a) through (c) of footnote (2) above, plus 145,493 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-056373 · doc4.xml · nonDerivative · entry 2

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,814

F3 · price: This transaction was executed in multiple trades at prices ranging from $2.57 to $2.70, 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.

F4 · balance_after: Includes the awards referenced in clauses (a) through (c) of footnote (2) above, plus 134,914 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-056321 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by James W. Green Revocable Trust

Disclosed balance after: 1,535,404

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.60 to $2.62, 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 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; (b) a deferred stock award of 202,875 restricted stock units which shall fully vest on July 8, 2020; (c) a deferred stock award of 243,072 restricted stock units which shall fully vest on July 8, 2021; (d) a deferred stock award of 418,360 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023; (e) a deferred stock award of 418,360 restricted stock units with performance based vesting conditions tied to relative total shareholder return; and (f) 217,637 shares of common stock beneficially owned by the Reporting Person.

SEC source: 0001209191-19-056373 · doc4.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,959

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.52 to $2.75, 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 deferred stock award of 3,300 restricted stock units which vests in full on December 31, 2019; (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; (c) a deferred stock award of 3,500 restricted stock units which vests in full on December 31, 2019; and (d) 122,059 shares of common stock held by the Reporting Person

SEC source: 0001209191-19-055465 · doc4.xml · derivative · entry 2

Olson Kenneth Fletcher · CIK 0001793360 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,037

Underlying: Common Stock, par value $0.01 per share · 37,037 shares

Expires 2029-11-01

F3 · derivative.exercise_date: The options vest in four equal installments on November 1, 2020, 2021, 2022 and 2023.

SEC source: 0001209191-19-055465 · doc4.xml · nonDerivative · entry 1

Olson Kenneth Fletcher · CIK 0001793360 · Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,949

F1 · shares: Represents a deferred stock award of 16,949 restricted stock units with performance based vesting conditions. These restricted stock units shall vest in equal installments on November 1, 2020, 2021 and 2022, and are linked to 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 and based on the 20-day trading average price before each such date, or with respect to a change of control, the per share purchase price in the change of control). The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.

F2 · balance_after: Includes the award described in footnote (1) above.

SEC source: 0001209191-19-058522 · doc4.xml · nonDerivative · entry 1

EDRICK ALAN I · CIK 0001195340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,800

F1 · shares: Represents a deferred stock award of 600 restricted stock units which vest in full on December 31, 2019. This retainer award was granted under the Issuer's director compensation policy in connection with the director being added to the Audit Committee on October 31, 2019. The award is pro-rated in relation to service on the committee for the remainder of 2019. 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 August, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 600 restricted stock units which vest in full on December 31, 2019 as described in footnote 1 above, (b) a deferred stock award of 5,800 which vest in full on December 31, 2019; and (c) 25,400 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-055318 · doc4.xml · derivative · entry 2

Singh Yash · CIK 0001793157 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,614

Underlying: Common Stock, par value $0.01 per share · 86,614 shares

Expires 2029-10-31

F3 · derivative.exercise_date: The options vest in four equal installments on October 31, 2020, 2021, 2022 and 2023.

SEC source: 0001209191-19-055318 · doc4.xml · nonDerivative · entry 1

Singh Yash · CIK 0001793157 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,286

F1 · shares: Represents a deferred stock award of 39,286 restricted stock units with performance based vesting conditions. These restricted stock units shall vest in equal installments on October 31, 2020, 2021 and 2022, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from October 31, 2019 to the earlier of (i) October 31, 2020 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, or with respect to a change of control, the per share purchase price in the change of control). The target number of these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.

F2 · balance_after: Includes the award described in footnote (1) above.

SEC source: 0001209191-19-051635 · doc4.xml · nonDerivative · entry 1

EDRICK ALAN I · CIK 0001195340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,200

F1 · shares: Represents a deferred stock award of 5,800 restricted stock units which vest in full on December 31, 2019. This retainer award was granted in lieu and satisfaction of the annual cash retainer compensation to be earned by the director for his service on the Issuer's Board of Directors during 2019. 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 July, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 5,800 restricted stock units which vest in full on December 31, 2019 as described in footnote 1 above; and (b) 25,400 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-049501 · doc4.xml · nonDerivative · entry 3

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,343

F5 · price: This transaction was executed in multiple trades at prices ranging from $3.04 to $3.14, 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.

F6 · balance_after: Includes the awards referenced in clauses (a) through (c) of footnote (2) above, plus 108,643 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-049501 · doc4.xml · nonDerivative · entry 2

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,971

F3 · price: This transaction was executed in multiple trades at prices ranging from $2.97 to $3.14, 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.

F4 · balance_after: Includes the awards referenced in clauses (a) through (c) of footnote (2) above, plus 101,271 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-049501 · doc4.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,674

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.93 to $3.10, 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 deferred stock award of 6,600 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019; (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; (c) a deferred stock award of 7,000 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019; and (d) 89,974 shares of common stock held by the Reporting Person

SEC source: 0001209191-19-049143 · doc4.xml · derivative · entry 1

EDRICK ALAN I · CIK 0001195340 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,800

Underlying: Common Stock, par value $0.01 per share · 101,800 shares

Expires 2029-09-10

F1 · derivative.exercise_date: The options vest in three equal installments on September 10, 2020, 2021 and 2022.

SEC source: 0001209191-19-046799 · doc4.xml · nonDerivative · entry 1

Loewald Thomas W · CIK 0001538555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,200

F1 · balance_after: Includes (a) a deferred stock award of 900 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019 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; (c) a deferred stock award of 6,900 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019; and (d) 60,300 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-046448 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by James W. Green Revocable Trust

Disclosed balance after: 1,525,404

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.47 to $2.50, 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 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; (b) a deferred stock award of 202,875 restricted stock units which shall fully vest on July 8, 2020; (c) a deferred stock award of 243,072 restricted stock units which shall fully vest on July 8, 2021; (d) a deferred stock award of 418,360 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023; (e) a deferred stock award of 418,360 restricted stock units with performance based vesting conditions tied to relative total shareholder return; and (f) 207,637 shares of common stock beneficially owned by the Reporting Person.

SEC source: 0001209191-19-045567 · doc4a.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by James W. Green Revocable Trust

Disclosed balance after: 1,515,404

F1 · kind: This amendment is being filed to correct the transaction code in the initial filing to clarify that this acquisition was an open-market purchase.

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.43 to $2.49, 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.

F3 · balance_after: Includes (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; (b) a deferred stock award of 202,875 restricted stock units which shall fully vest on July 8, 2020; (c) a deferred stock award of 243,072 restricted stock units which shall fully vest on July 8, 2021; (d) a deferred stock award of 418,360 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023; (e) a deferred stock award of 418,360 restricted stock units with performance based vesting conditions tied to relative total shareholder return; and (f) 197,637 shares of common stock beneficially owned by the Reporting Person.

SEC source: 0001209191-19-045553 · doc4.xml · nonDerivative · entry 1

Eade Katherine A. · CIK 0001721318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,515

F1 · balance_after: Includes (a) a deferred stock award of 1,100 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019 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; (c) a deferred stock award of 6,350 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019; and (d) 78,965 shares of common stock beneficially owned by the Reporting Person.

SEC source: 0001209191-19-045485 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · by James W. Green Revocable Trust

Disclosed balance after: 1,515,404

F1 · price: This transaction was executed in multiple trades at prices ranging from $2.43 to $2.49, 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 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; (b) a deferred stock award of 202,875 restricted stock units which shall fully vest on July 8, 2020; (c) a deferred stock award of 243,072 restricted stock units which shall fully vest on July 8, 2021; (d) a deferred stock award of 418,360 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023; (e) a deferred stock award of 418,360 restricted stock units with performance based vesting conditions tied to relative total shareholder return; and (f) 197,637 shares of common stock beneficially owned by the Reporting Person.

SEC source: 0001209191-19-044027 · doc4.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,550

F1 · shares: Represents a deferred stock award of 6,600 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019. This retainer award was granted in lieu and satisfaction of the annual cash retainer compensation to be earned by the director for his service as the Lead Independent Director of the Issuer's Board of Directors that the reporting person was appointed to following the 2019 Annual Meeting of Stockholders. 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 May, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 6,600 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019 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; (c) a deferred stock award of 7,000 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019; and (d) 142,850 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-044019 · doc4.xml · nonDerivative · entry 1

Eade Katherine A. · CIK 0001721318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,600

F1 · shares: Represents a deferred stock award of 1,100 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019. 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 a committee of the Issuer's Board of Directors that the reporting person was appointed to following the 2019 Annual Meeting of Stockholders. 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 May, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 1,100 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019 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; (c) a deferred stock award of 6,350 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019; and (d) 39,050 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-044025 · doc4.xml · nonDerivative · entry 1

Loewald Thomas W · CIK 0001538555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,200

F1 · shares: Represents a deferred stock award of 900 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019. This retainer award was granted in lieu and satisfaction of the annual cash retainer compensation to be earned by the director for his service on a committee of the Issuer's Board of Directors that the reporting person was appointed to following the 2019 Annual Meeting of Stockholders. 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 May, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 900 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019 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; (c) a deferred stock award of 6,900 restricted stock units which vest quarterly in equal installments on September 30, 2019 and December 31, 2019; and (d) 40,300 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-043709 · doc4.xml · derivative · entry 2

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,842

Underlying: Common Stock, par value $0.01 per share · 111,842 shares

Expires 2029-07-18

F3 · derivative.exercise_date: The options vest in four equal annual installments on July 18, 2020, 2021, 2022 and 2023.

SEC source: 0001209191-19-043709 · doc4.xml · nonDerivative · entry 1

Rossi Michael A. · CIK 0001783869 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,753

F1 · shares: Represents a deferred stock award of 47,753 restricted stock units with performance based vesting conditions. These restricted stock units shall vest in equal installments on July 18, 2020, 2021 and 2022, and are linked to 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 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.

F2 · balance_after: Includes the award described in footnote (1) above.

SEC source: 0001209191-19-041546 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,493,404

F9 · shares: Represents a deferred stock award of 418,360 restricted stock units with performance based vesting conditions. These restricted stock units shall vest 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 these restricted stock units that may be earned is reported above; the maximum amount is 150% of the number reported.

F10 · balance_after: Includes the equity described in footnotes (2), (3), (5), (7) and (9).

SEC source: 0001209191-19-041546 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,075,044

F7 · shares: Represents a deferred stock award of 418,360 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023.

F8 · balance_after: Includes the equity described in footnotes (2), (3), (5) and (7).

SEC source: 0001209191-19-041546 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 656,684

F5 · shares: Represents a deferred stock award of 243,072 restricted stock units which shall fully vest on July 8, 2021.

F6 · balance_after: Includes the equity described in footnotes (2), (3) and (5).

SEC source: 0001209191-19-041546 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 413,612

F3 · shares: Represents a deferred stock award of 202,875 restricted stock units which shall fully vest on July 8, 2020.

F4 · balance_after: Includes the equity described in footnotes (2) and (3).

SEC source: 0001209191-19-041546 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,737

F1 · shares: The subject restricted stock units were granted to the Reporting Person on January 2, 2019 and were forfeited as a result of the Reporting Person transitioning to his role as President and Chief Executive of the Issuer as of July 8, 2019, and stepping down from his roles as member of the Governance Committee and member of the Compensation Committee.

F2 · balance_after: Includes (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 (b) 175,637 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-041549 · doc4.xml · nonDerivative · entry 1

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 464,528

F1 · shares: The following restricted stock units were forfeited as a result of the Reporting Person's separation of service from the Issuer effective as of July 7, 2019: (a) 89,402 restricted stock units granted to the Reporting Person on May 25, 2017; (b) 47,222 restricted stock units granted to the Reporting Person on May 24, 2018; (c) 7,556 restricted stock units granted to the Reporting Person on May 24, 2018 that related to an award with a performance condition tied to relative total shareholder return; (d) 84,776 restricted stock units granted to the Reporting Person on March 7, 2019; and (e) restricted stock units, with a target amount of 56,517, granted to the Reporting Person on March 7, 2019 contingent upon achievement of a performance condition tied to relative total shareholder return.

SEC source: 0001209191-19-039695 · doc4.xml · nonDerivative · entry 1

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,001

F1 · kind: Represents shares acquired under the Issuer's Employee Stock Purchase Plan.

F2 · price: Represents the purchase price for each share purchased under the Employee Stock Purchase Plan and equals 85% of the fair market value of common stock on June 28, 2019, being the exercise date under the plan.

F3 · balance_after: Includes (a) a deferred stock award of 56,517 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on March 7, 2020, 2021 and 2022, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 113,034 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023; (c) a deferred stock award of 70,833 restricted stock units which vest in equal installments on January 1, 2020, 2021 and 2022; (d) a deferred stock award of 178,804 restricted stock units which shall vest in equal installments on January 1, 2020 and 2021; (e) a deferred stock award of 72,916 restricted stock units which shall vest on January 1, 2020;

F4 · balance_after: continuation of footnote 3 above: (f) a deferred stock award of 7,556 restricted stock units, which vest in equal installments on May 24, 2020 and May 24, 2021; and (g) 250,341 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-033245 · doc4.xml · nonDerivative · entry 1

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 746,667

F1 · shares: The shares were disposed of to satisfy the Reporting Person's tax withholding obligation in connection with the vesting of certain restricted stock units previously granted to the Reporting Person on May 24, 2018.

F2 · balance_after: Includes (a) a deferred stock award of 56,517 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on March 7, 2020, 2021 and 2022, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 113,034 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023; (c) a deferred stock award of 70,833 restricted stock units which vest in equal installments on January 1, 2020, 2021 and 2022; (d) a deferred stock award of 178,804 restricted stock units which shall vest in equal installments on January 1, 2020 and 2021; (e) a deferred stock award of 72,916 restricted stock units which shall vest on January 1, 2020;

F3 · balance_after: continuation of footnote 2 above: (f) a deferred stock award of 7,556 restricted stock units, which vest in equal installments on May 24, 2020 and May 24, 2021; and (g) 247,007 shares of common stock held by the Reporting Person. With respect to the performance based deferred stock award received on May 24, 2018, the Reporting Person had previously included the target number of such award, being 94,444 shares, in his reported holdings, and on May 24, 2019, the actual earned award amount was determined to be 11,333. As such, the 83,111 shares previously reported but not earned are no longer included in the securities beneficially owned.

SEC source: 0001209191-19-032787 · doc4.xml · nonDerivative · entry 1

Loewald Thomas W · CIK 0001538555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,300

F1 · shares: Represents a deferred stock award of 35,100 restricted stock units which fully vest on the earlier to occur 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.

F2 · balance_after: Includes (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; (b) a deferred stock award of 10,350 restricted stock units which vest quarterly in equal installments on June 30, 2019, September 30, 2019 and December 31, 2019; and (c) 36,850 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-032800 · doc4.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,950

F1 · shares: Represents a deferred stock award of 35,100 restricted stock units which fully vest on the earlier to occur 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.

F2 · balance_after: Includes (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; (b) a deferred stock award of 10,500 restricted stock units which vest quarterly in equal installments on June 30, 2019, September 30, 2019 and December 31, 2019; and (c) 139,350 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-032796 · doc4.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,012

F1 · shares: Represents a deferred stock award of 35,100 restricted stock units which fully vest on the earlier to occur 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.

F2 · balance_after: Includes (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; (b) a deferred stock award of 15,825 restricted stock units which vest quarterly in equal installments on June 30, 2019, September 30, 2019 and December 31, 2019; and (c) 165,087 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-032793 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,593

F1 · shares: Represents a deferred stock award of 35,100 restricted stock units which fully vest on the earlier to occur 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.

F2 · balance_after: Includes (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; (b) a deferred stock award of 13,275 restricted stock units which vest quarterly in equal installments on June 30, 2019, September 30, 2019 and December 31, 2019; and (c) 267,218 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-032790 · doc4.xml · nonDerivative · entry 1

Eade Katherine A. · CIK 0001721318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,500

F1 · shares: Represents a deferred stock award of 35,100 restricted stock units which fully vest on the earlier to occur 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.

F2 · balance_after: Includes (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; (b) a deferred stock award of 9,525 restricted stock units which vest quarterly in equal installments on June 30, 2019, September 30, 2019 and December 31, 2019; and (c) 35,875 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-024470 · doc4.xml · nonDerivative · entry 3

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 830,888

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

F7 · balance_after: Includes the awards referenced in clauses (a) through (f) of footnotes (3) and (4) above, plus 244,340 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-024470 · doc4.xml · nonDerivative · entry 2

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 831,288

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

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.50 to $4.55, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (5).

F6 · balance_after: Includes the awards referenced in clauses (a) through (f) of footnotes (3) and (4) above, plus 244,740 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-024470 · doc4.xml · nonDerivative · entry 1

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 843,713

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

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.50 to $4.52, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (2).

F3 · balance_after: Includes (a) a deferred stock award of 56,517 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on March 7, 2020, 2021 and 2022, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 113,034 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023; (c) a deferred stock award of 70,833 restricted stock units which vest in equal installments on January 1, 2020, 2021 and 2022; (d) a deferred stock award of 178,804 restricted stock units which shall vest in equal installments on January 1, 2020 and 2021; (e) a deferred stock award of 72,916 restricted stock units which shall vest on January 1, 2020;

F4 · balance_after: continuation of footnote 3 above: (f) a deferred stock award of 94,444 restricted stock units with performance based vesting conditions, which if earned shall vest in equal installments on May 24, 2019, 2020 and 2021, and are contingent upon achievement of a performance condition tied to relative shareholder return; and (g) 257,165 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-022630 · doc4.xml · derivative · entry 3

Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,139

Underlying: Common Stock, par value $0.01 per share · 91,139 shares

Expires 2029-03-07

F5 · derivative.exercise_date: The options vest in four equal installments on January 1, 2020, 2021, 2022 and 2023.

SEC source: 0001209191-19-022630 · doc4.xml · nonDerivative · entry 2

Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,858

F3 · shares: Represents a deferred stock award of 18,997 restricted stock units with performance based vesting conditions. These restricted stock units shall vest in equal installments on March 7, 2020, 2021 and 2022, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from March 7, 2019 to the earlier of (i) March 7, 2020 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: 0001209191-19-022630 · doc4.xml · nonDerivative · entry 1

Unninayar Kamalam · CIK 0001720065 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,861

F1 · shares: Represents a deferred stock award of 37,995 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023.

F2 · balance_after: Includes (a) a deferred stock award of 37,995 restricted stock units which shall vest in four equal installments on January 1, 2020, 2021, 2022 and 2023; (b) a deferred stock award of 13,852 restricted stock units which vest in equal installments on January 1, 2020, 2021 and 2022; and (c) 3,014 shares of common stock held by the Reporting Person.

SEC source: 0001209191-19-022619 · doc4.xml · derivative · entry 3

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 271,139

Underlying: Common Stock, par value $0.01 per share · 271,139 shares

Expires 2029-03-07

F5 · derivative.exercise_date: The options vest in four equal installments on January 1, 2020, 2021, 2022 and 2023.

SEC source: 0001209191-19-022619 · doc4.xml · nonDerivative · entry 2

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850,045

F3 · shares: Represents a deferred stock award of 56,517 restricted stock units with performance based vesting conditions. These restricted stock units shall vest in equal installments on March 7, 2020, 2021 and 2022, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from March 7, 2019 to the earlier of (i) March 7, 2020 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.