HBIO

SEC source: 0001209191-18-042657 · doc4.xml · nonDerivative · entry 2

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 383,512

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

F4 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 34,226 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-042657 · doc4.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,657

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

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

F2 · balance_after: Includes (a) a deferred stock award of 40,000 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 40,000 restricted stock units which vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (c) a deferred stock award of 81,522 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (d) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (e) a deferred stock award of 44,326 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (continued in footnote 3 below)

F3 · balance_after: (continuation of footnote 2 above) (f) a deferred stock award of 6,625 restricted stock units which shall vest in full on January 1, 2019; (g) a deferred stock award of 28,117 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (h) 43,371 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-042413 · doc4.xml · derivative · entry 11

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,828

Underlying: Common Stock, par value $0.01 per share · 100,000 shares

Expires 2024-05-30

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

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

F14 · derivative.exercise_date: The option vested in four equal annual installments on each of January 1, 2015, 2016, 2017 and 2018.

SEC source: 0001209191-18-042413 · doc4.xml · derivative · entry 10

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock, par value $0.01 per share · 122,100 shares

Expires 2023-11-18

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

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

F13 · derivative.exercise_date: The option vested in four equal annual installments on each of November 18, 2014, 2015, 2016 and 2017.

SEC source: 0001209191-18-042413 · doc4.xml · nonDerivative · entry 7

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 386,829

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

F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.20 to $5.30, 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 (11).

F12 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 37,543 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-042413 · doc4.xml · nonDerivative · entry 6

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 528,129

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

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

F10 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 178,843 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-042413 · doc4.xml · nonDerivative · entry 5

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473,957

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

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

F9 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 124,671 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-042406 · doc4.xml · nonDerivative · entry 3

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 790,742

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 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.175 to $5.25, 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 (7).

F8 · balance_after: Includes the awards referenced in clauses (a) through (f) of footnotes (3) and (4) above plus 98,842 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-042413 · doc4.xml · derivative · entry 9

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,100

Underlying: Common Stock, par value $0.01 per share · 135,800 shares

Expires 2023-11-18

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

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

F13 · derivative.exercise_date: The option vested in four equal annual installments on each of November 18, 2014, 2015, 2016 and 2017.

SEC source: 0001209191-18-042413 · doc4.xml · nonDerivative · entry 4

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,857

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

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.275 to $5.45, 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 (7).

F8 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 62,571 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-042413 · doc4.xml · nonDerivative · entry 3

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 425,557

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

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

F6 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 76,271 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-042406 · doc4.xml · nonDerivative · entry 2

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 804,947

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 $5.28 to $5.43, 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 113,047 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-042413 · doc4.xml · derivative · entry 8

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,800

Underlying: Common Stock, par value $0.01 per share · 150,000 shares

Expires 2023-11-18

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

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

F13 · derivative.exercise_date: The option vested in four equal annual installments on each of November 18, 2014, 2015, 2016 and 2017.

SEC source: 0001209191-18-042413 · doc4.xml · nonDerivative · entry 2

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,857

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

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.40 to $5.55, 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 (4).

F5 · balance_after: Includes the awards referenced in clauses (a) through (g) of footnotes (2) and (3) above plus 62,571 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-042413 · doc4.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,057

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

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

F2 · balance_after: Includes (a) a deferred stock award of 40,000 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 40,000 restricted stock units which vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (c) a deferred stock award of 81,522 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (d) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (e) a deferred stock award of 44,326 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (continued in footnote 3 below)

F3 · balance_after: (continuation of footnote 2 above) (f) a deferred stock award of 6,625 restricted stock units which shall vest in full on January 1, 2019; (g) a deferred stock award of 28,117 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (h) 76,771 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-042406 · doc4.xml · nonDerivative · entry 1

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 816,547

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 $5.38 to $5.50, 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 94,444 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; (b) a deferred stock award of 94,444 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (c) a deferred stock award of 268,206 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (d) a deferred stock award of 145,833 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (e) a deferred stock award of 17,225 restricted stock units which shall vest in full on January 1, 2019;

F4 · balance_after: continuation of footnote 3 above) (f) a deferred stock award of 71,748 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (g) 124,647 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-035683 · doc4.xml · nonDerivative · entry 2

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 310,480

F3 · shares: Represents a deferred stock award of 2,400 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018. 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 2018 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 March, rounded to the nearest 100 shares.

F4 · balance_after: Includes (a) a deferred stock award of 2,400 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018 as described in footnote 3 above; (b) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (c) a deferred stock award of 10,425 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018; and (d) 279,555 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-035672 · doc4.xml · nonDerivative · entry 1

Loewald Thomas W · CIK 0001538555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,400

F1 · shares: Represents a deferred stock award of 1,600 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018. 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 2018 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 March, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 1,600 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018 as described in footnote 1 above; (b) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting; (c) a deferred stock award of 8,550 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018; and (d) 5,150 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-035658 · doc4.xml · nonDerivative · entry 1

Eade Katherine A. · CIK 0001721318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,700

F1 · shares: Represents a deferred stock award of 1,200 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018. 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 2018 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 March, rounded to the nearest 100 shares.

F2 · balance_after: Includes (a) a deferred stock award of 1,200 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018 as described in footnote 1 above; (b) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (c) a deferred stock award of 8,325 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018; and (d) 5,075 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-033866 · doc4.xml · nonDerivative · entry 1

Loewald Thomas W · CIK 0001538555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,800

F1 · shares: Represents a deferred stock award of 18,100 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 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 24, 2019.

F2 · balance_after: Includes (a) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (b) a deferred stock award of 8,550 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018; and (c) 5,150 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-033862 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,730

F1 · shares: Represents a deferred stock award of 18,100 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 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 24, 2019.

F2 · balance_after: Includes (a) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (b) a deferred stock award of 12,900 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018; and (c) 278,730 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-033858 · doc4.xml · nonDerivative · entry 1

Eade Katherine A. · CIK 0001721318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,500

F1 · shares: Represents a deferred stock award of 18,100 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 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 24, 2019.

F2 · balance_after: Includes (a) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (b) a deferred stock award of 8,325 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018; and (c) 5,075 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-033852 · doc4.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,850

F1 · shares: Represents a deferred stock award of 18,100 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 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 24, 2019.

F2 · balance_after: Includes (a) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (b) a deferred stock award of 11,250 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018; and (c) 106,500 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-033845 · doc4.xml · nonDerivative · entry 2

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,858

F3 · shares: Represents a deferred stock award of 22,500 restricted stock units with performance based vesting conditions. These restricted stock units shall vest in three equal annual installments on May 24, 2019, May 24, 2020 and May 24, 2021, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from May 24, 2018 to the earlier of (i) May 24, 2019 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) a deferred stock award of 22,500 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (b) all awards and common stock held by Reporting Person as described in footnote 2 above.

SEC source: 0001209191-18-033845 · doc4.xml · nonDerivative · entry 1

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,358

F1 · shares: Represents a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022.

F2 · balance_after: Includes (a) a deferred stock award of 22,500 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 14,058 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (f) 60,144 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-033839 · doc4.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,312

F1 · shares: Represents a deferred stock award of 18,100 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 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 24, 2019.

F2 · balance_after: Includes (a) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (b) a deferred stock award of 16,875 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018; and (c) 122,337 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-033824 · doc4.xml · nonDerivative · entry 2

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 830,742

F3 · shares: Represents a deferred stock award of 94,444 restricted stock units with performance based vesting conditions. These restricted stock units shall vest in three equal annual installments on May 24, 2019, May 24, 2020 and May 24, 2021, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from May 24, 2018 to the earlier of (i) May 24, 2019 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) a deferred stock award of 94,444 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (b) all awards and common stock held by the Reporting Person as described in footnote 2 above.

SEC source: 0001209191-18-033824 · doc4.xml · nonDerivative · entry 1

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 736,298

F1 · shares: Represents a deferred stock award of 94,444 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022.

F2 · balance_after: Includes (a) a deferred stock award of 94,444 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 268,206 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 145,833 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 17,225 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 71,748 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (f) 138,842 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-033771 · doc4.xml · nonDerivative · entry 2

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,857

F3 · shares: Represents a deferred stock award of 40,000 restricted stock units with performance based vesting conditions. These restricted stock units shall vest in three equal annual installments on May 24, 2019, May 24, 2020 and May 24, 2021, and are linked to the achievement of a relative total shareholder return of the Issuer's common stock from May 24, 2018 to the earlier of (i) May 24, 2019 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) a deferred stock award of 40,000 restricted stock units with performance based vesting conditions, which shall vest in three equal installments on May 24, 2019, May 24, 2020 and May 24, 2021, contingent upon achievement of a performance condition tied to relative total shareholder return; and (b) all awards and common stock held by the Reporting Person as described in footnote 2 above.

SEC source: 0001209191-18-033771 · doc4.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,857

F1 · shares: Represents a deferred stock award of 40,000 restricted stock units which shall vest in four equal installments on January 1, 2019, 2020, 2021 and 2022.

F2 · balance_after: Includes (a) a deferred stock award of 40,000 restricted stock units which vest in four equal installments on January 1, 2019, 2020, 2021 and 2022; (b) a deferred stock award of 81,522 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (c) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (d) a deferred stock award of 44,326 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (e) a deferred stock award of 6,625 restricted stock units which shall vest in full on January 1, 2019; (f) a deferred stock award of 28,117 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (g) 62,571 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-035683 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 308,080

F1 · shares: The subject restricted stock units were granted to the reporting person on January 1, 2018 and were forfeited as a result of the reporting person no longer being the Chairman of the Compensation Committee of the Issuer.

F2 · balance_after: Includes (a) a deferred stock award of 18,100 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 17, 2018, immediately prior to the commencement of such meeting, and (ii) May 17, 2019; (b) a deferred stock award of 10,425 restricted stock units which vest quarterly in equal installments on June 30, 2018, September 30, 2018 and December 31, 2018; and (c) 279,555 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-028568 · doc4.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,857

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 on May 6, 2018.

F2 · balance_after: Includes (a) a deferred stock award of 81,522 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (b) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (c) a deferred stock award of 44,326 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (d) a deferred stock award of 6,625 restricted stock units which shall vest in full on January 1, 2019; (e) a deferred stock award of 28,117 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (f) 62,571 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-020046 · doc4.xml · nonDerivative · entry 3

UVEGES GEORGE · CIK 0001124927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,685

F4 · 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 $4.65, 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 footnote (1) to this Form 4.

F5 · balance_after: Includes (a) a deferred stock award of 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 94,185 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-020046 · doc4.xml · derivative · entry 4

UVEGES GEORGE · CIK 0001124927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 6,586 shares

Expires 2018-05-22

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

F6 · shares: Represent the exercise of stock options granted pursuant to the Issuer's 2000 Stock Option and Incentive Plan, as amended.

SEC source: 0001209191-18-020046 · doc4.xml · nonDerivative · entry 2

UVEGES GEORGE · CIK 0001124927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,935

F2 · shares: Represents the number of shares of common stock that the Reporting Person attested to the ownership thereof in accordance with the Issuer's Third Amended and Restated 2000 Stock Option and Incentive Plan, as amended, in connection with the payment of the option exercise price. With respect to each option exercise, the Issuer only delivered the net amount of the option shares (after reducing the option shares by the amount of shares subject to such attestation) to the Reporting Person and such attestation shares were not sold by the Reporting Person or delivered to the Issuer. Nevertheless, the SEC deems such exercise and related attestation to be a disposition of shares for purposes of Section 16(a) of the Securities Exchange Act of 1934.

F3 · balance_after: Includes (a) a deferred stock award of 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 116,435 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-020046 · doc4.xml · nonDerivative · entry 1

UVEGES GEORGE · CIK 0001124927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,614

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

F1 · balance_after: Includes (a) a deferred stock award of 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 121,114 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-018911 · doc4.xml · nonDerivative · entry 2

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 641,854

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.60 to $4.65, 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 footnote (1) to this Form 4.

F4 · balance_after: Includes (a) a deferred stock award of 268,206 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (b) a deferred stock award of 145,833 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (c) a deferred stock award of 17,225 restricted stock units which shall vest in full on January 1, 2019; (d) a deferred stock award of 71,748 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 138,842 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-018918 · doc4.xml · nonDerivative · entry 2

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,858

F2 · shares: The shares were disposed to satisfy the Reporting Person's tax withholding obligation in connection with unrestricted stock award granted on March 8, 2018.

F3 · balance_after: Includes (a) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (b) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (c) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (d) a deferred stock award of 14,058 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 60,144 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-018918 · doc4.xml · nonDerivative · entry 1

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,397

F1 · balance_after: Includes (a) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (b) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (c) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (d) a deferred stock award of 14,058 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 62,683 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-018911 · doc4.xml · nonDerivative · entry 1

Duchemin Jeffrey · CIK 0001585223 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 649,654

F1 · 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 $4.68, 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 footnote (1) to this Form 4.

F2 · balance_after: Includes (a) a deferred stock award of 268,206 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (b) a deferred stock award of 145,833 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (c) a deferred stock award of 17,225 restricted stock units which shall vest in full on January 1, 2019; (d) a deferred stock award of 71,748 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 146,642 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-018913 · doc4.xml · nonDerivative · entry 1

UVEGES GEORGE · CIK 0001124927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,028

F1 · 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 $4.70, 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 footnote (1) to this Form 4.

F2 · balance_after: Includes (a) a deferred stock award of 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 114,528 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-018906 · doc4.xml · nonDerivative · entry 1

Gagnon Robert E. · CIK 0001504983 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 357,938

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.55 to $4.68, 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 footnote (1) to this Form 4.

F2 · balance_after: Includes (a) a deferred stock award of 81,522 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (b) a deferred stock award of 108,696 restricted stock units which shall vest in full on May 25, 2019; (c) a deferred stock award of 88,652 restricted stock units which shall vest in full on May 6, 2018; (d) a deferred stock award of 44,326 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (e) a deferred stock award of 6,625 restricted stock units which shall vest in full on January 1, 2019; and (f) a deferred stock award of 28,117 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return.

SEC source: 0001209191-18-001624 · doc4.xml · nonDerivative · entry 1

UVEGES GEORGE · CIK 0001124927 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,082

F1 · shares: Represents a deferred stock award of 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are 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 and its Committees during 2018. 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 retainers all been paid in cash, divided by the average daily closing market 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 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 149,582 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-001622 · doc4.xml · nonDerivative · entry 1

LOY BERTRAND · CIK 0001197452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,750

F1 · shares: Represents a deferred stock award of 15,000 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are 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 and its Committees during 2018. 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 retainers all been paid in cash, divided by the average daily closing market 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 15,000 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 71,450 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-001620 · doc4.xml · nonDerivative · entry 1

Loewald Thomas W · CIK 0001538555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,700

F1 · shares: Represents a deferred stock award of 11,400 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are 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 and its Committees during 2018. 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 retainers all been paid in cash, divided by the average daily closing market 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 11,400 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; and (b) 2,300 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-001618 · doc4.xml · nonDerivative · entry 1

LEWIS EARL R · CIK 0001230427 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 477,050

F1 · shares: Represents a deferred stock award of 9,700 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are 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 and its Committees during 2018. 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 retainers all been paid in cash, divided by the average daily closing market 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 9,700 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 436,050 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-001614 · doc4.xml · nonDerivative · entry 1

Green James W · CIK 0001400121 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,212

F1 · shares: Represents a deferred stock award of 22,500 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are 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 and its Committees during 2018. 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 retainers all been paid in cash, divided by the average daily closing market 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 22,500 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 85,412 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-001612 · doc4.xml · nonDerivative · entry 1

Eade Katherine A. · CIK 0001721318 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,400

F1 · shares: Represents a deferred stock award of 11,100 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are 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 and its Committees during 2018. 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 retainers all been paid in cash, divided by the average daily closing market 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 11,100 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; and (b) 2,300 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-001616 · doc4.xml · nonDerivative · entry 1

KENNEDY JOHN F · CIK 0001138315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 291,630

F1 · shares: Represents a deferred stock award of 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018, and are subject to continued service as a non-employee director on the applicable vesting dates. These retainer awards are 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 and its Committees during 2018. 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 retainers all been paid in cash, divided by the average daily closing market 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 17,200 restricted stock units which vest quarterly in equal installments on March 31, 2018, June 30, 2018, September 30, 2018 and December 31, 2018; (b) a deferred stock award of 31,300 restricted stock units which fully vest on the earlier of (i) the date of the Issuer's next Annual Meeting of Stockholders after May 18, 2017, immediately prior to the commencement of such meeting, and (ii) May 18, 2018; and (c) 243,130 shares of common stock held by the Reporting Person.

SEC source: 0001209191-18-001632 · doc4.xml · nonDerivative · entry 1

Sun Yong · CIK 0001592266 · VP - Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,509

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, 2018.

F2 · balance_after: Includes (a) a deferred stock award of 81,847 restricted stock units which shall vest in three equal installments on January 1, 2019, 2020 and 2021; (b) a deferred stock award of 44,503 restricted stock units which shall vest in two equal installments on January 1, 2019 and 2020; (c) a deferred stock award of 4,306 restricted stock units which shall vest in full on January 1, 2019; (d) a deferred stock award of 14,058 restricted stock units with performance based vesting conditions, which shall vest on August 3, 2018 contingent upon achievement of a performance condition tied to relative total shareholder return; and (e) 53,795 shares of common stock held by the Reporting Person.