HRTX

SEC source: 0001209191-24-001982 · doc4.xml · derivative · entry 2

Christian Waage · CIK 0001553179 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,685

Underlying: Common Stock · 83,685 shares

Expires 2034-01-19

F2 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

SEC source: 0001209191-24-001982 · doc4.xml · nonDerivative · entry 1

Christian Waage · CIK 0001553179 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,180

F1 · shares: The shares were granted as restricted stock units which vest in full on January 19, 2025.

SEC source: 0001209191-24-001980 · doc4.xml · derivative · entry 3

Morgan Adam · CIK 0001964335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,685

Underlying: Common Stock · 83,685 shares

Expires 2034-01-19

F3 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

SEC source: 0001209191-24-001980 · doc4.xml · nonDerivative · entry 1

Morgan Adam · CIK 0001964335 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 51,827

F1 · shares: The shares were granted as restricted stock units which vest in full on January 19, 2025.

SEC source: 0001209191-24-001979 · doc4.xml · derivative · entry 2

Johnson Craig A · CIK 0001370348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,685

Underlying: Common Stock · 83,685 shares

Expires 2034-01-19

F2 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

SEC source: 0001209191-24-001979 · doc4.xml · nonDerivative · entry 1

Johnson Craig A · CIK 0001370348 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,820

F1 · shares: The shares were granted as restricted stock units which vest in full on January 19, 2025.

SEC source: 0001209191-24-001978 · doc4.xml · derivative · entry 2

Dissanaike Sharmila · CIK 0001885069 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,685

Underlying: Common Stock · 83,685 shares

Expires 2034-01-19

F2 · derivative.exercise_date: The stock options vest and become exercisable in 12 equal monthly installments beginning one month after the date of grant.

SEC source: 0001209191-24-001978 · doc4.xml · nonDerivative · entry 1

Dissanaike Sharmila · CIK 0001885069 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,230

F1 · shares: The shares were granted as restricted stock units which vest in full on January 19, 2025.

SEC source: 0001209191-24-001977 · doc4.xml · derivative · entry 2

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,846

Underlying: Common Stock · 6,846 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

SEC source: 0001209191-24-001977 · doc4.xml · derivative · entry 1

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,078

Underlying: Common Stock · 41,078 shares

Expires 2034-01-19

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant (01/19/2024).

SEC source: 0001209191-24-001976 · doc4.xml · derivative · entry 2

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,989

Underlying: Common Stock · 61,989 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

SEC source: 0001209191-24-001976 · doc4.xml · derivative · entry 1

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 371,935

Underlying: Common Stock · 371,935 shares

Expires 2034-01-19

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant (01/19/2024).

SEC source: 0001209191-24-001975 · doc4.xml · derivative · entry 2

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,989

Underlying: Common Stock · 61,989 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

SEC source: 0001209191-24-001975 · doc4.xml · derivative · entry 1

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 371,935

Underlying: Common Stock · 371,935 shares

Expires 2034-01-19

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant (01/19/2024).

SEC source: 0001209191-24-001974 · doc4.xml · derivative · entry 2

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 220,750

Underlying: Common Stock · 220,750 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

SEC source: 0001209191-24-001974 · doc4.xml · derivative · entry 1

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,324,502

Underlying: Common Stock · 1,324,502 shares

Expires 2034-01-19

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant (01/19/2024).

SEC source: 0000950170-24-046050 · ownership.xml · derivative · entry 2

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 206,953

Underlying: Common Stock · 13,797 shares

Expires not disclosed

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

F2 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

F2 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (01/19/2024).

SEC source: 0001209191-24-001626 · doc4.xml · derivative · entry 5

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,675

Underlying: Common Stock · 1,289 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: The restricted stock units vest quarterly with 33% of the shares vesting during the first year, 33% of the shares vesting during the second year, 22% of the shares vesting during the third year and the remaining 12% of the shares vesting during the fourth year, such that all shares will be fully vested on the four year anniversary of the date of grant (10/13/2021).

F4 · derivative.expiration_date: The restricted stock units vest quarterly with 33% of the shares vesting during the first year, 33% of the shares vesting during the second year, 22% of the shares vesting during the third year and the remaining 12% of the shares vesting during the fourth year, such that all shares will be fully vested on the four year anniversary of the date of grant (10/13/2021).

SEC source: 0001209191-24-001626 · doc4.xml · derivative · entry 4

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,656

Underlying: Common Stock · 552 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (10/13/2020).

F3 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (10/13/2020).

SEC source: 0001209191-24-001626 · doc4.xml · nonDerivative · entry 3

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,907

F2 · acquired: Represents the withholding by the Company of certain of the vested shares of restricted stock to satisfy the minimum statutory tax obligations applicable to such transactions.

SEC source: 0001209191-24-001626 · doc4.xml · nonDerivative · entry 2

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,663

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-24-001626 · doc4.xml · nonDerivative · entry 1

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,374

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-23-056198 · doc4.xml · nonDerivative · entry 1

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,000

SEC source: 0001209191-23-055664 · doc4.xml · nonDerivative · entry 1

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 186,496

F1 · price: The range of purchase prices paid was $0.8888 to $0.94. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased at each separate price.

SEC source: 0001209191-23-055663 · doc4.xml · nonDerivative · entry 1

Duarte Ira · CIK 0001488864 · EVP, Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,000

F1 · price: The range of purchase prices paid was $0.8708 to $0.9201. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased at each separate price.

SEC source: 0001209191-23-055948 · doc4.xml · nonDerivative · entry 1

Forbes William P · CIK 0001314760 · EVP, Chief Development Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,000

F1 · price: The range of purchase prices paid was $0.9348 to $0.94. Upon request by the SEC staff, the issuer, or any security holder of the issuer, full information will be provided regarding the number of shares purchased at each separate price.

SEC source: 0001209191-23-053030 · doc4.xml · derivative · entry 8

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,964

Underlying: Common Stock · 1,932 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F5 · derivative.exercise_date: The restricted stock units vest quarterly with 33% of the shares vesting during the first year, 33% of the shares vesting during the second year, 22% of the shares vesting during the third year and the remaining 12% of the shares vesting during the fourth year, such that all shares will be fully vested on the four year anniversary of the date of grant (10/13/2021).

F5 · derivative.expiration_date: The restricted stock units vest quarterly with 33% of the shares vesting during the first year, 33% of the shares vesting during the second year, 22% of the shares vesting during the third year and the remaining 12% of the shares vesting during the fourth year, such that all shares will be fully vested on the four year anniversary of the date of grant (10/13/2021).

SEC source: 0001209191-23-053030 · doc4.xml · derivative · entry 7

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,208

Underlying: Common Stock · 552 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (10/13/2020).

F4 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (10/13/2020).

SEC source: 0001209191-23-053030 · doc4.xml · nonDerivative · entry 5

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,822

F2 · acquired: Represents the withholding by the Company of certain of the vested shares of restricted stock to satisfy the minimum statutory tax obligations applicable to such transactions.

SEC source: 0001209191-23-053030 · doc4.xml · nonDerivative · entry 4

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,682

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-23-053030 · doc4.xml · nonDerivative · entry 3

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,750

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-23-047180 · doc4.xml · nonDerivative · entry 1

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,496

F1 · acquired: Represents the withholding by the Company of certain of the vested shares of restricted stock to satisfy the minimum statutory tax obligations applicable to the quarterly vesting of shares from the restricted stock grant made on February 22, 2023.

SEC source: 0001209191-23-053030 · doc4.xml · derivative · entry 6

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 42,631 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On July 25, 2022, the Compensation Committee of the Issuer (the "Committee") granted the Reporting Person Performance Stock Units ("PSUs"), the vesting of which was subject to the achievement of certain corporate performance goals and time-based vesting. On January 18, 2023, the Committee determined that certain performance goals of the PSUs had been achieved. The PSUs were further subject to a time-based vesting schedule. The PSUs vested in full on the first anniversary of the grant date (July 25, 2023).

F3 · derivative.expiration_date: On July 25, 2022, the Compensation Committee of the Issuer (the "Committee") granted the Reporting Person Performance Stock Units ("PSUs"), the vesting of which was subject to the achievement of certain corporate performance goals and time-based vesting. On January 18, 2023, the Committee determined that certain performance goals of the PSUs had been achieved. The PSUs were further subject to a time-based vesting schedule. The PSUs vested in full on the first anniversary of the grant date (July 25, 2023).

SEC source: 0001209191-23-053030 · doc4.xml · nonDerivative · entry 2

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,198

F2 · acquired: Represents the withholding by the Company of certain of the vested shares of restricted stock to satisfy the minimum statutory tax obligations applicable to such transactions.

SEC source: 0001209191-23-053030 · doc4.xml · nonDerivative · entry 1

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,941

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0000921895-23-001721 · form412927018_07252023.xml · derivative · entry 3

Morgan Adam · CIK 0001964335 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital Master Fund LP

Disclosed balance after: 1,162,891

Underlying: Common Stock, par value $0.01 per share · 1,162,891 shares

Expires not disclosed

F1 · shares: The Issuer entered into a Securities Purchase Agreement with certain investors (collectively the "Purchasers"), including Velan Capital Master Fund LP ("Velan Master"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "Pre-Funded Warrants") at a per share purchase price equal to $1.37 (less $0.0001 for each Pre-Funded Warrant, as applicable).

F1 · price: The Issuer entered into a Securities Purchase Agreement with certain investors (collectively the "Purchasers"), including Velan Capital Master Fund LP ("Velan Master"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "Pre-Funded Warrants") at a per share purchase price equal to $1.37 (less $0.0001 for each Pre-Funded Warrant, as applicable).

F3 · derivative.exercise_date: The Pre-Funded Warrants are exercisable immediately and will expire when exercised in full, however, the Pre-Funded Warrants cannot be exercised by Velan Master if, after giving effect thereto, Velan Master (together with its affiliates) would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 4.99% of the outstanding shares of Common Stock. Such ownership limitation may be increased upon 61 days' notice to the Issuer.

F3 · derivative.expiration_date: The Pre-Funded Warrants are exercisable immediately and will expire when exercised in full, however, the Pre-Funded Warrants cannot be exercised by Velan Master if, after giving effect thereto, Velan Master (together with its affiliates) would beneficially own, as determined in accordance with Section 13(d) of the Exchange Act, more than 4.99% of the outstanding shares of Common Stock. Such ownership limitation may be increased upon 61 days' notice to the Issuer.

F2 · ownership.nature: Securities owned directly by Velan Master. Mr. Morgan, as a managing member of each of Velan Capital Holdings LLC, the general partner of Velan Master, and Velan Capital Management LLC, the general partner of the investment manager of Velan Master, may be deemed to beneficially own the securities owned directly by Velan Master. Mr. Morgan disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Morgan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0000921895-23-001721 · form412927018_07252023.xml · nonDerivative · entry 1

Morgan Adam · CIK 0001964335 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Velan Capital Master Fund LP

Disclosed balance after: 6,986,744

F1 · shares: The Issuer entered into a Securities Purchase Agreement with certain investors (collectively the "Purchasers"), including Velan Capital Master Fund LP ("Velan Master"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "Pre-Funded Warrants") at a per share purchase price equal to $1.37 (less $0.0001 for each Pre-Funded Warrant, as applicable).

F1 · price: The Issuer entered into a Securities Purchase Agreement with certain investors (collectively the "Purchasers"), including Velan Capital Master Fund LP ("Velan Master"), pursuant to which the Issuer agreed to issue and sell to the Purchasers in a private placement shares of the Issuer's Common Stock or pre-funded warrants in lieu thereof (the "Pre-Funded Warrants") at a per share purchase price equal to $1.37 (less $0.0001 for each Pre-Funded Warrant, as applicable).

F2 · ownership.nature: Securities owned directly by Velan Master. Mr. Morgan, as a managing member of each of Velan Capital Holdings LLC, the general partner of Velan Master, and Velan Capital Management LLC, the general partner of the investment manager of Velan Master, may be deemed to beneficially own the securities owned directly by Velan Master. Mr. Morgan disclaims beneficial ownership of the securities reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that Mr. Morgan is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-23-042787 · doc4.xml · derivative · entry 1

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2033-07-17

F1 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant (07/17/2023).

SEC source: 0001209191-23-042480 · doc4.xml · derivative · entry 5

Szekeres David Leslie · CIK 0001602459 · EVP, Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,372

Underlying: Common Stock · 4,564 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: The restricted stock units vest quarterly with 33% of the shares vesting during the first year, 33% of the shares vesting during the second year, 22% of the shares vesting during the third year and the remaining 12% of the shares vesting during the fourth year, such that all shares will be fully vested on the four year anniversary of the date of grant (10/13/2021).

F4 · derivative.expiration_date: The restricted stock units vest quarterly with 33% of the shares vesting during the first year, 33% of the shares vesting during the second year, 22% of the shares vesting during the third year and the remaining 12% of the shares vesting during the fourth year, such that all shares will be fully vested on the four year anniversary of the date of grant (10/13/2021).

SEC source: 0001209191-23-042480 · doc4.xml · derivative · entry 4

Szekeres David Leslie · CIK 0001602459 · EVP, Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,250

Underlying: Common Stock · 1,250 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (10/13/2020).

F3 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (10/13/2020).

SEC source: 0001209191-23-042480 · doc4.xml · nonDerivative · entry 3

Szekeres David Leslie · CIK 0001602459 · EVP, Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,754

F2 · acquired: Represents the withholding by the Company of certain of the vested shares of restricted stock to satisfy the minimum statutory tax obligations applicable to such transactions.

SEC source: 0001209191-23-042480 · doc4.xml · nonDerivative · entry 2

Szekeres David Leslie · CIK 0001602459 · EVP, Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,766

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-23-042480 · doc4.xml · nonDerivative · entry 1

Szekeres David Leslie · CIK 0001602459 · EVP, Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 31,202

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-23-042479 · doc4.xml · derivative · entry 5

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,896

Underlying: Common Stock · 1,933 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: The restricted stock units vest quarterly with 33% of the shares vesting during the first year, 33% of the shares vesting during the second year, 22% of the shares vesting during the third year and the remaining 12% of the shares vesting during the fourth year, such that all shares will be fully vested on the four year anniversary of the date of grant (10/13/2021).

F4 · derivative.expiration_date: The restricted stock units vest quarterly with 33% of the shares vesting during the first year, 33% of the shares vesting during the second year, 22% of the shares vesting during the third year and the remaining 12% of the shares vesting during the fourth year, such that all shares will be fully vested on the four year anniversary of the date of grant (10/13/2021).

SEC source: 0001209191-23-042479 · doc4.xml · derivative · entry 4

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,760

Underlying: Common Stock · 552 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (10/13/2020).

F3 · derivative.expiration_date: The restricted stock units vest in 16 equal quarterly installments beginning one quarter after the date of grant (10/13/2020).

SEC source: 0001209191-23-042479 · doc4.xml · nonDerivative · entry 3

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,310

F2 · acquired: Represents the withholding by the Company of certain of the vested shares of restricted stock to satisfy the minimum statutory tax obligations applicable to such transactions.

SEC source: 0001209191-23-042479 · doc4.xml · nonDerivative · entry 2

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,170

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-23-042479 · doc4.xml · nonDerivative · entry 1

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,237

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-23-031910 · doc4.xml · nonDerivative · entry 1

Collard Craig A · CIK 0001363558 · Director · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,188

F1 · acquired: Represents the withholding by the Company of certain of the vested shares of restricted stock to satisfy the minimum statutory tax obligations applicable to the quarterly vesting of shares from the restricted stock grant made on February 22, 2023.

SEC source: 0001209191-23-024500 · doc4.xml · derivative · entry 5

Szekeres David Leslie · CIK 0001602459 · EVP, Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,936

Underlying: Common Stock · 4,564 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: The restricted stock units vest quarterly with 33% of the shares vesting during the first year, 33% of the shares vesting during the second year, 22% of the shares vesting during the third year and the remaining 12% of the shares vesting during the fourth year, such that all shares will be fully vested on the four year anniversary of the date of grant (10/13/2021).

F4 · derivative.expiration_date: The restricted stock units vest quarterly with 33% of the shares vesting during the first year, 33% of the shares vesting during the second year, 22% of the shares vesting during the third year and the remaining 12% of the shares vesting during the fourth year, such that all shares will be fully vested on the four year anniversary of the date of grant (10/13/2021).