HRTX

SEC source: 0001209191-23-024500 · 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: 7,500

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: 0001209191-23-024500 · 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: 29,952

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: 0001209191-23-024500 · 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: 31,964

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: 0001209191-23-024500 · 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: 27,400

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: 0001209191-23-024499 · doc4.xml · derivative · entry 5

POYHONEN JOHN · CIK 0001286100 · President & CCO

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).

SEC source: 0001209191-23-024499 · doc4.xml · derivative · entry 4

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,500

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: 0001209191-23-024499 · doc4.xml · nonDerivative · entry 3

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,648

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: 0001209191-23-024499 · doc4.xml · nonDerivative · entry 2

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,660

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: 0001209191-23-024499 · doc4.xml · nonDerivative · entry 1

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,096

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: 0001209191-23-024498 · doc4.xml · derivative · entry 5

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,829

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.

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: 0001209191-23-024498 · doc4.xml · derivative · entry 4

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,312

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: 0001209191-23-024498 · doc4.xml · nonDerivative · entry 3

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,685

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: 0001209191-23-024498 · doc4.xml · nonDerivative · entry 2

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,545

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: 0001209191-23-024498 · doc4.xml · nonDerivative · entry 1

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,613

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: 0001209191-23-024497 · doc4.xml · derivative · entry 5

MANHARD KIMBERLY · CIK 0001202094 · EVP, Drug Development

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).

SEC source: 0001209191-23-024497 · doc4.xml · derivative · entry 4

MANHARD KIMBERLY · CIK 0001202094 · EVP, Drug Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,500

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: 0001209191-23-024497 · doc4.xml · nonDerivative · entry 3

MANHARD KIMBERLY · CIK 0001202094 · EVP, Drug Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,330

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: 0001209191-23-024497 · doc4.xml · nonDerivative · entry 2

MANHARD KIMBERLY · CIK 0001202094 · EVP, Drug Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,747

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: 0001209191-23-024497 · doc4.xml · nonDerivative · entry 1

MANHARD KIMBERLY · CIK 0001202094 · EVP, Drug Development

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,183

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: 0001209191-23-023385 · doc4.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,250,000

Underlying: Common Stock · 4,250,000 shares

Expires 2033-04-03

F3 · derivative.exercise_date: The stock option vests and becomes exercisable with respect to escalating portions of the option grant upon the Issuer's stock price reaching certain pre-established levels ranging from $4.50 to $9.00 per share, subject to the Reporting Person's continued service to the Issuer through the vesting date.

SEC source: 0001209191-23-023385 · 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: 250,000

Underlying: Common Stock · 250,000 shares

Expires not disclosed

F2 · derivative.exercise_date: The restricted stock units vest in four equal annual installments beginning one year after the date of grant, subject to the Reporting Person's continued service to the Issuer through the vesting date.

F2 · derivative.expiration_date: The restricted stock units vest in four equal annual installments beginning one year after the date of grant, subject to the Reporting Person's continued service to the Issuer through the vesting date.

SEC source: 0001209191-23-023385 · 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: 3,000,000

Underlying: Common Stock · 3,000,000 shares

Expires 2033-04-03

F1 · derivative.exercise_date: The stock option vests and becomes exercisable with respect to 750,000 shares on the first anniversary of the date of grant, followed by 2,250,000 shares vesting ratably each month over the subsequent three years, such that 3,000,000 options will be fully vested on the four-year anniversary of the date of grant, subject to the Reporting Person's continued service to the Issuer through the vesting date.

SEC source: 0001209191-23-012924 · doc4.xml · derivative · entry 3

Morgan Adam · CIK 0001964335 · Director · See Notes 2 & 3

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 227,272

Underlying: Common Stock · 227,272 shares

Expires 2033-02-22

F4 · derivative.exercise_date: The stock option vests and becomes exercisable in 48 equal monthly installments beginning one month after the date of grant (02/22/2023).

SEC source: 0001209191-23-012924 · doc4.xml · nonDerivative · entry 1

Morgan Adam · CIK 0001964335 · Director · See Notes 2 & 3

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,879

F1 · shares: The shares were granted as restricted stock units which vest in 16 equal quarterly installments beginning three months after the date of grant (02/22/2023).

SEC source: 0001209191-23-004304 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,788

Underlying: Common Stock · 49,788 shares

Expires not disclosed

F1 · 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 are further subject to a time-based vesting schedule. The PSUs will vest in full on the first anniversary of the grant date subject to continued employment through such date. Upon vesting and settlement of the PSUs, the Reporting Person will receive a number of shares of common stock of the Issuer equal to the number of PSUs that have vested.

F1 · 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 are further subject to a time-based vesting schedule. The PSUs will vest in full on the first anniversary of the grant date subject to continued employment through such date. Upon vesting and settlement of the PSUs, the Reporting Person will receive a number of shares of common stock of the Issuer equal to the number of PSUs that have vested.

SEC source: 0001209191-23-004303 · doc4.xml · derivative · entry 1

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 850,000

Underlying: Common Stock · 850,000 shares

Expires 2033-01-18

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

SEC source: 0001209191-23-004302 · doc4.xml · derivative · entry 1

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,385

Underlying: Common Stock · 66,385 shares

Expires not disclosed

F1 · 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 are further subject to a time-based vesting schedule. The PSUs will vest in full on the first anniversary of the grant date subject to continued employment through such date. Upon vesting and settlement of the PSUs, the Reporting Person will receive a number of shares of common stock of the Issuer equal to the number of PSUs that have vested.

F1 · 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 are further subject to a time-based vesting schedule. The PSUs will vest in full on the first anniversary of the grant date subject to continued employment through such date. Upon vesting and settlement of the PSUs, the Reporting Person will receive a number of shares of common stock of the Issuer equal to the number of PSUs that have vested.

SEC source: 0001209191-23-004301 · doc4.xml · derivative · entry 1

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,631

Underlying: Common Stock · 42,631 shares

Expires not disclosed

F1 · 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 are further subject to a time-based vesting schedule. The PSUs will vest in full on the first anniversary of the grant date subject to continued employment through such date. Upon vesting and settlement of the PSUs, the Reporting Person will receive a number of shares of common stock of the Issuer equal to the number of PSUs that have vested.

F1 · 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 are further subject to a time-based vesting schedule. The PSUs will vest in full on the first anniversary of the grant date subject to continued employment through such date. Upon vesting and settlement of the PSUs, the Reporting Person will receive a number of shares of common stock of the Issuer equal to the number of PSUs that have vested.

SEC source: 0001209191-23-004299 · doc4.xml · derivative · entry 1

MANHARD KIMBERLY · CIK 0001202094 · Director · EVP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,365

Underlying: Common Stock · 149,365 shares

Expires not disclosed

F1 · 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 are further subject to a time-based vesting schedule. The PSUs will vest in full on the first anniversary of the grant date subject to continued employment through such date. Upon vesting and settlement of the PSUs, the Reporting Person will receive a number of shares of common stock of the Issuer equal to the number of PSUs that have vested.

F1 · 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 are further subject to a time-based vesting schedule. The PSUs will vest in full on the first anniversary of the grant date subject to continued employment through such date. Upon vesting and settlement of the PSUs, the Reporting Person will receive a number of shares of common stock of the Issuer equal to the number of PSUs that have vested.

SEC source: 0001209191-23-003564 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,500

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.

F2 · 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: 0001209191-23-003564 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,750

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.

F2 · 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: 0001209191-23-003564 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,150

F3 · 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: 0001209191-23-003564 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,162

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

SEC source: 0001209191-23-003564 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,598

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

SEC source: 0001209191-23-003563 · doc4.xml · derivative · entry 6

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,807

Underlying: Common Stock · 16,122 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_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: 0001209191-23-003563 · doc4.xml · derivative · entry 5

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,521

Underlying: Common Stock · 3,645 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_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: 0001209191-23-003563 · doc4.xml · nonDerivative · entry 4

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,989

F3 · 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: 0001209191-23-003563 · doc4.xml · nonDerivative · entry 3

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,208

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

SEC source: 0001209191-23-003563 · doc4.xml · nonDerivative · entry 2

Quart Barry D · CIK 0001384243 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,086

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

SEC source: 0001209191-23-003562 · doc4.xml · derivative · entry 5

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,500

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: 0001209191-23-003562 · doc4.xml · derivative · entry 4

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,750

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: 0001209191-23-003562 · doc4.xml · nonDerivative · entry 3

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,846

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: 0001209191-23-003562 · doc4.xml · nonDerivative · entry 2

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,858

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: 0001209191-23-003562 · doc4.xml · nonDerivative · entry 1

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,294

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: 0001209191-23-003561 · doc4.xml · derivative · entry 5

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,761

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: 0001209191-23-003561 · doc4.xml · derivative · entry 4

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,864

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: 0001209191-23-003561 · doc4.xml · nonDerivative · entry 3

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,061

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: 0001209191-23-003561 · doc4.xml · nonDerivative · entry 2

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,074

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: 0001209191-23-003561 · doc4.xml · nonDerivative · entry 1

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,141

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: 0001209191-23-003560 · doc4.xml · derivative · entry 6

MANHARD KIMBERLY · CIK 0001202094 · Director · EVP, Drug Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,500

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.

F2 · 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).