HRTX

SEC source: 0001209191-22-042263 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,340

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: 0001209191-22-042262 · doc4.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,051

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: 0001209191-22-042262 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,812

Underlying: Common Stock · 3,646 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: 0001209191-22-042262 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,237

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: 0001209191-22-042262 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,456

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: 0001209191-22-042262 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,334

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: 0001209191-22-042261 · doc4.xml · derivative · entry 5

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,628

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: 0001209191-22-042261 · doc4.xml · derivative · entry 4

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,250

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: 0001209191-22-042261 · doc4.xml · nonDerivative · entry 3

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,242

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: 0001209191-22-042261 · doc4.xml · nonDerivative · entry 2

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,254

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: 0001209191-22-042261 · doc4.xml · nonDerivative · entry 1

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,690

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: 0001209191-22-042260 · doc4.xml · derivative · entry 5

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,626

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: 0001209191-22-042260 · doc4.xml · derivative · entry 4

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,969

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: 0001209191-22-042260 · doc4.xml · nonDerivative · entry 3

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,965

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: 0001209191-22-042260 · doc4.xml · nonDerivative · entry 2

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,825

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: 0001209191-22-042260 · doc4.xml · nonDerivative · entry 1

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,892

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: 0001209191-22-042259 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,628

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: 0001209191-22-042259 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,250

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: 0001209191-22-042259 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,674

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: 0001209191-22-042259 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,686

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: 0001209191-22-042259 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,122

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: 0001209191-22-027232 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,872

F2 · kind: The sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of September 13, 2021.

F3 · price: The range of sales prices received was $4.695 to $4.835. 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 or sold at each separate price.

SEC source: 0001209191-22-027232 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,376

F1 · kind: Represents shares acquired under the Heron Therapeutics, Inc. 1997 Employee Stock Purchase Plan on April 29, 2022.

SEC source: 0001209191-22-042263 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,090

F1 · kind: Represents shares acquired under the Heron Therapeutics, Inc. 1997 Employee Stock Purchase Plan on April 29, 2022.

SEC source: 0001209191-22-042262 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,688

F1 · kind: Represents shares acquired under the Heron Therapeutics, Inc. 1997 Employee Stock Purchase Plan on April 29, 2022.

SEC source: 0001209191-22-024523 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,192

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: 0001209191-22-024523 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

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: 0001209191-22-024523 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,585

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: 0001209191-22-024523 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,597

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: 0001209191-22-024523 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,033

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: 0001209191-22-024522 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,173

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.

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: 0001209191-22-024522 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,458

Underlying: Common Stock · 3,646 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: 0001209191-22-024522 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,184

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: 0001209191-22-024522 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,403

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: 0001209191-22-024522 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,281

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: 0001209191-22-024521 · doc4.xml · derivative · entry 5

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,192

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: 0001209191-22-024521 · doc4.xml · derivative · entry 4

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

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: 0001209191-22-024521 · doc4.xml · nonDerivative · entry 3

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,440

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: 0001209191-22-024521 · doc4.xml · nonDerivative · entry 2

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,452

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: 0001209191-22-024521 · doc4.xml · nonDerivative · entry 1

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,888

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: 0001209191-22-024520 · doc4.xml · derivative · entry 5

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,559

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: 0001209191-22-024520 · doc4.xml · derivative · entry 4

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,521

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: 0001209191-22-024520 · doc4.xml · nonDerivative · entry 3

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,340

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: 0001209191-22-024520 · doc4.xml · nonDerivative · entry 2

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,200

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: 0001209191-22-024520 · doc4.xml · nonDerivative · entry 1

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,268

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: 0001209191-22-024519 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,192

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: 0001209191-22-024519 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

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: 0001209191-22-024519 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,872

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: 0001209191-22-024519 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,884

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: 0001209191-22-024519 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,320

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.