HRTX

SEC source: 0001209191-22-003364 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,756

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.

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.

SEC source: 0001209191-22-003364 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,750

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: 0001209191-22-003364 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,783

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: 0001209191-22-003364 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,795

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: 0001209191-22-003364 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,231

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: 0001209191-22-003362 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 179,295

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.

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.

SEC source: 0001209191-22-003362 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,104

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: 0001209191-22-003362 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,635

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: 0001209191-22-003362 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,854

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: 0001209191-22-003362 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,732

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: 0001209191-22-003361 · doc4.xml · derivative · entry 5

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,756

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.

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.

SEC source: 0001209191-22-003361 · doc4.xml · derivative · entry 4

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,750

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: 0001209191-22-003361 · doc4.xml · nonDerivative · entry 3

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,638

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: 0001209191-22-003361 · doc4.xml · nonDerivative · entry 2

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,650

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: 0001209191-22-003361 · doc4.xml · nonDerivative · entry 1

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,086

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.

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

SEC source: 0001209191-22-003360 · doc4.xml · derivative · entry 5

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,491

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.

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.

SEC source: 0001209191-22-003360 · doc4.xml · derivative · entry 4

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,073

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: 0001209191-22-003360 · doc4.xml · nonDerivative · entry 3

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,716

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: 0001209191-22-003360 · doc4.xml · nonDerivative · entry 2

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,682

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: 0001209191-22-003360 · doc4.xml · nonDerivative · entry 1

Peraza Lisa · CIK 0001828266 · VP, Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,749

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: 0001209191-22-003358 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,756

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.

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.

SEC source: 0001209191-22-003358 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,750

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: 0001209191-22-003358 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,070

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: 0001209191-22-003358 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,082

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: 0001209191-22-003358 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,518

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: 0001209191-21-071170 · doc4.xml · derivative · entry 2

Rodriguez Susan · CIK 0001812511 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,903

Underlying: Common Stock · 20,903 shares

Expires 2031-12-22

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: 0001209191-21-071170 · doc4.xml · nonDerivative · entry 1

Rodriguez Susan · CIK 0001812511 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,702

F1 · shares: The shares were granted as restricted stock units which vest in full on December 22, 2022.

SEC source: 0001209191-21-071172 · doc4.xml · derivative · entry 3

Christian Waage · CIK 0001553179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,903

Underlying: Common Stock · 20,903 shares

Expires 2031-12-22

F4 · 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: 0001209191-21-071172 · doc4.xml · nonDerivative · entry 2

Christian Waage · CIK 0001553179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,652

F3 · shares: The shares were granted as restricted stock units which vest in full on December 22, 2022.

SEC source: 0001209191-21-071168 · doc4.xml · derivative · entry 2

Dissanaike Sharmila · CIK 0001885069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,903

Underlying: Common Stock · 20,903 shares

Expires 2031-12-22

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: 0001209191-21-071168 · doc4.xml · nonDerivative · entry 1

Dissanaike Sharmila · CIK 0001885069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,702

F1 · shares: The shares were granted as restricted stock units which vest in full on December 22, 2022.

SEC source: 0001209191-21-071169 · doc4.xml · derivative · entry 3

Johnson Craig A · CIK 0001370348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,903

Underlying: Common Stock · 20,903 shares

Expires 2031-12-22

F4 · 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: 0001209191-21-071169 · doc4.xml · nonDerivative · entry 2

Johnson Craig A · CIK 0001370348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,292

F3 · shares: The shares were granted as restricted stock units which vest in full on December 22, 2022.

SEC source: 0001209191-21-071167 · doc4.xml · derivative · entry 2

DAVIS STEPHEN · CIK 0001131146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,903

Underlying: Common Stock · 20,903 shares

Expires 2031-12-22

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: 0001209191-21-071167 · doc4.xml · nonDerivative · entry 1

DAVIS STEPHEN · CIK 0001131146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,452

F1 · shares: The shares were granted as restricted stock units which vest in full on December 22, 2022.

SEC source: 0001209191-21-071172 · doc4.xml · nonDerivative · entry 1

Christian Waage · CIK 0001553179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,200

F1 · kind: The sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of March 15, 2021. The shares were sold by Mr. Waage to cover his estimated tax liability associated with the vesting of 750 restricted stock units (RSUs) on December 21, 2021.

F2 · price: The range of sales prices received was $9.625 to $9.945. 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: 0001209191-21-071169 · doc4.xml · nonDerivative · entry 1

Johnson Craig A · CIK 0001370348 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,840

F1 · kind: The sale of common stock reported in this Form 4 was effected pursuant to a Rule 10b5-1 plan dated as of March 3, 2021. The shares were sold by Mr. Johnson to cover his estimated tax liability associated with the vesting of 750 restricted stock units (RSUs) on December 21, 2021.

F2 · price: The range of sales prices received was $9.625 to $9.845. 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: 0001209191-21-071173 · doc4.xml · nonDerivative · entry 1

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,836

F1 · kind: Represents shares acquired under the Heron Therapeutics, Inc. 1997 Employee Stock Purchase Plan on October 29, 2021.

SEC source: 0001209191-21-060551 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,417

Underlying: Common Stock · 195,417 shares

Expires not disclosed

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.

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.

SEC source: 0001209191-21-060551 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 390,834

Underlying: Common Stock · 390,834 shares

Expires 2031-10-13

F4 · derivative.exercise_date: The stock option vests and becomes exercisable monthly 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 the stock option will be fully vested on the four year anniversary of the date of grant.

SEC source: 0001209191-21-060551 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,750

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: 0001209191-21-060551 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,086

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: 0001209191-21-060551 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,049

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: 0001209191-21-060553 · doc4.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,320

Underlying: Common Stock · 55,320 shares

Expires not disclosed

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.

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.

SEC source: 0001209191-21-060553 · doc4.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,200

Underlying: Common Stock · 92,200 shares

Expires 2031-10-13

F4 · derivative.exercise_date: The stock option vests and becomes exercisable monthly 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 the stock option will be fully vested on the four year anniversary of the date of grant.

SEC source: 0001209191-21-060553 · doc4.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

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: 0001209191-21-060553 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,981

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: 0001209191-21-060553 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,414

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: 0001209191-21-060550 · doc4.xml · derivative · entry 5

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,320

Underlying: Common Stock · 55,320 shares

Expires not disclosed

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.

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.

SEC source: 0001209191-21-060550 · doc4.xml · derivative · entry 4

POYHONEN JOHN · CIK 0001286100 · President & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,200

Underlying: Common Stock · 92,200 shares

Expires 2031-10-13

F4 · derivative.exercise_date: The stock option vests and becomes exercisable monthly 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 the stock option will be fully vested on the four year anniversary of the date of grant.