IBRX

SEC source: 0001209191-21-040349 · doc4.xml · derivative · entry 1

Cohen Cheryl · CIK 0001529371 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,064

Underlying: Common Stock · 26,064 shares

Expires 2031-06-10

F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the award will vest on the earlier to occur of June 10, 2022 or the date immediately preceding the 2022 annual meeting of stockholders.

SEC source: 0001209191-21-040346 · doc4.xml · derivative · entry 1

Brennan John Owen · CIK 0001849620 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,064

Underlying: Common Stock · 26,064 shares

Expires 2031-06-10

F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the award will vest on the earlier to occur of June 10, 2022 or the date immediately preceding the 2022 annual meeting of stockholders.

SEC source: 0001209191-21-040343 · doc4.xml · derivative · entry 1

BLASZYK MICHAEL D · CIK 0001371407 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,064

Underlying: Common Stock · 26,064 shares

Expires 2031-06-10

F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, one hundred percent (100%) of the shares subject to the award will vest on the earlier to occur of June 10, 2022 or the date immediately preceding the 2022 annual meeting of stockholders.

SEC source: 0001326110-22-000003 · wf-form5_164340529573345.xml · nonDerivative · entry 1

Simon Barry J. · CIK 0001647994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,031,456

SEC source: 0001209191-21-035815 · doc4.xml · nonDerivative · entry 3

Simon Barry J. · CIK 0001647994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,102,507

F3 · price: Represents the weighted average share price of an aggregate total of 88,787 shares sold in the price range of $16.00 to $16.425 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-21-035815 · doc4.xml · nonDerivative · entry 2

Simon Barry J. · CIK 0001647994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,191,294

F2 · price: Represents the weighted average share price of an aggregate total of 21,223 shares sold in the price range of $16.00 to $16.115 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-21-035815 · doc4.xml · nonDerivative · entry 1

Simon Barry J. · CIK 0001647994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,212,517

F1 · price: Represents the weighted average share price of an aggregate total of 14,990 shares sold in the price range of $16.00 to $16.26 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-21-030886 · doc4.xml · derivative · entry 2

Simon Barry J. · CIK 0001647994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 56,967 shares

Expires 2024-12-18

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

F1 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is December 18, 2014. The option originally covered 200,000 pre 1.8515 for 1 forward split shares. Pursuant to the reporting person's employment agreement, the shares subject to the option shall be subject to certain accelerated vesting and post-termination exercise period provisions upon certain events.

SEC source: 0001209191-21-030886 · doc4.xml · nonDerivative · entry 1

Simon Barry J. · CIK 0001647994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,227,507

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.

SEC source: 0001209191-21-030448 · doc4.xml · derivative · entry 1

Selecky Christobel · CIK 0001849739 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,873

Underlying: Common Stock · 21,873 shares

Expires 2031-05-03

F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, the shares subject to the award will vest in three (3) equal installments on each of March 9, 2022, March 9, 2023 and March 9, 2024, such that the award will be fully vested March 9, 2024.

SEC source: 0001209191-21-030446 · doc4.xml · derivative · entry 1

MAXWELL LINDA · CIK 0001822674 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,873

Underlying: Common Stock · 21,873 shares

Expires 2031-05-03

F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, the shares subject to the award will vest in three (3) equal installments on each of March 29, 2022, March 29, 2023 and March 29, 2024, such that the award will be fully vested March 29, 2024.

SEC source: 0001209191-21-030443 · doc4.xml · derivative · entry 1

Clark Wesley · CIK 0001349193 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,873

Underlying: Common Stock · 21,873 shares

Expires 2031-05-03

F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, the shares subject to the award will vest in three (3) equal installments on each of March 9, 2022, March 9, 2023 and March 9, 2024, such that the award will be fully vested March 9, 2024.

SEC source: 0001209191-21-030442 · doc4.xml · derivative · entry 1

Brennan John Owen · CIK 0001849620 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,873

Underlying: Common Stock · 21,873 shares

Expires 2031-05-03

F1 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through such applicable vesting date, the shares subject to the award will vest in three (3) equal installments on each of March 9, 2022, March 9, 2023 and March 9, 2024, such that the award will be fully vested March 9, 2024.

SEC source: 0001209191-21-020020 · doc4.xml · nonDerivative · entry 4

SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner

Cambridge Equities, LP · CIK 0001629222 · 10% owner

MP 13 Ventures, LLC · CIK 0001629186 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnte

Disclosed balance after: 7,976,159

F1 · price: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio.

F4 · ownership.nature: Shares held by California Capital Equity, LLC ("CalCap"). The reporting person owns all of the equity interests of CalCap and has voting and dispositive power over the shares held by CalCap.

SEC source: 0001209191-21-020020 · doc4.xml · nonDerivative · entry 3

SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner

Cambridge Equities, LP · CIK 0001629222 · 10% owner

MP 13 Ventures, LLC · CIK 0001629186 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 8,383,414

F1 · price: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio.

F3 · ownership.nature: Shares held by NantBio, Inc. ("NantBio"). NantWorks, LLC ("NantWorks") is the majority stockholder and an affiliate of NantBio and may be deemed to have beneficial ownership of the shares held by NantBio. The reporting person is the chief executive officer of NantWorks and indirectly beneficially owns all of the equity interests in NantWorks and may be deemed to have voting and dispositive power over the shares held by NantBio.

SEC source: 0001209191-21-020020 · doc4.xml · nonDerivative · entry 2

SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner

Cambridge Equities, LP · CIK 0001629222 · 10% owner

MP 13 Ventures, LLC · CIK 0001629186 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 261,705,814

F1 · price: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio.

F2 · ownership.nature: Shares held by Cambridge Equities, LP ("Cambridge Equities"). MP 13 Ventures, LLC ("MP 13 Ventures") is the general partner of Cambridge Equities and may be deemed to have beneficial ownership of the shares held by Cambridge Equities. The reporting person is the sole member of MP 13 Ventures and has voting and dispositive power over the shares held by Cambridge Equities.

SEC source: 0001209191-21-020020 · doc4.xml · nonDerivative · entry 1

SOON-SHIONG PATRICK · CIK 0001189020 · Director · Executive Chairman · 10% owner

Cambridge Equities, LP · CIK 0001629222 · 10% owner

MP 13 Ventures, LLC · CIK 0001629186 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,473,932

F1 · price: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio.

SEC source: 0001209191-21-026746 · doc4.xml · derivative · entry 1

Adcock Richard · CIK 0001830328 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,420

Underlying: Common Stock · 172,420 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of ImmunityBio, Inc. common stock.

F2 · kind: Upon the terms and subject to the conditions set forth in the Agreement and Plan of Merger, dated as of December 21, 2020, by and among NantKwest. Inc. ("NantKwest"), Nectarine Merger Sub, Inc., a wholly owned subsidiary of NantKwest ("Merger Sub"), and ImmunityBio, Inc. ("ImmunityBio"), Merger Sub merged with and into ImmunityBio, with ImmunityBio surviving as a wholly owned subsidiary of NantKwest and was renamed NantCell, Inc. Following the completion of the merger, NantKwest was renamed ImmunityBio, Inc. In the merger, NantKwest issued to the stockholders of ImmunityBio 0.8190 of a share of its common stock, par value $0.0001 per share, for each outstanding share of ImmunityBio common stock, and the derivative securities of ImmunityBio were also correspondingly converted to derivatives of NantKwest at the same ratio.

F3 · derivative.exercise_date: Five percent (5%) of the 172,420 RSUs (rounded down to the nearest whole share) will vest on September 9, 2021; five percent (5%) of the RSUs (rounded down to the nearest whole share) will vest on the earlier of (A) December 31, 2022 and (B) the 60th day following approval by the Food and Drug Administration (FDA) of a biologics license application (BLA) or equivalent application for approval of Anktiva for use in the treatment of non-muscle invasive bladder cancer; twenty percent (20%) of the RSUs (rounded down to the nearest whole share) will vest on December 31, 2023; twenty percent (20%) of the RSUs (rounded down to the nearest whole share) will vest on December 31, 2024; twenty percent (20%) of the RSUs (rounded down to the nearest whole share) will vest on December 31, 2025; and the remaining RSUs will vest on December 31, 2026.

F3 · derivative.expiration_date: Five percent (5%) of the 172,420 RSUs (rounded down to the nearest whole share) will vest on September 9, 2021; five percent (5%) of the RSUs (rounded down to the nearest whole share) will vest on the earlier of (A) December 31, 2022 and (B) the 60th day following approval by the Food and Drug Administration (FDA) of a biologics license application (BLA) or equivalent application for approval of Anktiva for use in the treatment of non-muscle invasive bladder cancer; twenty percent (20%) of the RSUs (rounded down to the nearest whole share) will vest on December 31, 2023; twenty percent (20%) of the RSUs (rounded down to the nearest whole share) will vest on December 31, 2024; twenty percent (20%) of the RSUs (rounded down to the nearest whole share) will vest on December 31, 2025; and the remaining RSUs will vest on December 31, 2026.

SEC source: 0001326110-22-000004 · wf-form5_164340534436499.xml · nonDerivative · entry 1

Thomas John C · CIK 0001424620 · Former Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,477

SEC source: 0001209191-21-008510 · doc4.xml · derivative · entry 3

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,020

Underlying: Common Stock · 22,100 shares

Expires 2025-02-16

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.

F3 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is January 16, 2015.

SEC source: 0001209191-21-008510 · doc4.xml · nonDerivative · entry 2

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,170,540

F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019.

F2 · price: Represents the weighted average share price of an aggregate total of 22,100 shares sold in the price range of $23.00 to $23.315 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-21-008510 · doc4.xml · nonDerivative · entry 1

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,192,640

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.

SEC source: 0001209191-21-009135 · doc4.xml · derivative · entry 6

Adcock Richard · CIK 0001830328 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,000 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: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock.

F4 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the RSU award shall vest on the date of grant.

F4 · derivative.expiration_date: One hundred percent (100%) of the shares subject to the RSU award shall vest on the date of grant.

SEC source: 0001209191-21-009135 · doc4.xml · derivative · entry 5

Adcock Richard · CIK 0001830328 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock.

F4 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the RSU award shall vest on the date of grant.

F4 · derivative.expiration_date: One hundred percent (100%) of the shares subject to the RSU award shall vest on the date of grant.

SEC source: 0001209191-21-009135 · doc4.xml · derivative · entry 4

Adcock Richard · CIK 0001830328 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock.

F3 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the Amended and Restated 2015 Equity Incentive Plan) through each applicable vesting date, 83,333 of the shares subject to the RSU award shall vest in equal annual installments on each of the first and second anniversaries of the vesting commencement date and 83,334 of the shares shall vest on the third anniversary of the vesting commencement date, such that all shares shall be fully vested on the third anniversary of the vesting commencement date. The vesting commencement date for this RSU award is February 5, 2021.

F3 · derivative.expiration_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the Amended and Restated 2015 Equity Incentive Plan) through each applicable vesting date, 83,333 of the shares subject to the RSU award shall vest in equal annual installments on each of the first and second anniversaries of the vesting commencement date and 83,334 of the shares shall vest on the third anniversary of the vesting commencement date, such that all shares shall be fully vested on the third anniversary of the vesting commencement date. The vesting commencement date for this RSU award is February 5, 2021.

SEC source: 0001209191-21-009135 · doc4.xml · derivative · entry 3

Adcock Richard · CIK 0001830328 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,000

Underlying: Common Stock · 750,000 shares

Expires 2031-02-05

F2 · derivative.exercise_date: Subject to the reporting person's continuing to be a Service Provider (as defined in the Amended and Restated 2015 Equity Incentive Plan) through each applicable vesting date, one-third (1/3rd) of the shares subject to the option shall vest in equal annual installments on each of the first, second and third anniversaries of the vesting commencement date, such that all shares shall be fully vested on the third anniversary of the vesting commencement date. The vesting commencement date for this option is February 5, 2021.

SEC source: 0001209191-21-009135 · doc4.xml · nonDerivative · entry 2

Adcock Richard · CIK 0001830328 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,829

SEC source: 0001209191-21-009135 · doc4.xml · nonDerivative · entry 1

Adcock Richard · CIK 0001830328 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

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 · security: Each restricted stock unit ("RSU") represents a contingent right to receive one share of NantKwest, Inc. common stock.

SEC source: 0001209191-21-007873 · doc4.xml · derivative · entry 3

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,120

Underlying: Common Stock · 82,070 shares

Expires 2025-02-16

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.

F3 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is January 16, 2015.

SEC source: 0001209191-21-007873 · doc4.xml · nonDerivative · entry 2

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,170,540

F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019.

F2 · price: Represents the weighted average share price of an aggregate total of 82,070 shares sold in the price range of $20.50 to $20.98 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-21-007873 · doc4.xml · nonDerivative · entry 1

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,252,610

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.

SEC source: 0001209191-21-006310 · doc4.xml · derivative · entry 6

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,190

Underlying: Common Stock · 11,304 shares

Expires 2025-02-16

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.

F4 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is January 16, 2015.

SEC source: 0001209191-21-006310 · doc4.xml · nonDerivative · entry 4

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,170,540

F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019.

F3 · price: Represents the weighted average share price of an aggregate total of 11,304 shares sold in the price range of $20.50 to $20.75 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-21-006310 · doc4.xml · nonDerivative · entry 3

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,181,844

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.

SEC source: 0001209191-21-006310 · doc4.xml · derivative · entry 5

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 225,494

Underlying: Common Stock · 36,626 shares

Expires 2025-02-16

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.

F4 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is January 16, 2015.

SEC source: 0001209191-21-006310 · doc4.xml · nonDerivative · entry 2

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,170,540

F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019.

F2 · price: Represents the weighted average share price of an aggregate total of 36,626 shares sold in the price range of $20.50 to $20.78 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-21-006310 · doc4.xml · nonDerivative · entry 1

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,207,166

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.

SEC source: 0001209191-21-003421 · doc4.xml · derivative · entry 3

Nelson Sonja · CIK 0001674905 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,907

Underlying: Common Stock · 11,364 shares

Expires 2028-08-27

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

F2 · derivative.exercise_date: Subject to the award recipient's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the option shall vest as follows: twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on August 27, 2019, and thereafter the remaining shares subject to the option shall vest and become exercisable in equal monthly installments over thirty six (36) months, such that the option will be fully vested and exercisable on August 27, 2022.

SEC source: 0001209191-21-003421 · doc4.xml · nonDerivative · entry 2

Nelson Sonja · CIK 0001674905 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,410

F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on September 4, 2020.

SEC source: 0001209191-21-003421 · doc4.xml · nonDerivative · entry 1

Nelson Sonja · CIK 0001674905 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,774

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.

SEC source: 0001209191-21-002393 · doc4.xml · derivative · entry 3

Nelson Sonja · CIK 0001674905 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,271

Underlying: Common Stock · 22,729 shares

Expires 2028-08-27

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.

F3 · derivative.exercise_date: Subject to the award recipient's continuing to be a Service Provider (as defined in the 2015 Equity Incentive Plan) through each applicable vesting date, the option shall vest as follows: twenty five percent (25%) of the shares subject to the option shall vest and become exercisable on August 27, 2019, and thereafter the remaining shares subject to the option shall vest and become exercisable in equal monthly installments over thirty six (36) months, such that the option will be fully vested and exercisable on August 27, 2022.

SEC source: 0001209191-21-002393 · doc4.xml · nonDerivative · entry 2

Nelson Sonja · CIK 0001674905 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,410

F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on September 4, 2020.

F2 · price: Represents the weighted average share price of an aggregate total of 39,271 shares sold in the price range of $13.31 to $14.015 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-21-002393 · doc4.xml · nonDerivative · entry 1

Nelson Sonja · CIK 0001674905 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,681

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.

SEC source: 0001209191-20-065246 · doc4.xml · derivative · entry 3

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,120

Underlying: Common Stock · 130,000 shares

Expires 2025-02-16

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.

F3 · derivative.exercise_date: Subject to the reporting person's continuing service, one twenty-fourth (1/24th) of the shares subject to the option shall vest each month on the same day as the vesting commencement date, such that the shares subject to the option shall become fully vested and exercisable on the second (2nd) anniversary of the vesting commencement date. The vesting commencement date for this option is January 16, 2015.

SEC source: 0001209191-20-065246 · doc4.xml · nonDerivative · entry 2

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,170,540

F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on December 12, 2019.

F2 · price: Represents the weighted average share price of an aggregate total of 130,000 shares sold in the price range of $18.00 to $18.245 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-20-065246 · doc4.xml · nonDerivative · entry 1

Simon Barry J. · CIK 0001647994 · Director · See remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,300,540

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.

SEC source: 0001209191-20-062936 · doc4.xml · nonDerivative · entry 1

Thomas John C · CIK 0001424620 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,477

F1 · kind: The sale of shares reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person on September 10, 2020.

F2 · price: Represents the weighted average share price of an aggregate total of 42,592 shares sold in the price range of $10.17 to $11.14 by the reporting person. The reporting person undertakes to provide upon request by the Commission staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-20-047941 · doc4.xml · nonDerivative · entry 1

Thomas John C · CIK 0001424620 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,069

F1 · kind: Sales made in order to satisfy tax payments paid, accrued and/or owed by the reporting person.

SEC source: 0001209191-20-046677 · doc4.xml · nonDerivative · entry 4

Thomas John C · CIK 0001424620 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,069

F1 · kind: Sales made in order to satisfy tax payments paid, accrued and/or owed by the reporting person.

SEC source: 0001209191-20-046677 · doc4.xml · nonDerivative · entry 3

Thomas John C · CIK 0001424620 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,069

F1 · kind: Sales made in order to satisfy tax payments paid, accrued and/or owed by the reporting person.