INVA

SEC source: 0001567619-21-016263 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,364

F1 · acquired: The Form 4 of the Reporting Person filed with the Securities and Exchange Commission on August 23, 2021 inadvertently indicated in Column 4 of Table I that the sale by the Reporting Person of 1,129 shares of Common Stock of the Issuer on August 20, 2021 was an acquisition "(A)" rather than a disposition "(D)". For the avoidance of doubt, such sale transaction was a disposition "(D)".

SEC source: 0001567619-21-016236 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,493

SEC source: 0001567619-21-011167 · doc1.xml · nonDerivative · entry 2

Bickerstaff George · CIK 0001329646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,560

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $13.24 to $13.54, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001567619-21-011167 · doc1.xml · nonDerivative · entry 1

Bickerstaff George · CIK 0001329646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,560

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $12.9650 to $12.9670, inclusive. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer full information regarding the number of shares purchased at each separate price.

SEC source: 0001567619-21-011166 · doc1.xml · derivative · entry 2

Raifeld Pavel · CIK 0001813426 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,000

Underlying: Common Stock · 100,000 shares

Expires 2031-05-21

F2 · derivative.exercise_date: 25% of the options will vest on May 20, 2022 and the balance will vest in twelve (12) substantially equal installments thereafter on each three (3) month anniversary of the initial vesting date, in each case, subject to Mr. Raifeld's continuous service through the applicable vesting date, with accelerated vesting in the event of a "change in control" (as defined in the Issuer's 2012 Equity Incentive Plan) or in the event that Mr. Raifeld experiences an "involuntary termination" (as defined in Mr. Raifeld's option agreement) within 24 months following a "change in control."

SEC source: 0001567619-21-011058 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,295

F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.

F2 · balance_after: Includes 1,655 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan on May 15, 2021.

SEC source: 0001387131-21-006039 · inva-form4_052021.xml · nonDerivative · entry 1

GLAXOSMITHKLINE PLC · CIK 0001131399 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 0

F1 · date: Common stock sold pursuant to a share repurchase agreement by and between Glaxo Group Limited ("GGL"), an indirect wholly owned subsidiary of the Reporting Person, and Innoviva, Inc. (the "Issuer") dated as of May 20, 2021.

F1 · shares: Common stock sold pursuant to a share repurchase agreement by and between Glaxo Group Limited ("GGL"), an indirect wholly owned subsidiary of the Reporting Person, and Innoviva, Inc. (the "Issuer") dated as of May 20, 2021.

F2 · ownership.nature: Common Stock was held of record by GGL, an indirect wholly owned subsidiary of the Reporting Person.

SEC source: 0001567619-21-010831 · doc1.xml · nonDerivative · entry 1

Haimovitz Jules · CIK 0001340855 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,764

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs") upon the conclusion of the Issuer's 2021 annual meeting of stockholders. 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-21-010830 · doc1.xml · nonDerivative · entry 1

Bickerstaff George · CIK 0001329646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,560

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs") upon the conclusion of the Issuer's 2021 annual meeting of stockholders. 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-21-010829 · doc1.xml · nonDerivative · entry 1

Odysseas Kostas D · CIK 0001483080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,560

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs") upon the conclusion of the Issuer's 2021 annual meeting of stockholders. 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-21-010828 · doc1.xml · nonDerivative · entry 1

DiPaolo Mark · CIK 0001669816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,564

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs") upon the conclusion of the Issuer's 2021 annual meeting of stockholders. 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-21-010827 · doc1.xml · nonDerivative · entry 1

Schlesinger Sarah J. · CIK 0001579873 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,564

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs") upon the conclusion of the Issuer's 2021 annual meeting of stockholders. 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-21-010826 · doc1.xml · nonDerivative · entry 1

Birx Deborah · CIK 0001849673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,842

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs") upon the conclusion of the Issuer's 2021 annual meeting of stockholders. 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-21-007207 · doc1.xml · derivative · entry 2

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2031-03-29

F2 · derivative.exercise_date: The Reporting Person was granted options. Twenty-five percent of the options shall vest on February 20, 2022, 6.25% on May 20, 2022, and an additional 6.25% on the final day of each 3-month period thereafter, provided the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The grant was approved by the Compensation Committee of the Board of Directors of the Company.

SEC source: 0001567619-21-007207 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,399

F1 · shares: The Reporting Person was granted a time-based restricted stock award ("RSA"). Twenty-five percent of the shares subject to the RSA shall vest on February 20, 2022, 6.25% on May 20, 2022, and an additional 6.25% on the final day of each 3-month period thereafter, provided the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The grant was approved by the Compensation Committee of the Board of Directors of the Company.

SEC source: 0001567619-21-007206 · doc1.xml · nonDerivative · entry 1

Birx Deborah · CIK 0001849673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,360

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or March 9, 2022, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-21-006868 · doc1.xml · derivative · entry 1

Birx Deborah · CIK 0001849673 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,748

Underlying: Common Stock · 10,748 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive, following vesting, one share of Common Stock.

F2 · derivative.exercise_date: One-half of the restricted stock units will vest on March 9, 2022, and the remainder will vest on March 9, 2023.

F2 · derivative.expiration_date: One-half of the restricted stock units will vest on March 9, 2022, and the remainder will vest on March 9, 2023.

SEC source: 0001567619-21-004617 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,094

F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.

SEC source: 0001567619-20-020225 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,202

F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.

F2 · balance_after: Includes 757 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan (ESPP) on November 15, 2020.

SEC source: 0001567619-20-015897 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,243

F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.

SEC source: 0001567619-20-011002 · doc1.xml · nonDerivative · entry 1

HULME GEOFFREY · CIK 0001307047 · Interim Principal Exec Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,251

F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.

F2 · balance_after: Includes 1,121 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan (ESPP) on May 15, 2020.

SEC source: 0001567619-20-011000 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,040

F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.

F2 · balance_after: Includes 1,252 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan (ESPP) on May 15, 2020.

SEC source: 0001567619-20-008542 · doc1.xml · nonDerivative · entry 1

Schlesinger Sarah J. · CIK 0001579873 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,082

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-20-008547 · doc1.xml · nonDerivative · entry 1

Odysseas Kostas D · CIK 0001483080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,078

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-20-008545 · doc1.xml · nonDerivative · entry 1

Bickerstaff George · CIK 0001329646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,078

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-20-008544 · doc1.xml · nonDerivative · entry 1

Haimovitz Jules · CIK 0001340855 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,282

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-20-008543 · doc1.xml · nonDerivative · entry 1

DiPaolo Mark · CIK 0001669816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,082

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-20-004695 · doc1.xml · nonDerivative · entry 2

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,913

F2 · shares: This sale was effected for tax planning purposes.

SEC source: 0001567619-20-004698 · doc1.xml · nonDerivative · entry 1

HULME GEOFFREY · CIK 0001307047 · Interim Principal Exec Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,735

F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.

F2 · balance_after: Includes 284 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan (ESPP) on November 15, 2019.

SEC source: 0001567619-20-004695 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,867

F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.

SEC source: 0001567619-20-004808 · doc1.xml · nonDerivative · entry 1

HULME GEOFFREY · CIK 0001307047 · Interim Principal Exec Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,469

F1 · shares: The form inadvertently omitted that the Reporting Person was granted a time-based restricted stock unit award ("RSA"). Twenty-five percent of the shares subject to the RSA shall vest on February 20, 2021, 6.25% on May 20, 2021, and an additional 6.25% on the final day of each 3-month period thereafter, provided the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The grant was approved in advance by the Compensation Committee of the Board of Directors of the Company.

SEC source: 0001567619-20-004807 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,654

F1 · shares: The form inadvertently omitted that the Reporting Person was granted a time-based restricted stock unit award ("RSA"). Twenty-five percent of the shares subject to the RSA shall vest on February 20, 2021, 6.25% on May 20, 2021, and an additional 6.25% on the final day of each 3-month period thereafter, provided the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The grant was approved in advance by the Compensation Committee of the Board of Directors of the Company.

SEC source: 0001567619-19-022045 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,940

F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.

SEC source: 0001567619-19-018002 · doc1.xml · nonDerivative · entry 1

HULME GEOFFREY · CIK 0001307047 · Interim PEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

F1 · balance_after: Includes 416 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan (ESPP) on May 15, 2019.

SEC source: 0001567619-19-017438 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,542

F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.

SEC source: 0001567619-19-012022 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,142

F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.

F2 · balance_after: Includes 1,925 shares of common stock acquired under the Innoviva, Inc. Employee Stock Purchase Plan on May 15, 2019.

SEC source: 0001104659-19-031864 · a4.xml · nonDerivative · entry 1

Haimovitz Jules · CIK 0001340855 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,365

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001104659-19-031860 · a4.xml · nonDerivative · entry 1

Bickerstaff George · CIK 0001329646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,161

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001104659-19-031862 · a4.xml · nonDerivative · entry 1

Odysseas Kostas D · CIK 0001483080 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,161

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001104659-19-031863 · a4.xml · nonDerivative · entry 1

DiPaolo Mark · CIK 0001669816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,165

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001104659-19-031861 · a4.xml · nonDerivative · entry 1

Schlesinger Sarah J. · CIK 0001579873 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,165

F1 · shares: The Reporting Person was granted restricted stock units ("RSUs"). 100% of the RSUs will vest at the sooner of the next annual stockholder meeting or the one-year anniversary of grant, subject to the Reporting Person's continuous service as an Outside Director through the applicable vesting date.

SEC source: 0001567619-19-006226 · doc1.xml · nonDerivative · entry 1

HULME GEOFFREY · CIK 0001307047 · Interim PEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,584

F1 · shares: The Reporting Person was granted a time-based restricted stock unit award ("RSA"). Twenty-five percent of the shares subject to the RSA shall vest on February 20, 2020, 6.25% on May 20, 2020, and an additional 6.25% on the final day of each 3-month period thereafter, provided the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The grant was approved in advance by the Compensation Committee of the Board of Directors of the Company.

SEC source: 0001567619-19-006227 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,818

F1 · shares: The Reporting Person was granted a time-based restricted stock unit award ("RSA"). Twenty-five percent of the shares subject to the RSA shall vest on February 20, 2020, 6.25% on May 20, 2020, and an additional 6.25% on the final day of each 3-month period thereafter, provided the Reporting Person has provided continuous service to the Issuer through the applicable vesting date. The grant was approved in advance by the Compensation Committee of the Board of Directors of the Company.

SEC source: 0001567619-19-005602 · doc1.xml · nonDerivative · entry 1

Bickerstaff George · CIK 0001329646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,762

SEC source: 0001567619-19-005601 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,664

SEC source: 0001567619-19-005282 · doc1.xml · nonDerivative · entry 1

Bickerstaff George · CIK 0001329646 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,762

SEC source: 0001567619-19-005283 · doc1.xml · nonDerivative · entry 1

Zhen Marianne · CIK 0001750085 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,281

F1 · shares: The shares were withheld by the Issuer to satisfy income tax withholding obligations associated with the quarterly vesting of previously granted employee equity grants.

SEC source: 0001567619-19-004979 · doc1.xml · nonDerivative · entry 2

HULME GEOFFREY · CIK 0001307047 · Interim PEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

SEC source: 0001567619-19-005281 · doc1.xml · nonDerivative · entry 1

HULME GEOFFREY · CIK 0001307047 · Interim PEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,907

F1 · shares: The form is being amended to reflect granted shares withheld by the Issuer to satisfy income tax withholding obligations incurred in connection with the grant of the restricted stock award described in the original filing.

SEC source: 0001567619-19-004979 · doc1.xml · nonDerivative · entry 1

HULME GEOFFREY · CIK 0001307047 · Interim PEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000