IOVA

SEC source: 0001144204-19-030596 · tv523381_4.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2029-06-09

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 17,500 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service, unless the Reporting Person is terminated for cause, in which case the options shall terminate immediately.

SEC source: 0001144204-19-030595 · tv523380_4.xml · derivative · entry 1

Maynard Ryan D · CIK 0001363984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-06-09

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service, unless the Reporting Person is terminated for cause, in which case the options shall terminate immediately.

SEC source: 0001144204-19-030597 · tv523382_4.xml · derivative · entry 1

WEISER MICHAEL · CIK 0001221449 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2029-06-09

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 12,500 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service, unless the Reporting Person is terminated for cause, in which case the options shall terminate immediately.

SEC source: 0001144204-19-030593 · tv523378_4.xml · derivative · entry 1

Countouriotis Athena · CIK 0001571469 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2029-06-09

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service, unless the Reporting Person is terminated for cause, in which case the options shall terminate immediately.

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 26

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,187

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 25

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,508

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 24

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,829

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001144204-19-012580 · tv515608_4.xml · derivative · entry 1

Vogt Frederick G · CIK 0001719678 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common stock · 200,000 shares

Expires 2019-03-04

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of the 200,000 shares shall vest on the one-year anniversary of March 4, 2019; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of March 4, 2019.

SEC source: 0001144204-19-012579 · tv515607_4.xml · derivative · entry 1

MORRIS TIMOTHY E · CIK 0001191286 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common stock · 100,000 shares

Expires 2019-03-04

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of the 100,000 shares shall vest on the one-year anniversary of March 4, 2019; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of March 4, 2019.

SEC source: 0001144204-19-012581 · tv515609_4.xml · derivative · entry 1

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common stock · 400,000 shares

Expires 2019-03-04

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of the 400,000 shares shall vest on the one-year anniversary of March 4, 2019; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of March 4, 2019.

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 23

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,150

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 22

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,448

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 21

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,010

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001144204-18-065763 · tv509621_form4.xml · nonDerivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

SEC source: 0001144204-18-064687 · tv509162_4.xml · nonDerivative · entry 1

MCPEAK MERRILL A · CIK 0001210317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 456,583

SEC source: 0001144204-18-063613 · tv508656_4.xml · nonDerivative · entry 2

Rothbaum Wayne P. · CIK 0001423102 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Quogue Capital LLC

Disclosed balance after: 7,067,333

F2 · price: The price reported in Column 4 is an average price. These shares were purchased by Quogue Capital LLC in multiple transactions at prices ranging from $9.40 to $10.07, inclusive.

F3 · balance_after: The reporting person is the managing member of Quogue Capital LLC and so may be deemed to beneficially own such shares of common stock. The numbers reported in column 6 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock held by Quogue Capital LLC.

F3 · ownership.nature: The reporting person is the managing member of Quogue Capital LLC and so may be deemed to beneficially own such shares of common stock. The numbers reported in column 6 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock held by Quogue Capital LLC.

SEC source: 0001144204-18-063613 · tv508656_4.xml · nonDerivative · entry 1

Rothbaum Wayne P. · CIK 0001423102 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Quogue Capital LLC

Disclosed balance after: 6,767,333

F1 · price: The price reported in Column 4 is an average price. These shares were purchased by Quogue Capital LLC in multiple transactions at prices ranging from $9.88 to $10.51, inclusive. The reporting person undertakes to provide to Iovance Biotherapeutics, Inc., the staff of the Securities and Exchange Commission, and others pursuant to applicable securities laws, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnotes (1) and (2) to this Form 4.

F3 · balance_after: The reporting person is the managing member of Quogue Capital LLC and so may be deemed to beneficially own such shares of common stock. The numbers reported in column 6 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock held by Quogue Capital LLC.

F3 · ownership.nature: The reporting person is the managing member of Quogue Capital LLC and so may be deemed to beneficially own such shares of common stock. The numbers reported in column 6 exclude 1,932,667 shares of common stock underlying 1,932,667 shares of Series B Preferred Stock held by Quogue Capital LLC.

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 20

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,572

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 19

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 327,893

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 18

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329,214

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 17

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330,535

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 16

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,856

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001250853-18-000103 · primary_doc.xml · derivative · entry 1

WEISER MICHAEL · CIK 0001221449 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2028-07-16

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service, unless the Reporting Person is terminated for cause, in which case the options shall terminate immediately.

SEC source: 0001250853-18-000102 · primary_doc.xml · derivative · entry 1

MCPEAK MERRILL A · CIK 0001210317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2028-07-16

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service, unless the Reporting Person is terminated for cause, in which case the options shall terminate immediately.

SEC source: 0001250853-18-000101 · primary_doc.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2028-07-16

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 17,500 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service, unless the Reporting Person is terminated for cause, in which case the options shall terminate immediately.

SEC source: 0001250853-18-000100 · primary_doc.xml · derivative · entry 1

Maynard Ryan D · CIK 0001363984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2028-07-16

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service, unless the Reporting Person is terminated for cause, in which case the options shall terminate immediately.

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 15

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,177

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 14

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 334,498

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 13

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,819

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 12

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,140

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001250853-18-000043 · primary_doc.xml · derivative · entry 1

WEISER MICHAEL · CIK 0001221449 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2028-03-14

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 12,500 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service unless the Reporting Person is terminated for cause, in which case the options are terminated.

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 11

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,461

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001250853-18-000038 · primary_doc.xml · derivative · entry 1

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2028-02-08

F1 · derivative.exercise_date: Provided the Reporting Person is employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of 166,672 shares shall vest on February 9, 2019; and (ii) the remaining stock options shall vest as to 41,666 shares in eight quarterly installments over the two years following February 9, 2019.

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 10

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,782

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 9

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341,307

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001250853-18-000014 · primary_doc.xml · derivative · entry 1

Vogt Frederick G · CIK 0001719678 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,400

Underlying: Common Stock · 37,400 shares

Expires 2027-12-28

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of the 37,400 shares shall vest on the one-year anniversary of December 29, 2017; and (ii) the remaining options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of December 29, 2017.

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 8

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342,869

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 7

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 344,863

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 6

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 346,857

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001250853-17-000081 · primary_doc.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2027-09-07

F1 · derivative.exercise_date: The options are exercisable and vest quarterly over a three-year period, with 1/12th of the shares having vested on the date of grant. Vesting will accelerate and the entire option will become fully vested upon a significant licensing transaction, a material product acquisition, or a change of control transaction.

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 5

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,850

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001250853-17-000073 · primary_doc.xml · derivative · entry 1

MORRIS TIMOTHY E · CIK 0001191286 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2027-08-13

F1 · derivative.exercise_date: Provided the Reporting Person is still employed with the Issuer on the following dates, the options are exercisable as follows: (i) options for the purchase of one-third of the 250,000 shares shall vest on the one-year anniversary of August 14, 2017; and (ii) the remaining options shall vest as to one-twelfth of 250,000 shares at the end of each quarter over the next two years, commencing with the first quarter following the first anniversary of August 14, 2017.

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 4

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 350,844

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 3

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 352,837

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").

SEC source: 0001250853-17-000053 · primary_doc.xml · derivative · entry 1

Dukes Iain D. · CIK 0001681955 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2027-05-31

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 17,500 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service unless the Reporting Person is terminated for cause, in which case the options are terminated.

SEC source: 0001250853-17-000052 · primary_doc.xml · derivative · entry 1

MCPEAK MERRILL A · CIK 0001210317 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2027-05-31

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service unless the Reporting Person is terminated for cause, in which case the options are terminated.

SEC source: 0001250853-17-000051 · primary_doc.xml · derivative · entry 1

Maynard Ryan D · CIK 0001363984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2027-05-31

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service unless the Reporting Person is terminated for cause, in which case the options are terminated.

SEC source: 0001250853-17-000050 · primary_doc.xml · derivative · entry 1

Hillsberg Sanford · CIK 0001297696 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2027-05-31

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service unless the Reporting Person is terminated for cause, in which case the options are terminated.

SEC source: 0001250853-17-000049 · primary_doc.xml · derivative · entry 1

Venkatesan Jay · CIK 0001413350 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2027-05-31

F1 · derivative.exercise_date: These options are exercisable in four equal quarterly installments of 8,750 each following the date of grant. If the Reporting Person's service to the Issuer terminates before the expiration date, the option shares will be exercisable for two years following termination of service unless the Reporting Person is terminated for cause, in which case the options are terminated.

SEC source: 0001104659-19-070006 · tm1924459d1_4.xml · nonDerivative · entry 2

Fardis Maria · CIK 0001559231 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,831

F1 · shares: Exempt transaction pursuant to Section 16(b) and the rules thereunder. All of the shares reported as disposed of in this Form 4 were automatically withheld by the Issuer in accordance with the terms of the grant of the Restricted Stock Units ("RSUs") dated June 1, 2016, to satisfy federal and state tax withholding and payment obligations resulting from the vesting and settlement of RSUs. The Reporting Person did not receive or sell any of the shares reported on this Form 4 item; these shares were withheld and subsequently canceled by the Issuer in accordance with the foregoing. The grant of the RSUs was previously reported in Table I of the Reporting Person's initial Form 4 reporting the acquisition of common stock pursuant to the June 1, 2016 grant.

F2 · balance_after: Shares reported include unvested Restricted Stock Units ("RSUs").