LSCC

SEC source: 0000855658-20-000140 · edgardoc.xml · derivative · entry 5

Douglass Stephen · CIK 0001752584 · VP Corp, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,406

Underlying: Common Stock · 61,538 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.

F4 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a right to receive one share of the Issuers common shares without payment of specific consideration.

F5 · derivative.expiration_date: Not applicable.

SEC source: 0000855658-20-000140 · edgardoc.xml · nonDerivative · entry 4

Douglass Stephen · CIK 0001752584 · VP Corp, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,222

F2 · kind: These shares were retained by the Issuer in order to meet the tax withholding obligations of the Reporting Person in connection with the vesting of an installment of the restricted stock units. The amount retained by the Issuer was not in excess of the amount of the tax liability.

SEC source: 0000855658-20-000140 · edgardoc.xml · nonDerivative · entry 3

Douglass Stephen · CIK 0001752584 · VP Corp, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,733

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 · shares: Represents shares earned with respect to performance restricted stock units (PRSUs)based on the achievement by Lattice Semiconductor of certain performance targets for the period September 4, 2019 to September 3, 2020.

F1 · price: Restricted Stock Units - no purchase price for this transaction.

SEC source: 0000855658-20-000140 · edgardoc.xml · nonDerivative · entry 2

Douglass Stephen · CIK 0001752584 · VP Corp, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,195

F2 · kind: These shares were retained by the Issuer in order to meet the tax withholding obligations of the Reporting Person in connection with the vesting of an installment of the restricted stock units. The amount retained by the Issuer was not in excess of the amount of the tax liability.

SEC source: 0000855658-20-000140 · edgardoc.xml · nonDerivative · entry 1

Douglass Stephen · CIK 0001752584 · VP Corp, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,200

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

F1 · price: Restricted Stock Units - no purchase price for this transaction.

SEC source: 0000855658-20-000135 · edgardoc.xml · derivative · entry 3

BOURGOIN JOHN · CIK 0001103954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 15,000 shares

Expires 2021-09-01

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: This option to purchase shares of common stock vests as follows: one-third of the total number of shares subject to the option shall vest on each of the first three anniversaries of the grant date.

SEC source: 0000855658-20-000135 · edgardoc.xml · nonDerivative · entry 2

BOURGOIN JOHN · CIK 0001103954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,810

F1 · kind: The transaction indicated was conducted under an approved 10b5-1 Plan.

F2 · price: The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $28.59 to $29.37.

SEC source: 0000855658-20-000135 · edgardoc.xml · nonDerivative · entry 1

BOURGOIN JOHN · CIK 0001103954 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,475

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: 0000855658-20-000134 · edgardoc.xml · derivative · entry 4

ABRAMS ROBIN ANN · CIK 0001282677 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,000

Underlying: Common Stock · 30,000 shares

Expires 2021-09-01

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: This option to purchase shares of common stock vests as follows: one-third of the total number of shares subject to the option shall vest on each of the first three anniversaries of the grant date.

SEC source: 0000855658-20-000134 · edgardoc.xml · nonDerivative · entry 3

ABRAMS ROBIN ANN · CIK 0001282677 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,385

F1 · kind: The transaction indicated was conducted under an approved 10b5-1 Plan.

F3 · price: The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $28.59 to $29.39.

SEC source: 0000855658-20-000134 · edgardoc.xml · nonDerivative · entry 2

ABRAMS ROBIN ANN · CIK 0001282677 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,885

F1 · kind: The transaction indicated was conducted under an approved 10b5-1 Plan.

F2 · price: The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $28.59 to $29.37.

SEC source: 0000855658-20-000134 · edgardoc.xml · nonDerivative · entry 1

ABRAMS ROBIN ANN · CIK 0001282677 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,384

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: 0000855658-20-000131 · edgardoc.xml · derivative · entry 4

RICHARDSON DAVID JEFFREY · CIK 0001329724 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,918

Underlying: Common Stock · 10,000 shares

Expires 2024-12-04

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: This option to purchase shares of common stock vests as follows: one-third of the total number of shares subject to the option shall vest on each of the first three anniversaries of the grant date.

SEC source: 0000855658-20-000131 · edgardoc.xml · nonDerivative · entry 3

RICHARDSON DAVID JEFFREY · CIK 0001329724 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,028

F2 · price: The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $28.89 to $29.12.

SEC source: 0000855658-20-000131 · edgardoc.xml · nonDerivative · entry 2

RICHARDSON DAVID JEFFREY · CIK 0001329724 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,028

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: 0000855658-20-000131 · edgardoc.xml · nonDerivative · entry 1

RICHARDSON DAVID JEFFREY · CIK 0001329724 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,028

F1 · price: The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $28.90 to $29.12.

SEC source: 0000855658-20-000129 · edgardoc.xml · nonDerivative · entry 1

Douglass Stephen · CIK 0001752584 · VP Corp, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,124

F1 · kind: The transaction indicated was conducted under an approved 10b5-1 Plan.

F2 · price: The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $31.12 to $31.66.

SEC source: 0000855658-20-000128 · edgardoc.xml · nonDerivative · entry 1

NELSON MARK JON · CIK 0001554623 · VP Corp, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,646

F1 · kind: The transaction indicated was conducted under an approved 10b5-1 Plan.

F2 · price: The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $31.12 to $31.66

SEC source: 0000855658-20-000117 · edgardoc.xml · nonDerivative · entry 6

Douglass Stephen · CIK 0001752584 · VP Corp, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,324

F3 · kind: The transaction indicated was conducted under an approved 10b5-1 Plan.

F5 · price: The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $31.04 to $31.39.

SEC source: 0000855658-20-000117 · edgardoc.xml · nonDerivative · entry 5

Douglass Stephen · CIK 0001752584 · VP Corp, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,346

F3 · kind: The transaction indicated was conducted under an approved 10b5-1 Plan.

F4 · price: The price indicated is the weighted average sale price for the shares sold. The individual sale prices for the shares indicated range from $30.81 to $31.35.

SEC source: 0000855658-20-000115 · edgardoc.xml · nonDerivative · entry 9

Milstead Byron Wayne · CIK 0001292289 · VP Corp, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 921

SEC source: 0000855658-20-000115 · edgardoc.xml · nonDerivative · entry 8

Milstead Byron Wayne · CIK 0001292289 · VP Corp, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,670

SEC source: 0000855658-20-000125 · edgardoc.xml · derivative · entry 6

ANDERSON JAMES ROBERT · CIK 0001644651 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 518,857

Underlying: Common Stock · 28,170 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.

F3 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a right to receive one share of the Issuers common shares without payment of specific consideration.

F6 · derivative.exercise_date: Grants of Restricted Stock Units (RSUs) vest as follows: 25% of the RSUs will vest on the first anniversary of the date of grant, and an additional 6.25% of the RSUs shall vest at the end of each three month period thereafter.

F5 · derivative.expiration_date: Not applicable.

SEC source: 0000855658-20-000125 · edgardoc.xml · derivative · entry 5

ANDERSON JAMES ROBERT · CIK 0001644651 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 551,355

Underlying: Common Stock · 93,898 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.

F3 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a right to receive one share of the Issuers common shares without payment of specific consideration.

F4 · derivative.exercise_date: Performance Restricted Stock Units (PRSUs) vest as follows: one-third of the PRSUs will vest on each anniversary of the date of grant, subject to the achievement of certain performance conditions.

F5 · derivative.expiration_date: Not applicable.

SEC source: 0000855658-20-000125 · edgardoc.xml · nonDerivative · entry 4

ANDERSON JAMES ROBERT · CIK 0001644651 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,764

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

F2 · price: Restricted Stock Units - no purchase price for this transaction.

SEC source: 0000855658-20-000125 · edgardoc.xml · nonDerivative · entry 3

ANDERSON JAMES ROBERT · CIK 0001644651 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 284,594

F1 · kind: These shares were retained by the Issuer in order to meet the tax withholding obligations of the Reporting Person in connection with the vesting of an installment of the restricted stock units. The amount retained by the Issuer was not in excess of the amount of the tax liability.

SEC source: 0000855658-20-000125 · edgardoc.xml · nonDerivative · entry 2

ANDERSON JAMES ROBERT · CIK 0001644651 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 334,032

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

F2 · price: Restricted Stock Units - no purchase price for this transaction.

SEC source: 0000855658-20-000125 · edgardoc.xml · nonDerivative · entry 1

ANDERSON JAMES ROBERT · CIK 0001644651 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,134

F1 · kind: These shares were retained by the Issuer in order to meet the tax withholding obligations of the Reporting Person in connection with the vesting of an installment of the restricted stock units. The amount retained by the Issuer was not in excess of the amount of the tax liability.

SEC source: 0000855658-20-000123 · edgardoc.xml · derivative · entry 6

Luther Sherri R · CIK 0001764515 · VP Corp, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,008

Underlying: Common Stock · 7,512 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.

F6 · derivative.exercise_price: Restricted Stock Units - no exercise price for this transaction.

F7 · derivative.exercise_date: Grants of Restricted Stock Units (RSUs) vest as follows: 25% of the RSUs will vest on the first anniversary of the date of grant, and an additional 6.25% of the RSUs shall vest at the end of each three month period thereafter.

F5 · derivative.expiration_date: Not applicable.

SEC source: 0000855658-20-000123 · edgardoc.xml · derivative · entry 5

Luther Sherri R · CIK 0001764515 · VP Corp, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,022

Underlying: Common Stock · 20,030 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.

F3 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a right to receive one share of the Issuers common shares without payment of specific consideration.

F4 · derivative.exercise_date: Performance Restricted Stock Units (PRSUs) vest as follows: one-third of the PRSUs will vest on each anniversary of the date of grant, subject to the achievement of certain performance conditions.

F5 · derivative.expiration_date: Not applicable.

SEC source: 0000855658-20-000123 · edgardoc.xml · nonDerivative · entry 4

Luther Sherri R · CIK 0001764515 · VP Corp, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,950

F2 · kind: These shares were retained by the Issuer in order to meet the tax withholding obligations of the Reporting Person in connection with the vesting of an installment of the restricted stock units. The amount retained by the Issuer was not in excess of the amount of the tax liability.

SEC source: 0000855658-20-000123 · edgardoc.xml · nonDerivative · entry 3

Luther Sherri R · CIK 0001764515 · VP Corp, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,881

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

F1 · price: Restricted Stock Units - no purchase price for this transaction.

SEC source: 0000855658-20-000123 · edgardoc.xml · nonDerivative · entry 2

Luther Sherri R · CIK 0001764515 · VP Corp, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,851

F2 · kind: These shares were retained by the Issuer in order to meet the tax withholding obligations of the Reporting Person in connection with the vesting of an installment of the restricted stock units. The amount retained by the Issuer was not in excess of the amount of the tax liability.

SEC source: 0000855658-20-000123 · edgardoc.xml · nonDerivative · entry 1

Luther Sherri R · CIK 0001764515 · VP Corp, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,576

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

F1 · price: Restricted Stock Units - no purchase price for this transaction.

SEC source: 0000855658-20-000121 · edgardoc.xml · derivative · entry 6

NELSON MARK JON · CIK 0001554623 · VP Corp, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,537

Underlying: Common Stock · 7,512 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.

F3 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a right to receive one share of the Issuers common shares without payment of specific consideration.

F6 · derivative.exercise_date: This grant of Restricted Stock Units (RSUs) vest as follows: 25% of the RSUs will vest upon the one-year anniversary of the grant date and an additional 6.25% of the RSUs vest each three months thereafter until 100% of the RSU grant is vested.

F5 · derivative.expiration_date: Not applicable.

SEC source: 0000855658-20-000121 · edgardoc.xml · derivative · entry 5

NELSON MARK JON · CIK 0001554623 · VP Corp, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,013

Underlying: Common Stock · 20,030 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.

F3 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a right to receive one share of the Issuers common shares without payment of specific consideration.

F4 · derivative.exercise_date: Performance Restricted Stock Units (PRSUs) vest as follows: one-third of the PRSUs will vest on each anniversary of the date of grant, subject to the achievement of certain performance conditions.

F5 · derivative.expiration_date: Not applicable.

SEC source: 0000855658-20-000121 · edgardoc.xml · nonDerivative · entry 4

NELSON MARK JON · CIK 0001554623 · VP Corp, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,084

F2 · kind: These shares were retained by the Issuer in order to meet the tax withholding obligations of the Reporting Person in connection with the vesting of an installment of the restricted stock units. The amount retained by the Issuer was not in excess of the amount of the tax liability.

SEC source: 0000855658-20-000121 · edgardoc.xml · nonDerivative · entry 3

NELSON MARK JON · CIK 0001554623 · VP Corp, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,015

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

F1 · price: Restricted Stock Units - no purchase price for this transaction.

SEC source: 0000855658-20-000121 · edgardoc.xml · nonDerivative · entry 2

NELSON MARK JON · CIK 0001554623 · VP Corp, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,985

F2 · kind: These shares were retained by the Issuer in order to meet the tax withholding obligations of the Reporting Person in connection with the vesting of an installment of the restricted stock units. The amount retained by the Issuer was not in excess of the amount of the tax liability.

SEC source: 0000855658-20-000121 · edgardoc.xml · nonDerivative · entry 1

NELSON MARK JON · CIK 0001554623 · VP Corp, Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,710

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

F1 · price: Restricted Stock Units - no purchase price for this transaction.

SEC source: 0000855658-20-000119 · edgardoc.xml · derivative · entry 6

Elashmawi Esam · CIK 0001756011 · VP Corp, Mktg & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,374

Underlying: Common Stock · 8,263 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.

F6 · derivative.exercise_price: Restricted Stock Units - no exercise price for this transaction.

F7 · derivative.exercise_date: Grants of Restricted Stock Units (RSUs) vest as follows: 25% of the RSUs will vest on the first anniversary of the date of grant, and an additional 6.25% of the RSUs shall vest at the end of each three month period thereafter.

F5 · derivative.expiration_date: Not applicable.

SEC source: 0000855658-20-000119 · edgardoc.xml · derivative · entry 5

Elashmawi Esam · CIK 0001756011 · VP Corp, Mktg & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,228

Underlying: Common Stock · 22,034 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.

F3 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a right to receive one share of the Issuers common shares without payment of specific consideration.

F4 · derivative.exercise_date: Performance Restricted Stock Units (PRSUs) vest as follows: one-third of the PRSUs will vest on each anniversary of the date of grant, subject to the achievement of certain performance conditions.

F5 · derivative.expiration_date: Not applicable.

SEC source: 0000855658-20-000119 · edgardoc.xml · nonDerivative · entry 4

Elashmawi Esam · CIK 0001756011 · VP Corp, Mktg & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,865

F2 · kind: These shares were retained by the Issuer in order to meet the tax withholding obligations of the Reporting Person in connection with the vesting of an installment of the restricted stock units. The amount retained by the Issuer was not in excess of the amount of the tax liability.

SEC source: 0000855658-20-000119 · edgardoc.xml · nonDerivative · entry 3

Elashmawi Esam · CIK 0001756011 · VP Corp, Mktg & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,350

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

F1 · price: Restricted Stock Units - no purchase price for this transaction.

SEC source: 0000855658-20-000119 · edgardoc.xml · nonDerivative · entry 2

Elashmawi Esam · CIK 0001756011 · VP Corp, Mktg & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,316

F2 · kind: These shares were retained by the Issuer in order to meet the tax withholding obligations of the Reporting Person in connection with the vesting of an installment of the restricted stock units. The amount retained by the Issuer was not in excess of the amount of the tax liability.

SEC source: 0000855658-20-000119 · edgardoc.xml · nonDerivative · entry 1

Elashmawi Esam · CIK 0001756011 · VP Corp, Mktg & Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,174

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

F1 · price: Restricted Stock Units - no purchase price for this transaction.

SEC source: 0000855658-20-000117 · edgardoc.xml · derivative · entry 8

Douglass Stephen · CIK 0001752584 · VP Corp, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,303

Underlying: Common Stock · 9,014 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.

F9 · derivative.exercise_price: Restricted Stock Units - no exercise price for this transaction.

F10 · derivative.exercise_date: Grants of Restricted Stock Units (RSUs) vest as follows: 25% of the RSUs will vest on the first anniversary of the date of grant, and an additional 6.25% of the RSUs shall vest at the end of each three month period thereafter.

F8 · derivative.expiration_date: Not applicable.

SEC source: 0000855658-20-000117 · edgardoc.xml · derivative · entry 7

Douglass Stephen · CIK 0001752584 · VP Corp, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,944

Underlying: Common Stock · 24,036 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.

F6 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a right to receive one share of the Issuers common shares without payment of specific consideration.

F7 · derivative.exercise_date: Performance Restricted Stock Units (PRSUs) vest as follows: one-third of the PRSUs will vest on each anniversary of the date of grant, subject to the achievement of certain performance conditions.

F8 · derivative.expiration_date: Not applicable.

SEC source: 0000855658-20-000117 · edgardoc.xml · nonDerivative · entry 4

Douglass Stephen · CIK 0001752584 · VP Corp, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,988

F2 · kind: These shares were retained by the Issuer in order to meet the tax withholding obligations of the Reporting Person in connection with the vesting of an installment of the restricted stock units. The amount retained by the Issuer was not in excess of the amount of the tax liability.

SEC source: 0000855658-20-000117 · edgardoc.xml · nonDerivative · entry 3

Douglass Stephen · CIK 0001752584 · VP Corp, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,521

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

F1 · price: Restricted Stock Units - no purchase price for this transaction.