NKTR

SEC source: 0001209191-17-061591 · doc4.xml · derivative · entry 3

Hora Maninder · CIK 0001443159 · SVP Pharma Dev & Mfg Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2024-12-12

F6 · security: These options, at the time of their grant were subject to both performance-based and time-based vesting requirements. On November 15, 2017, the performance-based condition vesting was satisfied. The time-based vesting is on a monthly pro-rata basis over a period of four years from the grant date (December 13, 2016).

F7 · date: These stock options were granted on December 13, 2016 and the performance-based vesting requirement for these stock options was satisfied on November 15, 2017 upon the Compensation Committee's certification of the successful acceptance of the New Drug Application by the FDA for Ciprofloxacin Dry Powder Inhalation (Cipro CPI).

F8 · derivative.exercise_date: This stock option vests on a monthly pro-rata basis over a period of four years from the grant date.

SEC source: 0001209191-17-061591 · doc4.xml · nonDerivative · entry 1

Hora Maninder · CIK 0001443159 · SVP Pharma Dev & Mfg Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,233

F1 · security: Represents restricted stock units ("RSUs"), convertible on a one-for-one basis into shares of Common Stock of the Company. These RSUs, at the time of their grant on December 13, 2016, were subject to both performance-based and time-based vesting requirements. On November 15, 2017, the performance-based condition vesting was satisfied. The time-based vesting is on a quarterly pro-rata basis over a period of three (3) years from the date of grant.

F2 · date: These restricted stock units ("RSUs") were granted on December 13, 2016 and the performance-based vesting requirement for these RSUs was satisfied on November 15, 2017 upon the Compensation Committee's certification of the successful acceptance of the New Drug Application by the FDA for Ciprofloxacin Dry Powder Inhalation (Cipro DPI).

F3 · balance_after: This number includes 6,000 shares held by the reporting person from the Issuer's ESPP Plan. The acquisition of these shares under that plan is exempt under Rule 16b-3(c).

SEC source: 0001209191-17-061590 · doc4.xml · derivative · entry 3

Gergel Ivan P. · CIK 0001328288 · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-12-12

F5 · security: These options, at the time of their grant were subject to both performance-based and time-based vesting requirements. On November 15, 2017, the performance-based condition vesting was satisfied. The time-based vesting is on a monthly pro-rata basis over a period of four years from the grant date (December 13, 2016).

F6 · date: These stock options were granted on December 13, 2016 and the performance-based vesting requirement for these stock options was satisfied on November 15, 2017 upon the Compensation Committee's certification of the successful acceptance of the New Drug Application by the FDA for Ciprofloxacin Dry Powder Inhalation (Cipro CPI).

F7 · derivative.exercise_date: This stock option vests on a monthly pro-rata basis over a period of four years from the grant date.

SEC source: 0001209191-17-061590 · doc4.xml · nonDerivative · entry 1

Gergel Ivan P. · CIK 0001328288 · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,575

F1 · security: Represents restricted stock units ("RSUs"), convertible on a one-for-one basis into shares of Common Stock of the Company. These RSUs, at the time of their grant on December 13, 2016, were subject to both performance-based and time-based vesting requirements. On November 15, 2017, the performance-based condition vesting was satisfied. The time-based vesting is on a quarterly pro-rata basis over a period of three (3) years from the date of grant.

F2 · date: These restricted stock units ("RSUs") were granted on December 13, 2016 and the performance-based vesting requirement for these RSUs was satisfied on November 15, 2017 upon the Compensation Committee's certification of the successful acceptance of the New Drug Application by the FDA for Ciprofloxacin Dry Powder Inhalation (Cipro DPI).

SEC source: 0001209191-17-061588 · doc4.xml · derivative · entry 3

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,750

Underlying: Common Stock · 43,750 shares

Expires 2024-12-12

F5 · security: These options, at the time of their grant were subject to both performance-based and time-based vesting requirements. On November 15, 2017, the performance-based condition vesting was satisfied. The time-based vesting is on a monthly pro-rata basis over a period of four years from the grant date (December 13, 2016).

F6 · date: These stock options were granted on December 13, 2016 and the performance-based vesting requirement for these stock options was satisfied on November 15, 2017 upon the Compensation Committee's certification of the successful acceptance of the New Drug Application by the FDA for Ciprofloxacin Dry Powder Inhalation (Cipro CPI).

F7 · derivative.exercise_date: This stock option vests on a monthly pro-rata basis over a period of four years from the grant date.

SEC source: 0001209191-17-061588 · doc4.xml · nonDerivative · entry 1

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,602

F1 · security: Represents restricted stock units ("RSUs"), convertible on a one-for-one basis into shares of Common Stock of the Company. These RSUs, at the time of their grant on December 13, 2016, were subject to both performance-based and time-based vesting requirements. On November 15, 2017, the performance-based condition vesting was satisfied. The time-based vesting is on a quarterly pro-rata basis over a period of three (3) years from the date of grant.

F2 · date: These restricted stock units ("RSUs") were granted on December 13, 2016 and the performance-based vesting requirement for these RSUs was satisfied on November 15, 2017 upon the Compensation Committee's certification of the successful acceptance of the New Drug Application by the FDA for Ciprofloxacin Dry Powder Inhalation (Cipro DPI).

SEC source: 0001209191-17-060974 · doc4.xml · derivative · entry 3

Nicholson John · CIK 0001420766 · SVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2017-11-17

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person and is related to a stock option that was scheduled to expire on November 17, 2017.

SEC source: 0001209191-17-060974 · doc4.xml · nonDerivative · entry 2

Nicholson John · CIK 0001420766 · SVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,156

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person and is related to a stock option that was scheduled to expire on November 17, 2017.

F2 · price: This transaction was executed in multiple trades at prices ranging from $36.58 to $41.12. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

SEC source: 0001209191-17-060974 · doc4.xml · nonDerivative · entry 1

Nicholson John · CIK 0001420766 · SVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,066

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person and is related to a stock option that was scheduled to expire on November 17, 2017.

SEC source: 0001209191-17-059823 · doc4.xml · derivative · entry 9

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 300,000 shares

Expires 2018-01-05

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring January 5, 2018.

SEC source: 0001209191-17-059823 · doc4.xml · nonDerivative · entry 6

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,102

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring January 5, 2018.

F4 · price: This transaction was executed in multiple trades at prices ranging from $29.96 to $31.04. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

SEC source: 0001209191-17-059823 · doc4.xml · nonDerivative · entry 5

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,102

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring January 5, 2018.

SEC source: 0001209191-17-059825 · doc4.xml · derivative · entry 6

Hora Maninder · CIK 0001443159 · SVP Pharma Dev & Mfg Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 17,300 shares

Expires 2019-02-07

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring on February 7, 2019.

SEC source: 0001209191-17-059825 · doc4.xml · nonDerivative · entry 4

Hora Maninder · CIK 0001443159 · SVP Pharma Dev & Mfg Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,233

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring on February 7, 2019.

F4 · price: This transaction was executed in multiple trades at prices ranging from $25.00 to $25.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F2 · balance_after: This number includes 6,000 shares held by the reporting person from the Issuer's ESPP plan. The acquisition of these shares under this plan is exempt under Rule 16b-3(c).

SEC source: 0001209191-17-059825 · doc4.xml · nonDerivative · entry 3

Hora Maninder · CIK 0001443159 · SVP Pharma Dev & Mfg Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,533

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring on February 7, 2019.

F2 · balance_after: This number includes 6,000 shares held by the reporting person from the Issuer's ESPP plan. The acquisition of these shares under this plan is exempt under Rule 16b-3(c).

SEC source: 0001209191-17-059823 · doc4.xml · derivative · entry 8

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 75,409 shares

Expires 2018-01-05

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring January 5, 2018.

SEC source: 0001209191-17-059823 · doc4.xml · nonDerivative · entry 4

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,102

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring January 5, 2018.

F3 · price: This transaction was executed in multiple trades at prices ranging from $24.96 to $26.15. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

SEC source: 0001209191-17-059823 · doc4.xml · nonDerivative · entry 3

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,511

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring January 5, 2018.

SEC source: 0001209191-17-059825 · doc4.xml · derivative · entry 5

Hora Maninder · CIK 0001443159 · SVP Pharma Dev & Mfg Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,300

Underlying: Common Stock · 5,117 shares

Expires 2019-02-07

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring on February 7, 2019.

SEC source: 0001209191-17-059825 · doc4.xml · nonDerivative · entry 2

Hora Maninder · CIK 0001443159 · SVP Pharma Dev & Mfg Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,233

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring on February 7, 2019.

F3 · price: This transaction was executed in multiple trades at prices ranging from $25.00 to $25.35. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F2 · balance_after: This number includes 6,000 shares held by the reporting person from the Issuer's ESPP plan. The acquisition of these shares under this plan is exempt under Rule 16b-3(c).

SEC source: 0001209191-17-059825 · doc4.xml · nonDerivative · entry 1

Hora Maninder · CIK 0001443159 · SVP Pharma Dev & Mfg Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,350

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 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring on February 7, 2019.

F2 · balance_after: This number includes 6,000 shares held by the reporting person from the Issuer's ESPP plan. The acquisition of these shares under this plan is exempt under Rule 16b-3(c).

SEC source: 0001209191-17-059823 · doc4.xml · derivative · entry 7

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,409

Underlying: Common Stock · 20,914 shares

Expires 2018-01-05

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring January 5, 2018.

SEC source: 0001209191-17-059823 · doc4.xml · nonDerivative · entry 2

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,102

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring January 5, 2018.

F2 · price: This transaction was executed in multiple trades at prices ranging from $24.96 to $25.21. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

SEC source: 0001209191-17-059823 · doc4.xml · nonDerivative · entry 1

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,016

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring January 5, 2018.

SEC source: 0001209191-17-059310 · doc4.xml · derivative · entry 4

ROBIN HOWARD W · CIK 0001206869 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,666

Underlying: Common Stock · 83,334 shares

Expires 2018-01-31

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by Mr. Robin on March 9, 2017 for stock options scheduled to expire on January 31, 2018.

SEC source: 0001209191-17-059310 · doc4.xml · nonDerivative · entry 2

ROBIN HOWARD W · CIK 0001206869 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,504

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by Mr. Robin on March 9, 2017 for stock options scheduled to expire on January 31, 2018.

F2 · price: This transaction was executed in multiple trades at prices ranging from $22.96 to $24.20. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

SEC source: 0001209191-17-059310 · doc4.xml · nonDerivative · entry 1

ROBIN HOWARD W · CIK 0001206869 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,838

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by Mr. Robin on March 9, 2017 for stock options scheduled to expire on January 31, 2018.

SEC source: 0001209191-17-056534 · doc4.xml · derivative · entry 4

ROBIN HOWARD W · CIK 0001206869 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 83,333 shares

Expires 2018-01-31

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by Mr. Robin on March 9, 2017 for stock options scheduled to expire on January 31, 2018.

SEC source: 0001209191-17-056534 · doc4.xml · nonDerivative · entry 2

ROBIN HOWARD W · CIK 0001206869 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,504

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by Mr. Robin on March 9, 2017 for stock options scheduled to expire on January 31, 2018.

F2 · price: This transaction was executed in multiple trades at prices ranging from $23.77 to $24.75. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

SEC source: 0001209191-17-056534 · doc4.xml · nonDerivative · entry 1

ROBIN HOWARD W · CIK 0001206869 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,837

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by Mr. Robin on March 9, 2017 for stock options scheduled to expire on January 31, 2018.

SEC source: 0001209191-17-056531 · doc4.xml · derivative · entry 3

Hora Maninder · CIK 0001443159 · SVP Pharma Dev & Mfg Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,417

Underlying: Common Stock · 7,583 shares

Expires 2019-02-07

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring on February 7, 2019.

SEC source: 0001209191-17-056531 · doc4.xml · nonDerivative · entry 2

Hora Maninder · CIK 0001443159 · SVP Pharma Dev & Mfg Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,233

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring on February 7, 2019.

F3 · price: This transaction was executed in multiple trades at prices ranging from $25.00 to $25.02. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F2 · balance_after: This number includes 6,000 shares held by the reporting person from the Issuer's ESPP plan. The acquisition of these shares under this plan is exempt under Rule 16b-3(c).

SEC source: 0001209191-17-056531 · doc4.xml · nonDerivative · entry 1

Hora Maninder · CIK 0001443159 · SVP Pharma Dev & Mfg Ops

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,816

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring on February 7, 2019.

F2 · balance_after: This number includes 6,000 shares held by the reporting person from the Issuer's ESPP plan. The acquisition of these shares under this plan is exempt under Rule 16b-3(c).

SEC source: 0001209191-17-056529 · doc4.xml · derivative · entry 3

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 396,323

Underlying: Common Stock · 43,677 shares

Expires 2018-01-05

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring January 5, 2018.

SEC source: 0001209191-17-056529 · doc4.xml · nonDerivative · entry 2

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,102

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring January 5, 2018.

F2 · price: This transaction was executed in multiple trades at prices ranging from $24.96 to $25.02. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

SEC source: 0001209191-17-056529 · doc4.xml · nonDerivative · entry 1

Doberstein Stephen K · CIK 0001480111 · SVP & Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,779

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for options expiring January 5, 2018.

SEC source: 0001209191-17-055360 · doc4.xml · derivative · entry 3

Labrucherie Gil M · CIK 0001394875 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 120,000 shares

Expires 2018-01-31

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by Mr. Labrucherie on May 22, 2017 related to 120,000 stock options scheduled to expire on January 31, 2018.

SEC source: 0001209191-17-055360 · doc4.xml · nonDerivative · entry 2

Labrucherie Gil M · CIK 0001394875 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,414

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by Mr. Labrucherie on May 22, 2017 related to 120,000 stock options scheduled to expire on January 31, 2018.

F3 · price: This transaction was executed in multiple trades at prices ranging from $23.99 to $24.74. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F2 · balance_after: This number includes 997 shares held by the reporting person in the Issuer's 401(K) plan and 3,250 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-17-055360 · doc4.xml · nonDerivative · entry 1

Labrucherie Gil M · CIK 0001394875 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,414

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by Mr. Labrucherie on May 22, 2017 related to 120,000 stock options scheduled to expire on January 31, 2018.

F2 · balance_after: This number includes 997 shares held by the reporting person in the Issuer's 401(K) plan and 3,250 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-17-055353 · doc4.xml · derivative · entry 6

Gergel Ivan P. · CIK 0001328288 · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,752

Underlying: Common Stock · 56,704 shares

Expires 2022-05-18

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F4 · derivative.exercise_date: The stock option pursuant to this transaction vests as follows: 25% of the shares subject to the option vested on May 19, 2015 and the remaining 75% of the shares vest in equal monthly installments over the three-year period thereafter based on the Reporting Person's continuous service to the issuer.

SEC source: 0001209191-17-055353 · doc4.xml · nonDerivative · entry 4

Gergel Ivan P. · CIK 0001328288 · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,575

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $24.04 to $24.46. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

SEC source: 0001209191-17-055353 · doc4.xml · nonDerivative · entry 3

Gergel Ivan P. · CIK 0001328288 · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,279

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-17-055353 · doc4.xml · derivative · entry 5

Gergel Ivan P. · CIK 0001328288 · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370,456

Underlying: Common Stock · 43,296 shares

Expires 2022-05-18

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F4 · derivative.exercise_date: The stock option pursuant to this transaction vests as follows: 25% of the shares subject to the option vested on May 19, 2015 and the remaining 75% of the shares vest in equal monthly installments over the three-year period thereafter based on the Reporting Person's continuous service to the issuer.

SEC source: 0001209191-17-055353 · doc4.xml · nonDerivative · entry 2

Gergel Ivan P. · CIK 0001328288 · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,575

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $24.04 to $24.06. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

SEC source: 0001209191-17-055353 · doc4.xml · nonDerivative · entry 1

Gergel Ivan P. · CIK 0001328288 · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,871

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

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-17-053880 · doc4.xml · nonDerivative · entry 1

Lingnau Lutz · CIK 0001354179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,450

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $21.80 to $22.11. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

SEC source: 0001209191-17-053879 · doc4.xml · nonDerivative · entry 1

KUEBLER CHRISTOPHER A · CIK 0001229877 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,500

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-17-053878 · doc4.xml · nonDerivative · entry 1

CHESS ROBERT · CIK 0001227886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 274,223

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $21.15 to $21.96. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

SEC source: 0001209191-17-053626 · doc4.xml · derivative · entry 4

Ajer Jeffrey Robert · CIK 0001557533 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 22,500 shares

Expires 2025-09-18

F5 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 30, 2017.

SEC source: 0001209191-17-053626 · doc4.xml · derivative · entry 3

Ajer Jeffrey Robert · CIK 0001557533 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,750

Underlying: Common Stock · 33,750 shares

Expires 2025-09-18

F4 · derivative.exercise_date: This stock option vests in equal monthly installments over the three-year period beginning on September 30, 2017.