NKTR

SEC source: 0000950170-24-062644 · ownership.xml · nonDerivative · entry 1

Wilson Mark Andrew · CIK 0001808356 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 230,414

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $1.72 to $1.80. 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 the request to the SEC staff, the Issuer, or a security holder of the Issuer.

F3 · balance_after: This number includes 6,107 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under the plan is exempt under Rule 16b-3(c).

SEC source: 0000950170-24-058720 · ownership.xml · nonDerivative · entry 1

Deep Track Capital, LP · CIK 0001856083 · 10% owner

Deep Track Biotechnology Master Fund, Ltd. · CIK 0002015536 · 10% owner

KROIN DAVID · CIK 0001397513 · 10% owner

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

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 18,344,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.745 to $1.81, inclusive. The reporting persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in the footnotes to this Form 4.

F2 · ownership.nature: Represents securities held by Deep Track Biotechnology Master Fund, Ltd. Deep Track Capital, LP. is the investment manager of Deep Track Biotechnology Master Fund, Ltd. Mr. David Kroin is the managing member of Deep Track Capital GP, LLC, the general partner of Deep Track Capital, LP., and by virtue of such status may be deemed to be the beneficial owner of the shares owned by Deep Track Biotechnology Master Fund, Ltd. Deep Track Capital, L.P. and Mr. Kroin disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests.

SEC source: 0000950170-24-019045 · ownership.xml · nonDerivative · entry 1

Zalevsky Jonathan · CIK 0001789857 · Chief R&D Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 265,025

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.66 to $0.71. 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 the request to the SEC staff, the Issuer, or a security holder of the Issuer.

SEC source: 0000950170-24-019044 · ownership.xml · nonDerivative · entry 1

Wilson Mark Andrew · CIK 0001808356 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 236,674

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.66 to $0.71. 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 the request to the SEC staff, the Issuer, or a security holder of the Issuer.

F3 · balance_after: This number includes 6,107 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under the plan is exempt under Rule 16b-3(c).

SEC source: 0000950170-24-019043 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 879,889

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.66 to $0.71. 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 the request to the SEC staff, the Issuer, or a security holder of the Issuer.

SEC source: 0001209191-23-058861 · doc4.xml · derivative · entry 1

Zalevsky Jonathan · CIK 0001789857 · Chief R&D Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2031-12-12

F1 · derivative.exercise_date: This stock option vests over three years from the date of grant, (December 13, 2023) in equal monthly installments based on continued service.

SEC source: 0001209191-23-058860 · doc4.xml · derivative · entry 1

Wilson Mark Andrew · CIK 0001808356 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 325,000

Underlying: Common Stock · 325,000 shares

Expires 2031-12-12

F1 · derivative.exercise_date: This stock option vests over three years from the date of grant, (December 13, 2023) in equal monthly installments based on continued service.

SEC source: 0001209191-23-058859 · doc4.xml · derivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,300,000

Underlying: Common Stock · 1,300,000 shares

Expires 2031-12-12

F1 · derivative.exercise_date: This stock option vests over three years from the date of grant, (December 13, 2023) in equal monthly installments based on continued service.

SEC source: 0001209191-23-056184 · doc4.xml · nonDerivative · entry 1

Zalevsky Jonathan · CIK 0001789857 · Chief R&D Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 274,039

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.47 to $0.52. 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: 0001209191-23-056183 · doc4.xml · nonDerivative · entry 1

Wilson Mark Andrew · CIK 0001808356 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 243,780

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.47 to $0.52. 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.

F3 · balance_after: This number includes 5,607 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under the plan is exempt under Rule 16b-3(c).

SEC source: 0001209191-23-056182 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 899,922

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.47 to $0.52. 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: 0001209191-23-050226 · doc4.xml · derivative · entry 1

WHITFIELD ROY A · CIK 0000936728 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2031-09-18

F1 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 19, 2023.

SEC source: 0001209191-23-050223 · doc4.xml · derivative · entry 2

Curet Myriam · CIK 0001632901 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2031-09-18

F2 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 19, 2023.

SEC source: 0001209191-23-050222 · doc4.xml · derivative · entry 5

CHESS ROBERT · CIK 0001227886 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2031-09-18

F5 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 19, 2023.

SEC source: 0001209191-23-050221 · doc4.xml · derivative · entry 1

Brainard Diana · CIK 0001818070 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2031-09-18

F1 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 19, 2023.

SEC source: 0001209191-23-050220 · doc4.xml · derivative · entry 2

Ajer Jeffrey Robert · CIK 0001557533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2031-09-18

F2 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 19, 2023.

SEC source: 0001209191-23-050330 · doc4.xml · derivative · entry 1

GREER R SCOTT · CIK 0001211703 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2031-09-18

F1 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 19, 2023.

SEC source: 0001209191-23-050223 · doc4.xml · nonDerivative · entry 1

Curet Myriam · CIK 0001632901 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,418

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax obligations in connection with the vesting of certain RSUs held by the reporting person. This sale is mandated by the reporting person's previous election under the Issuer's equity incentive plans to require the satisfaction of tax obligations to be funded by a "sell to cover" transaction.

SEC source: 0001209191-23-050220 · doc4.xml · nonDerivative · entry 1

Ajer Jeffrey Robert · CIK 0001557533 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,153

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax obligations in connection with the vesting of certain RSUs held by the reporting person. This sale is mandated by the reporting person's previous election under the Issuer's equity incentive plans to require the satisfaction of tax obligations to be funded by a "sell to cover" transaction.

SEC source: 0001209191-23-046462 · doc4.xml · nonDerivative · entry 1

Zalevsky Jonathan · CIK 0001789857 · Chief R&D Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 283,685

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.75 to $0.83. 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: 0001209191-23-046461 · doc4.xml · nonDerivative · entry 1

Wilson Mark Andrew · CIK 0001808356 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 250,959

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.75 to $0.83. 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.

F3 · balance_after: This number includes 5,607 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under the plan is exempt under Rule 16b-3(c).

SEC source: 0001209191-23-046460 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 919,799

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.75 to $0.83. 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: 0001209191-23-037538 · doc4.xml · nonDerivative · entry 1

WHITFIELD ROY A · CIK 0000936728 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 216,250

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 $.57 to $.58. 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: 0001209191-23-030448 · doc4.xml · nonDerivative · entry 1

Zalevsky Jonathan · CIK 0001789857 · Chief R&D Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 293,388

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.71 to $0.75. 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: 0001209191-23-030446 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 939,797

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.71 to $0.75. 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: 0001209191-23-030447 · doc4.xml · nonDerivative · entry 1

Wilson Mark Andrew · CIK 0001808356 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 257,680

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.71 to $0.75. 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.

F3 · balance_after: This number includes 5,107 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under the plan is exempt under Rule 16b-3(c).

SEC source: 0001209191-23-010956 · doc4.xml · nonDerivative · entry 1

Zalevsky Jonathan · CIK 0001789857 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,179

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.94 to $3.07. 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: 0001209191-23-010953 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,497

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.94 to $3.07. 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.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,690 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: 0001209191-23-010954 · doc4.xml · nonDerivative · entry 1

Wilson Mark Andrew · CIK 0001808356 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,223

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.94 to $3.07. 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.

F3 · balance_after: This number includes 5,107 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under the plan is exempt under Rule 16b-3(c).

SEC source: 0001209191-23-010952 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 960,158

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.94 to $3.07. 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: 0001209191-22-057968 · doc4.xml · nonDerivative · entry 1

Zalevsky Jonathan · CIK 0001789857 · Chief R&D Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,663

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $3.42 to $3.88. 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: 0001209191-22-057967 · doc4.xml · nonDerivative · entry 1

Wilson Mark Andrew · CIK 0001808356 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 272,498

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $3.42 to $3.88. 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.

F3 · balance_after: This number includes 4,107 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under the plan is exempt under Rule 16b-3(c).

SEC source: 0001209191-22-057966 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,764

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $3.42 to $3.88. 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.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,690 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: 0001209191-22-057964 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 979,793

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $3.42 to $3.88. 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: 0001209191-22-051305 · doc4.xml · nonDerivative · entry 1

Curet Myriam · CIK 0001632901 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,777

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax obligations in connection with the vesting of certain RSUs held by the reporting person. This sale is mandated by the reporting person's previous election under the Issuer's equity incentive plans to require the satisfaction of tax obligations to be funded by a "sell to cover" transaction.

SEC source: 0001209191-22-051304 · doc4.xml · nonDerivative · entry 1

Ajer Jeffrey Robert · CIK 0001557533 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,512

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax obligations in connection with the vesting of certain RSUs held by the reporting person. This sale is mandated by the reporting person's previous election under the Issuer's equity incentive plans to require the satisfaction of tax obligations to be funded by a "sell to cover" transaction.

SEC source: 0001209191-22-051303 · doc4.xml · nonDerivative · entry 1

CHESS ROBERT · CIK 0001227886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,179

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan.

F2 · price: This transaction was executed in multiple trades at prices ranging from $3.13 to $3.28. 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: 0001209191-23-050222 · doc4.xml · nonDerivative · entry 1

CHESS ROBERT · CIK 0001227886 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 274,773

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan.

F2 · price: This transaction was executed in multiple trades at prices ranging from $0.66 to $0.69. 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.

F3 · balance_after: Includes 56,794 shares previously reported as shares held in Grantor Retained Annuity Trusts for which the reporting person was the sole trustee.

SEC source: 0001209191-22-050816 · doc4.xml · derivative · entry 4

WHITFIELD ROY A · CIK 0000936728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,400

Underlying: Common Stock · 20,400 shares

Expires 2030-09-15

F3 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 16, 2022.

SEC source: 0001209191-22-050816 · doc4.xml · nonDerivative · entry 1

WHITFIELD ROY A · CIK 0000936728 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,250

F1 · security: Common stock was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU awarded represents a contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock.

F2 · deemedExecutionDate: This RSU award vests in full, one year following September 16, 2022.

SEC source: 0001209191-22-050815 · doc4.xml · derivative · entry 2

GREER R SCOTT · CIK 0001211703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,400

Underlying: Common Stock · 20,400 shares

Expires 2030-09-15

F3 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 16, 2022.

SEC source: 0001209191-22-050815 · doc4.xml · nonDerivative · entry 1

GREER R SCOTT · CIK 0001211703 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 303,574

F1 · security: Common stock was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU awarded represents a contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock.

F2 · deemedExecutionDate: This RSU award vests in full, one year following September 16, 2022.

SEC source: 0001209191-22-050814 · doc4.xml · derivative · entry 2

EASTHAM KARIN · CIK 0001231845 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,400

Underlying: Common Stock · 20,400 shares

Expires 2030-09-15

F3 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 16, 2022.

SEC source: 0001209191-22-050814 · doc4.xml · nonDerivative · entry 1

EASTHAM KARIN · CIK 0001231845 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,233

F1 · security: Common stock was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU awarded represents a contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock.

F2 · deemedExecutionDate: This RSU award vests in full, one year following September 16, 2022.

SEC source: 0001209191-22-050812 · doc4.xml · derivative · entry 7

CHESS ROBERT · CIK 0001227886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,400

Underlying: Common Stock · 20,400 shares

Expires 2030-09-15

F4 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 16, 2022.

SEC source: 0001209191-22-050812 · doc4.xml · nonDerivative · entry 1

CHESS ROBERT · CIK 0001227886 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,279

F1 · security: Common stock was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU awarded represents a contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock.

F2 · deemedExecutionDate: This RSU award vests in full, one year following September 16, 2022.

SEC source: 0001209191-22-050813 · doc4.xml · derivative · entry 2

Curet Myriam · CIK 0001632901 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,400

Underlying: Common Stock · 20,400 shares

Expires 2030-09-15

F3 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 16, 2022.

SEC source: 0001209191-22-050813 · doc4.xml · nonDerivative · entry 1

Curet Myriam · CIK 0001632901 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,975

F1 · security: Common stock was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU awarded represents a contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock.

F2 · deemedExecutionDate: This RSU award vests in full, one year following September 16, 2022.

SEC source: 0001209191-22-050809 · doc4.xml · derivative · entry 2

Brainard Diana · CIK 0001818070 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,400

Underlying: Common Stock · 20,400 shares

Expires 2030-09-15

F3 · derivative.exercise_date: This stock option vests in equal monthly installments over the one-year period beginning on September 16, 2022.

SEC source: 0001209191-22-050809 · doc4.xml · nonDerivative · entry 1

Brainard Diana · CIK 0001818070 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,560

F1 · security: Common stock was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU awarded represents a contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock.

F2 · deemedExecutionDate: This RSU award vests in full, one year following September 16, 2022.