OTLK

SEC source: 0001209191-16-156825 · doc4.xml · derivative · entry 1

Dyrness Albert D. · CIK 0001664801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,500

Underlying: Common Stock · 11,500 shares

Expires 2021-12-22

F2 · price: The Reporting Person acquired a Senior Secured Note in the principal amount of $50,000 together with a Warrant to purchase 11,500 shares of the common stock of the Issuer in exchange for the Reporting Person's Unsecured Bridge Note in the principal amount of $50,000.

F1 · derivative.exercise_date: Immediately exercisable.

SEC source: 0001209191-16-156576 · doc4.xml · nonDerivative · entry 1

Bao Kogan · CIK 0001666328 · VP, Analytical Sciences

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,739

F1 · security: This security represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · shares: The shares underlying this restricted stock unit award vests in two equal installments on each of December 21, 2017 and December 21, 2018, in each case subject to the Reporting Person's continuous service to the Issuer through each such date. In addition, 100% of the shares underlying the restricted stock unit award will satisfy the time-based vesting restrictions upon the occurrence of a change of control, subject to continued service through such event.

SEC source: 0001209191-16-156578 · doc4.xml · nonDerivative · entry 1

Bahrt Kenneth · CIK 0001527197 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,985

F1 · security: This security represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · shares: The shares underlying this restricted stock unit award vests in two equal installments on each of December 21, 2017 and December 21, 2018, in each case subject to the Reporting Person's continuous service to the Issuer through each such date. In addition, 100% of the shares underlying the restricted stock unit award will satisfy the time-based vesting restrictions upon the occurrence of a change of control, subject to continued service through such event.

SEC source: 0001209191-16-156583 · doc4.xml · nonDerivative · entry 1

MCANDREW STEPHEN J · CIK 0001227041 · SVP Bus. Strat. & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,604

F1 · security: This security represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · shares: The shares underlying this restricted stock unit award vests in two equal installments on each of December 21, 2017 and December 21, 2018, in each case subject to the Reporting Person's continuous service to the Issuer through each such date. In addition, 100% of the shares underlying the restricted stock unit award will satisfy the time-based vesting restrictions upon the occurrence of a change of control, subject to continued service through such event.

SEC source: 0001209191-16-156585 · doc4.xml · nonDerivative · entry 1

KENYON LAWRENCE A · CIK 0001230484 · CFO and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,478

F1 · security: This security represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · shares: The shares underlying this restricted stock unit award vests in two equal installments on each of December 21, 2017 and December 21, 2018, in each case subject to the Reporting Person's continuous service to the Issuer through each such date. In addition, 100% of the shares underlying the restricted stock unit award will satisfy the time-based vesting restrictions upon the occurrence of a change of control, subject to continued service through such event.

SEC source: 0001209191-16-156581 · doc4.xml · nonDerivative · entry 1

Yamashita Elizabeth A. · CIK 0001663252 · VP, Regulatory Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,478

F1 · security: This security represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · shares: The shares underlying this restricted stock unit award vests in two equal installments on each of December 21, 2017 and December 21, 2018, in each case subject to the Reporting Person's continuous service to the Issuer through each such date. In addition, 100% of the shares underlying the restricted stock unit award will satisfy the time-based vesting restrictions upon the occurrence of a change of control, subject to continued service through such event.

SEC source: 0001209191-16-156579 · doc4.xml · nonDerivative · entry 1

Gangloff Scott A. · CIK 0001663253 · SVP, Development & Mfrg

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,573

F1 · security: This security represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · shares: The shares underlying this restricted stock unit award vests in two equal installments on each of December 21, 2017 and December 21, 2018, in each case subject to the Reporting Person's continuous service to the Issuer through each such date. In addition, 100% of the shares underlying the restricted stock unit award will satisfy the time-based vesting restrictions upon the occurrence of a change of control, subject to continued service through such event.

SEC source: 0001209191-16-152513 · doc4.xml · nonDerivative · entry 2

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,518

F2 · kind: Represents the receipt of 6,885 shares of Common Stock in a pro rata distribution for no consideration from Proximare Lifesciences Fund 2 LLC, of which the reporting person is a member.

F2 · shares: Represents the receipt of 6,885 shares of Common Stock in a pro rata distribution for no consideration from Proximare Lifesciences Fund 2 LLC, of which the reporting person is a member.

F2 · price: Represents the receipt of 6,885 shares of Common Stock in a pro rata distribution for no consideration from Proximare Lifesciences Fund 2 LLC, of which the reporting person is a member.

SEC source: 0001209191-16-152513 · doc4.xml · derivative · entry 3

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,036

Underlying: Common Stock · 12,036 shares

Expires 2019-11-08

F3 · kind: Represents the receipt of (i) a Warrant to purchase 7,561 from Proximare Lifesciences Fund LLC, of which the reporting person is a member, and (ii) a Warrant to purchase 4,475 from Proximare Lifesciences Fund 2 LLC, of which the reporting person is a member, in a pro rata distribution for no consideration.

F3 · shares: Represents the receipt of (i) a Warrant to purchase 7,561 from Proximare Lifesciences Fund LLC, of which the reporting person is a member, and (ii) a Warrant to purchase 4,475 from Proximare Lifesciences Fund 2 LLC, of which the reporting person is a member, in a pro rata distribution for no consideration.

F4 · derivative.exercise_date: Immediately exercisable.

F3 · derivative.underlying_shares: Represents the receipt of (i) a Warrant to purchase 7,561 from Proximare Lifesciences Fund LLC, of which the reporting person is a member, and (ii) a Warrant to purchase 4,475 from Proximare Lifesciences Fund 2 LLC, of which the reporting person is a member, in a pro rata distribution for no consideration.

F3 · balance_after: Represents the receipt of (i) a Warrant to purchase 7,561 from Proximare Lifesciences Fund LLC, of which the reporting person is a member, and (ii) a Warrant to purchase 4,475 from Proximare Lifesciences Fund 2 LLC, of which the reporting person is a member, in a pro rata distribution for no consideration.

SEC source: 0001209191-16-152513 · doc4.xml · nonDerivative · entry 1

HILZINGER KURT J · CIK 0001191504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,633

F1 · kind: Represents the receipt of 11,633 shares of Common Stock in a pro rata distribution for no consideration from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F1 · shares: Represents the receipt of 11,633 shares of Common Stock in a pro rata distribution for no consideration from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F1 · price: Represents the receipt of 11,633 shares of Common Stock in a pro rata distribution for no consideration from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

SEC source: 0001209191-16-152515 · doc4.xml · derivative · entry 2

Smith Hoke Robin · CIK 0001665314 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,260

Underlying: Common Stock · 1,260 shares

Expires 2019-11-08

F1 · kind: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F1 · shares: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F1 · price: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F2 · derivative.exercise_date: Immediately exercisable.

F1 · derivative.underlying_shares: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F1 · balance_after: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

SEC source: 0001209191-16-152515 · doc4.xml · nonDerivative · entry 1

Smith Hoke Robin · CIK 0001665314 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,939

F1 · kind: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F1 · shares: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F1 · price: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

SEC source: 0001209191-16-152512 · doc4.xml · derivative · entry 2

Canute Scott A · CIK 0001303416 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,315

Underlying: Common Stock · 37,315 shares

Expires 2019-11-08

F1 · kind: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F1 · shares: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F2 · derivative.exercise_date: Immediately exercisable.

F1 · derivative.underlying_shares: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F1 · balance_after: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

SEC source: 0001209191-16-152512 · doc4.xml · nonDerivative · entry 1

Canute Scott A · CIK 0001303416 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,342

F1 · kind: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F1 · shares: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

F1 · price: Pro rata distribution from Proximare Lifesciences Fund LLC, of which the reporting person is a member.

SEC source: 0001214659-16-015013 · marketforms-37227.xml · nonDerivative · entry 1

Griffith Donald J. · CIK 0001663251 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,926

F1 · shares: Represents a portion of the number of shares to be sold by the reporting person to cover the tax withholding obligation in connection with the vesting of restricted stock units on November 9, 2016.

SEC source: 0001214659-16-014639 · marketforms-36878.xml · nonDerivative · entry 3

MCANDREW STEPHEN J · CIK 0001227041 · SVP Bus. Strat. & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,604

F4 · shares: Represents the number of shares required to be sold by the reporting person to cover the tax withholding obligation in connection with the vesting of restricted stock units on November 9, 2016. This sale is mandated by the Issuer's election under its equity incentive plans to require the reporting person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the reporting person.

SEC source: 0001214659-16-014641 · marketforms-36767.xml · nonDerivative · entry 3

Gangloff Scott A. · CIK 0001663253 · SVP, Development & Mfrg

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,573

F4 · shares: Represents the number of shares required to be sold by the reporting person to cover the tax withholding obligation in connection with the vesting of restricted stock units on November 9, 2016. This sale is mandated by the Issuer's election under its equity incentive plans to require the reporting person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the reporting person.

SEC source: 0001214659-16-014639 · marketforms-36878.xml · nonDerivative · entry 2

MCANDREW STEPHEN J · CIK 0001227041 · SVP Bus. Strat. & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,971

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: Each restricted stock unit ("RSU") represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

SEC source: 0001214659-16-014639 · marketforms-36878.xml · nonDerivative · entry 1

MCANDREW STEPHEN J · CIK 0001227041 · SVP Bus. Strat. & Dev.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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: Granted pursuant to the Issuer's 2015 Equity Incentive Plan.

F2 · shares: Each restricted stock unit ("RSU") represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

F3 · shares: The RSUs vest upon the first to occur of (x) a change of control as defined in the award agreement and (y) the expiration of the 6 month lock-up period following the Issuer's initial public offering, in each case subject to continued service through such event.

SEC source: 0001214659-16-014638 · marketforms-36752.xml · nonDerivative · entry 2

Canute Scott A · CIK 0001303416 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,934

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: Each restricted stock unit ("RSU") represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

SEC source: 0001214659-16-014638 · marketforms-36752.xml · nonDerivative · entry 1

Canute Scott A · CIK 0001303416 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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: Granted pursuant to the Issuer's 2015 Equity Incentive Plan.

F2 · shares: Each restricted stock unit ("RSU") represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

F3 · shares: The RSUs vest upon the first to occur of (x) a change of control as defined in the award agreement and (y) the expiration of the 6 month lock-up period following the Issuer's initial public offering ("IPO"), in each case subject to continued service through such event.

SEC source: 0001214659-16-014637 · marketforms-36766.xml · nonDerivative · entry 2

Brady Todd C · CIK 0001579179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,288

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: Each restricted stock unit ("RSU") represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

SEC source: 0001214659-16-014637 · marketforms-36766.xml · nonDerivative · entry 1

Brady Todd C · CIK 0001579179 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,985

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: Granted pursuant to the Issuer's 2015 Equity Incentive Plan.

F2 · shares: Each restricted stock unit ("RSU") represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

F3 · shares: The RSUs are subject to, and to vest must satisfy, both (a) performance-based vesting restrictions (the RSUs will satisfy the performance-based vesting restrictions upon the first to occur of (x) a change of control as defined in the award agreement and (y) the expiration of the 6 month lock-up period following the Issuer's initial public offering ("IPO"), subject to continued service through such event) and (b) time-based vesting restrictions (50% of the RSUs will satisfy the time-based vesting restrictions on each of the third and fourth anniversaries of July 11, 2013, subject to continued service through such dates). In addition, 100% of the RSUs will satisfy the time-based vesting restrictions upon the occurrence of a change of control, subject to continued service through such event.

SEC source: 0001214659-16-014641 · marketforms-36767.xml · nonDerivative · entry 2

Gangloff Scott A. · CIK 0001663253 · SVP, Development & Mfrg

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,942

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: Each restricted stock unit ("RSU") represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

SEC source: 0001214659-16-014641 · marketforms-36767.xml · nonDerivative · entry 1

Gangloff Scott A. · CIK 0001663253 · SVP, Development & Mfrg

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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: Granted pursuant to the Issuer's 2015 Equity Incentive Plan.

F2 · shares: Each restricted stock unit ("RSU") represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

F3 · shares: The RSUs vest upon the first to occur of (x) a change of control as defined in the award agreement and (y) the expiration of the 6 month lock-up period following the Issuer's initial public offering, in each case subject to continued service through such event.

SEC source: 0001214659-16-014640 · marketforms-36868.xml · nonDerivative · entry 2

Griffith Donald J. · CIK 0001663251 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,927

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: Each restricted stock unit ("RSU") represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

SEC source: 0001214659-16-014640 · marketforms-36868.xml · nonDerivative · entry 1

Griffith Donald J. · CIK 0001663251 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

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: Granted pursuant to the Issuer's 2015 Equity Incentive Plan.

F2 · shares: Each restricted stock unit ("RSU") represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

F3 · shares: The RSUs vest upon the first to occur of (x) a change of control as defined in the award agreement and (y) the expiration of the 6 month lock-up period following the Issuer's initial public offering, in each case subject to continued service through such event.