PHAT

SEC source: 0000950170-24-067365 · ownership.xml · nonDerivative · entry 1

KARBE FRANK · CIK 0001276700 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,500

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $10.1016 to $10.20. The reporting person undertakes to provide Phathom Pharmaceuticals, Inc. (the "Company"), any security holder of the Company, 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 range set forth in this footnote.

SEC source: 0000950170-24-064826 · ownership.xml · derivative · entry 2

FIELDS HEIDI · CIK 0001014330 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2034-05-22

F2 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to Reporting Person's continuing in service on the Board through such vesting date.

SEC source: 0000950170-24-064826 · ownership.xml · nonDerivative · entry 1

FIELDS HEIDI · CIK 0001014330 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,500

F1 · shares: The Restricted Stock Units ("RSUs") were granted on May 23, 2024, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0000950170-24-064813 · ownership.xml · derivative · entry 2

Stenhouse Mark · CIK 0001734751 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2034-05-22

F2 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to Reporting Person's continuing in service on the Board through such vesting date.

SEC source: 0000950170-24-064813 · ownership.xml · nonDerivative · entry 1

Stenhouse Mark · CIK 0001734751 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,500

F1 · shares: The Restricted Stock Units ("RSUs") were granted on May 23, 2024, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0000950170-24-064830 · ownership.xml · derivative · entry 2

COLA MICHAEL F · CIK 0001188940 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2034-05-22

F2 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to Reporting Person's continuing in service on the Board through such vesting date.

SEC source: 0000950170-24-064830 · ownership.xml · nonDerivative · entry 1

COLA MICHAEL F · CIK 0001188940 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,298

F1 · shares: The Restricted Stock Units ("RSUs") were granted on May 23, 2024, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0000950170-24-064820 · ownership.xml · derivative · entry 2

KARBE FRANK · CIK 0001276700 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2034-05-22

F2 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to Reporting Person's continuing in service on the Board through such vesting date.

SEC source: 0000950170-24-064820 · ownership.xml · nonDerivative · entry 1

KARBE FRANK · CIK 0001276700 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,500

F1 · shares: The Restricted Stock Units ("RSUs") were granted on May 23, 2024, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0000950170-24-064842 · ownership.xml · derivative · entry 5

Topper James N · CIK 0001341382 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2034-05-22

F5 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to Reporting Person's continuing in service on the Board through such vesting date.

SEC source: 0000950170-24-064842 · ownership.xml · nonDerivative · entry 1

Topper James N · CIK 0001341382 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,096

F1 · shares: The Restricted Stock Units ("RSUs") were granted on May 23, 2024, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0000950170-24-064810 · ownership.xml · derivative · entry 4

Socks David A · CIK 0001378847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2034-05-22

F2 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to Reporting Person's continuing in service on the Board through such vesting date.

SEC source: 0000950170-24-064810 · ownership.xml · nonDerivative · entry 1

Socks David A · CIK 0001378847 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,500

F1 · shares: The Restricted Stock Units ("RSUs") were granted on May 23, 2024, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0000950170-24-064835 · ownership.xml · derivative · entry 2

Parikh Asit · CIK 0001796787 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,500

Underlying: Common Stock · 17,500 shares

Expires 2034-05-22

F2 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to Reporting Person's continuing in service on the Board through such vesting date.

SEC source: 0000950170-24-064835 · ownership.xml · nonDerivative · entry 1

Parikh Asit · CIK 0001796787 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,500

F1 · shares: The Restricted Stock Units ("RSUs") were granted on May 23, 2024, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0000950170-24-043385 · ownership.xml · nonDerivative · entry 1

Henderson Molly · CIK 0001363812 · CFO and CBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,263

F1 · shares: Represents shares sold to satisfy tax withholding obligations upon the settlement of restricted stock units.

SEC source: 0000950170-24-036398 · ownership.xml · nonDerivative · entry 1

Curran Terrie · CIK 0001690298 · Director · President and Chief Executive

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 410,784

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.11 to $9.28. The reporting person undertakes to provide Phathom Pharmaceuticals, Inc. (the "Company"), any security holder of the Company, 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 range set forth in this footnote.

F2 · balance_after: Includes 1,604 shares acquired under the Phathom Pharmaceuticals, Inc. employee stock purchase plan in January 2024.

SEC source: 0001395064-24-000008 · wk-form4_1706181182.xml · nonDerivative · entry 1

TAKEDA PHARMACEUTICAL CO LTD · CIK 0001395064 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,755,583

SEC source: 0001209191-24-002021 · doc4.xml · nonDerivative · entry 1

Henderson Molly · CIK 0001363812 · CFO and CBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,698

F1 · shares: Represents shares sold to satisfy tax withholding obligations upon the settlement of restricted stock units.

F2 · balance_after: Includes 1,944 shares acquired under the Phathom Pharmaceuticals, Inc. employee stock purchase plan in January 2024.

SEC source: 0001209191-24-002019 · doc4.xml · derivative · entry 1

Curran Terrie · CIK 0001690298 · Director · President and Chief Executive

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 475,000

Underlying: Common Stock · 475,000 shares

Expires 2034-01-17

F1 · derivative.exercise_date: The stock option will vest with respect to 25% of the shares of common stock on January 18, 2025, and will vest with respect to the remaining shares in equal monthly installments over the following three years, subject to the reporting person's continuous service to the Company on the applicable vesting dates.

SEC source: 0001209191-24-002021 · doc4.xml · derivative · entry 3

Henderson Molly · CIK 0001363812 · CFO and CBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,000

Underlying: Common Stock · 120,000 shares

Expires 2034-01-17

F3 · derivative.exercise_date: The stock option will vest with respect to 25% of the shares of common stock on January 18, 2025, and will vest with respect to the remaining shares in equal monthly installments over the following three years, subject to the reporting person's continuous service to the Company on the applicable vesting dates.

SEC source: 0001209191-24-002020 · doc4.xml · derivative · entry 1

Nabulsi Azmi · CIK 0001791412 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2034-01-17

F1 · derivative.exercise_date: The stock option will vest with respect to 25% of the shares of common stock on January 18, 2025, and will vest with respect to the remaining shares in equal monthly installments over the following three years, subject to the reporting person's continuous service to the Company on the applicable vesting dates.

SEC source: 0001209191-23-056288 · doc4.xml · nonDerivative · entry 1

Henderson Molly · CIK 0001363812 · CFO and CBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,061

F1 · shares: Represents shares sold to satisfy tax withholding obligations upon the settlement of restricted stock units.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices between $7.24 and $7.2893. The reporting person undertakes to provide the Issuer, any security holder of the Company, 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 range set forth in this footnote.

SEC source: 0001209191-23-054768 · doc4.xml · nonDerivative · entry 3

Parikh Asit · CIK 0001796787 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

SEC source: 0001209191-23-054768 · doc4.xml · nonDerivative · entry 2

Parikh Asit · CIK 0001796787 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,500

SEC source: 0001209191-23-054768 · doc4.xml · nonDerivative · entry 1

Parikh Asit · CIK 0001796787 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,500

SEC source: 0001209191-23-054346 · doc4.xml · nonDerivative · entry 1

Curran Terrie · CIK 0001690298 · Director · President and Chief Executive

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 427,171

F1 · shares: Represents shares earned with respect to performance stock unit awards granted on July 1, 2020 and January 19, 2023 that contained a performance-vesting requirement that was satisfied on November 1, 2023.

SEC source: 0001209191-23-054355 · doc4.xml · nonDerivative · entry 3

Henderson Molly · CIK 0001363812 · CFO and CBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,188

F2 · price: Represents shares sold to satisfy tax withholding obligations upon the settlement of performance stock units.

SEC source: 0001209191-23-054355 · doc4.xml · nonDerivative · entry 2

Henderson Molly · CIK 0001363812 · CFO and CBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 116,869

F2 · price: Represents shares sold to satisfy tax withholding obligations upon the settlement of performance stock units.

SEC source: 0001209191-23-054355 · doc4.xml · nonDerivative · entry 1

Henderson Molly · CIK 0001363812 · CFO and CBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,680

F1 · shares: Represents shares earned with respect to a performance stock unit award granted on January 19, 2023 that contained a performance-vesting requirement that was satisfied on November 1, 2023.

SEC source: 0001209191-23-054352 · doc4.xml · nonDerivative · entry 1

Nabulsi Azmi · CIK 0001791412 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 242,067

F1 · shares: Represents shares earned with respect to performance stock unit awards granted on July 1, 2020 and January 19, 2023 that contained a performance-vesting requirement that was satisfied on November 1, 2023.

SEC source: 0001209191-23-042454 · doc4.xml · derivative · entry 4

Curran Terrie · CIK 0001690298 · Director · President and Chief Executive

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 225,000 shares

Expires 2031-01-27

F1 · price: On July 14, 2023, the Issuer canceled, pursuant to the Issuer's option exchange program, options to purchase 400,000 shares of common stock of the Issuer and in exchange issued to the Reporting Person 200,000 restricted stock units, each of which represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: On July 14, 2023, the Issuer canceled, pursuant to the Issuer's option exchange program, options to purchase 400,000 shares of common stock of the Issuer and in exchange issued to the Reporting Person 200,000 restricted stock units, each of which represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001209191-23-042454 · doc4.xml · derivative · entry 3

Curran Terrie · CIK 0001690298 · Director · President and Chief Executive

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 175,000 shares

Expires 2030-06-30

F1 · price: On July 14, 2023, the Issuer canceled, pursuant to the Issuer's option exchange program, options to purchase 400,000 shares of common stock of the Issuer and in exchange issued to the Reporting Person 200,000 restricted stock units, each of which represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: On July 14, 2023, the Issuer canceled, pursuant to the Issuer's option exchange program, options to purchase 400,000 shares of common stock of the Issuer and in exchange issued to the Reporting Person 200,000 restricted stock units, each of which represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001209191-23-042454 · doc4.xml · nonDerivative · entry 1

Curran Terrie · CIK 0001690298 · Director · President and Chief Executive

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 389,671

F1 · price: On July 14, 2023, the Issuer canceled, pursuant to the Issuer's option exchange program, options to purchase 400,000 shares of common stock of the Issuer and in exchange issued to the Reporting Person 200,000 restricted stock units, each of which represents a contingent right to receive one share of the Issuer's common stock.

F2 · balance_after: Includes 1,381 shares acquired under the Phathom Pharmaceuticals, Inc. employee stock purchase plan in July 2023.

SEC source: 0001209191-23-042455 · doc4.xml · nonDerivative · entry 1

Henderson Molly · CIK 0001363812 · CFO and CBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,180

F1 · shares: Represents restricted stock units ("RSUs") granted on July 14, 2023. One third (1/3) of the total number of RSUs granted vest on each of the first three anniversaries of July 14, 2023, the vesting commencement date, subject to the Reporting Person's continued service on the applicable vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

F2 · balance_after: Includes 1,674 shares acquired under the Phathom Pharmaceuticals, Inc. employee stock purchase plan in July 2023.

SEC source: 0001209191-23-042453 · doc4.xml · derivative · entry 5

Nabulsi Azmi · CIK 0001791412 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 150,000 shares

Expires 2031-01-27

F1 · price: On July 14, 2023, the Issuer canceled, pursuant to the Issuer's option exchange program, options to purchase 220,000 shares of common stock of the Issuer and in exchange issued to the Reporting Person 110,000 restricted stock units, each of which represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: On July 14, 2023, the Issuer canceled, pursuant to the Issuer's option exchange program, options to purchase 220,000 shares of common stock of the Issuer and in exchange issued to the Reporting Person 110,000 restricted stock units, each of which represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001209191-23-042453 · doc4.xml · derivative · entry 4

Nabulsi Azmi · CIK 0001791412 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 70,000 shares

Expires 2030-06-30

F1 · price: On July 14, 2023, the Issuer canceled, pursuant to the Issuer's option exchange program, options to purchase 220,000 shares of common stock of the Issuer and in exchange issued to the Reporting Person 110,000 restricted stock units, each of which represents a contingent right to receive one share of the Issuer's common stock.

F1 · derivative.exercise_date: On July 14, 2023, the Issuer canceled, pursuant to the Issuer's option exchange program, options to purchase 220,000 shares of common stock of the Issuer and in exchange issued to the Reporting Person 110,000 restricted stock units, each of which represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001209191-23-042453 · doc4.xml · nonDerivative · entry 1

Nabulsi Azmi · CIK 0001791412 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 209,567

F1 · price: On July 14, 2023, the Issuer canceled, pursuant to the Issuer's option exchange program, options to purchase 220,000 shares of common stock of the Issuer and in exchange issued to the Reporting Person 110,000 restricted stock units, each of which represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001209191-23-043162 · doc4a.xml · nonDerivative · entry 1

Henderson Molly · CIK 0001363812 · CFO and CBO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,180

F1 · shares: Represents restricted stock units ("RSUs") granted on July 14, 2023. One third (1/3) of the total number of RSUs granted vest on each of the first three anniversaries of July 14, 2023, the vesting commencement date, subject to the Reporting Person's continued service on the applicable vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

F2 · price: This amendment is being filed to correct the transaction price included in the Form 4 filed on behalf of the Reporting Person on July 17, 2023.

F3 · balance_after: Includes 1,674 shares acquired under the Phathom Pharmaceuticals, Inc. employee stock purchase plan in July 2023.

SEC source: 0001209191-23-034605 · doc4.xml · nonDerivative · entry 1

Henderson Molly · CIK 0001363812 · CFO and CBO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 68,506

F1 · kind: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 28, 2022.

F2 · shares: Represents shares sold to satisfy tax withholding obligations upon the settlement of restricted stock units.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in two transactions at prices 11.41 and 11.5653. The reporting person undertakes to provide the Issuer, any security holder of the Company, 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 range set forth in this footnote.

SEC source: 0001209191-23-034616 · doc4.xml · derivative · entry 2

Parikh Asit · CIK 0001796787 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2032-05-24

F1 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program and vested/became exercisable on the first anniversary of the date of grant.

SEC source: 0001209191-23-034616 · doc4.xml · nonDerivative · entry 1

Parikh Asit · CIK 0001796787 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,500

SEC source: 0001209191-23-033013 · doc4.xml · derivative · entry 2

FIELDS HEIDI · CIK 0001014330 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-05-24

F2 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing in service on the Board through such vesting date.

SEC source: 0001209191-23-033013 · doc4.xml · nonDerivative · entry 1

FIELDS HEIDI · CIK 0001014330 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

F1 · shares: The Restricted Stock Units ("RSUs") were granted on May 25, 2023, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0001209191-23-033022 · doc4.xml · derivative · entry 2

Stenhouse Mark · CIK 0001734751 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-05-24

F2 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing in service on the Board through such vesting date.

SEC source: 0001209191-23-033022 · doc4.xml · nonDerivative · entry 1

Stenhouse Mark · CIK 0001734751 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

F1 · shares: The Restricted Stock Units ("RSUs") were granted on May 25, 2023, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0001209191-23-033004 · doc4.xml · derivative · entry 2

COLA MICHAEL F · CIK 0001188940 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-05-24

F2 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing in service on the Board through such vesting date.

SEC source: 0001209191-23-033004 · doc4.xml · nonDerivative · entry 1

COLA MICHAEL F · CIK 0001188940 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,798

F1 · shares: The Restricted Stock Units ("RSUs") were granted on May 25, 2023, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.

SEC source: 0001209191-23-033007 · doc4.xml · derivative · entry 2

KARBE FRANK · CIK 0001276700 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-05-24

F2 · derivative.exercise_date: The option was granted pursuant to the Issuer's Non-Employee Director Compensation Program. The option shall vest and/or become exercisable on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing in service on the Board through such vesting date.

SEC source: 0001209191-23-033007 · doc4.xml · nonDerivative · entry 1

KARBE FRANK · CIK 0001276700 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,000

F1 · shares: The Restricted Stock Units ("RSUs") were granted on May 25, 2023, pursuant to the Issuer's Non-Employee Director Compensation Program. 100% of the total number of RSUs granted shall vest on the first to occur of (A) the first anniversary of the date of grant or (B) the next occurring annual meeting of the Issuer's stockholders, subject to the Reporting Person's continuing service on the Board through such vesting date. Each RSU represents a contingent right to receive one share of common stock of the Issuer.