PTGX

SEC source: 0001209191-18-037313 · doc4.xml · derivative · entry 1

SELICK HAROLD E · CIK 0001287233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2028-05-28

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier on (i) May 29, 2019, or (ii) the date of the 2019 Annual Meeting of stockholders of the Issuer, subject to the non-employee director's continuous service with the Issuer through such dates. The shares subject to this option will vest in full upon completion of a Change in Control (as defined in the Issuer's 2016 Equity Incentive Plan).

SEC source: 0001209191-18-037308 · doc4.xml · derivative · entry 1

Giraudo Bryan · CIK 0001740847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2028-05-28

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier on (i) May 29, 2019, or (ii) the date of the 2019 Annual Meeting of stockholders of the Issuer, subject to the non-employee director's continuous service with the Issuer through such dates. The shares subject to this option will vest in full upon completion of a Change in Control (as defined in the Issuer's 2016 Equity Incentive Plan).

SEC source: 0000899243-18-013571 · doc4.xml · nonDerivative · entry 1

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,116,552

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.90 - $6.46, 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 range set forth in this footnote.

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0000899243-18-013082 · doc4.xml · nonDerivative · entry 3

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,155,520

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.45 - $6.50, 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 range set forth in this footnote.

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0000899243-18-013082 · doc4.xml · nonDerivative · entry 2

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,184,961

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.45 - $6.605, 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 range set forth in this footnote.

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0001209191-18-031121 · doc4.xml · derivative · entry 2

Giraudo Bryan · CIK 0001740847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,000

Underlying: Common Stock · 24,000 shares

Expires 2028-05-14

F2 · derivative.exercise_date: The shares subject to the option shall vest in 36 equal monthly installments from the vesting commencement date of May 15, 2018.

SEC source: 0001209191-19-022776 · doc4.xml · derivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2028-05-14

F1 · derivative.exercise_date: The stock option vests in 12 equal monthly installments following the date of grant.

SEC source: 0000899243-18-013082 · doc4.xml · nonDerivative · entry 1

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,242,676

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.25 - $6.69, 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 range set forth in this footnote.

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0001209191-18-029672 · doc4.xml · derivative · entry 2

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,687

Underlying: Common Stock · 13,516 shares

Expires 2025-10-28

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 · derivative.exercise_date: 1/4th of the shares subject to the option shall vest on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option shall vest on the last day of each month following the first anniversary of the vesting commencement date, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.

SEC source: 0001209191-18-029672 · doc4.xml · nonDerivative · entry 1

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,779

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.

SEC source: 0001209191-18-023177 · doc4.xml · derivative · entry 2

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,203

Underlying: Common Stock · 20,000 shares

Expires 2025-10-28

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 · derivative.exercise_date: 1/4th of the shares subject to the option shall vest on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option shall vest on the last day of each month following the first anniversary of the vesting commencement date, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.

SEC source: 0001209191-18-023177 · doc4.xml · nonDerivative · entry 1

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,263

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

SEC source: 0001209191-18-021949 · doc4.xml · derivative · entry 2

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,298 shares

Expires 2023-09-26

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 · derivative.exercise_date: The option is fully vested.

SEC source: 0001209191-18-021949 · doc4.xml · nonDerivative · entry 1

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,263

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 · balance_after: Includes 1,706 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2018.

SEC source: 0000899243-18-008487 · doc4.xml · nonDerivative · entry 1

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,320,267

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.50 - $21.26, 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 range set forth in this footnote.

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0000899243-18-008349 · doc4.xml · nonDerivative · entry 3

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,380,217

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.50 - $20.87, 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 range set forth in this footnote.

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0000899243-18-008349 · doc4.xml · nonDerivative · entry 2

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,384,976

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.50 - $20.79, 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 range set forth in this footnote.

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0000899243-18-008349 · doc4.xml · nonDerivative · entry 1

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,402,675

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.50 - $20.84, 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 range set forth in this footnote.

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0000899243-18-007980 · doc4.xml · nonDerivative · entry 2

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,419,735

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.50 - $20.755, 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 range set forth in this footnote.

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0000899243-18-007980 · doc4.xml · nonDerivative · entry 1

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,433,174

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.50 - $20.60, 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 range set forth in this footnote.

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0000899243-18-007581 · doc4.xml · nonDerivative · entry 3

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,440,100

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.50 - $20.91, 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 range set forth in this footnote.

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0000899243-18-007581 · doc4.xml · nonDerivative · entry 2

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,451,851

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0000899243-18-007581 · doc4.xml · nonDerivative · entry 1

CANAAN X L.P. · CIK 0001619859 · 10% owner

Canaan Partners X LLC · CIK 0001673228 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,452,051

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.77 - $21.045, 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 range set forth in this footnote.

F2 · ownership.direct: These shares are held directly by Canaan X L.P. (the "Canaan Fund"). The sole general partner of the Canaan Fund is Canaan Partners X LLC ("Canaan X", and together with the Canaan Fund, the "Canaan Entities"), and each may be deemed to have sole voting, investment and dispositive power with respect to the shares held by the Canaan Fund. Canaan X disclaims Section 16 beneficial ownership of the securities held by the Canaan Fund, except to the extent of its pecuniary interest therein, if any.

SEC source: 0001209191-18-019253 · doc4.xml · derivative · entry 3

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,331

Underlying: Common Stock · 3,500 shares

Expires 2026-04-29

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

F3 · derivative.exercise_date: The option vests over a four-year period, with 1/48th of the shares subject to the option vesting on the last day of each month following the vesting commencement date, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.

SEC source: 0001209191-18-019253 · doc4.xml · nonDerivative · entry 2

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,028

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2017.

SEC source: 0001209191-18-019253 · doc4.xml · nonDerivative · entry 1

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,528

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 · balance_after: Includes 1,706 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2018.

SEC source: 0001209191-18-016034 · doc4.xml · derivative · entry 5

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,725

Underlying: Common Stock · 875 shares

Expires 2024-10-22

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

F4 · derivative.exercise_date: The option vests over a four-year period, with 1/4th of the shares subject to the option vesting on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option vesting each month, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.

SEC source: 0001209191-18-016034 · doc4.xml · nonDerivative · entry 3

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,322

F2 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2017.

SEC source: 0001209191-18-016034 · doc4.xml · nonDerivative · entry 2

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,197

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

SEC source: 0001209191-18-016037 · doc4.xml · derivative · entry 2

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2028-02-27

F3 · derivative.exercise_date: The shares underlying this option shall vest as to 25% after one year following the grant date, and the remainder will vest in equal monthly installments over the following three years.

SEC source: 0001209191-18-016037 · doc4.xml · nonDerivative · entry 1

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 219,259

F1 · shares: Represents grant of the restricted stock units payable solely in common stock that vest in equal annual installments over four years from the grant date.

F2 · balance_after: Includes 2,000 shares and 1,822 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2017 and September 8, 2017, respectively.

SEC source: 0001209191-18-016035 · doc4.xml · derivative · entry 2

O'Neil Thomas P. · CIK 0001640645 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,000

Underlying: Common Stock · 34,000 shares

Expires 2028-02-27

F3 · derivative.exercise_date: The shares underlying this option shall vest as to 25% after one year following the grant date, and the remainder will vest in equal monthly installments over the following three years.

SEC source: 0001209191-18-016035 · doc4.xml · nonDerivative · entry 1

O'Neil Thomas P. · CIK 0001640645 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,858

F1 · shares: Represents grant of the restricted stock units payable solely in common stock that vest in equal annual installments over four years from the grant date.

F2 · balance_after: Includes 1,572 shares and 1,286 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2017 and September 8, 2017, respectively.

SEC source: 0001209191-18-016039 · doc4.xml · derivative · entry 2

Shames Richard S. · CIK 0001675878 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

Underlying: Common Stock · 37,500 shares

Expires 2028-02-27

F2 · derivative.exercise_date: The shares underlying this option shall vest as to 25% after one year following the grant date, and the remainder will vest in equal monthly installments over the following three years.

SEC source: 0001209191-18-016039 · doc4.xml · nonDerivative · entry 1

Shames Richard S. · CIK 0001675878 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

F1 · shares: Represents grant of the restricted stock units payable solely in common stock that vest in equal annual installments over four years from the grant date.

SEC source: 0001209191-18-016034 · doc4.xml · derivative · entry 4

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,500

Underlying: Common Stock · 56,500 shares

Expires 2028-02-27

F3 · derivative.exercise_date: The shares underlying this option shall vest as to 25% after one year following the grant date, and the remainder will vest in equal monthly installments over the following three years.

SEC source: 0001209191-18-016034 · doc4.xml · nonDerivative · entry 1

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,322

F1 · shares: Represents grant of the restricted stock units payable solely in common stock that vest in equal annual installments over four years from the grant date.

SEC source: 0001209191-18-003954 · doc4.xml · derivative · entry 3

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,600

Underlying: Common Stock · 875 shares

Expires 2024-10-22

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 · derivative.exercise_date: The option vests over a four-year period, with 1/4th of the shares subject to the option vesting on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option vesting each month, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.

SEC source: 0001209191-18-003954 · doc4.xml · nonDerivative · entry 2

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,822

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 6, 2017.

SEC source: 0001209191-18-003954 · doc4.xml · nonDerivative · entry 1

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,697

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

SEC source: 0001209191-17-067392 · doc4.xml · derivative · entry 3

Shames Richard S. · CIK 0001675878 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,273

Underlying: Common Stock · 3,529 shares

Expires 2026-04-29

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 · derivative.exercise_date: The option vests over a four-year period, with 1/4th of the shares subject to the option vesting on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option vesting each month, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.

SEC source: 0001209191-17-067392 · doc4.xml · nonDerivative · entry 2

Shames Richard S. · CIK 0001675878 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 9, 2017.

SEC source: 0001209191-17-067392 · doc4.xml · nonDerivative · entry 1

Shames Richard S. · CIK 0001675878 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,529

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

SEC source: 0001209191-17-066882 · doc4.xml · derivative · entry 3

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,087

Underlying: Common Stock · 8,210 shares

Expires 2024-10-22

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

F3 · derivative.exercise_date: 1/4th of the shares subject to the option shall vest on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option shall vest on the last day of each month following the first anniversary of the vesting commencement date, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.

SEC source: 0001209191-17-066882 · doc4.xml · nonDerivative · entry 2

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,437

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 9, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.50 to $19.66, inclusive. The reporting person undertakes 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 range.

SEC source: 0001209191-17-066882 · doc4.xml · nonDerivative · entry 1

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,647

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

SEC source: 0001209191-17-066699 · doc4.xml · derivative · entry 3

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,297

Underlying: Common Stock · 1,790 shares

Expires 2024-10-22

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

F3 · derivative.exercise_date: 1/4th of the shares subject to the option shall vest on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option shall vest on the last day of each month following the first anniversary of the vesting commencement date, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.

SEC source: 0001209191-17-066699 · doc4.xml · nonDerivative · entry 2

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,437

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 9, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.50 to $19.71, inclusive. The reporting person undertakes 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 range.

SEC source: 0001209191-17-066699 · doc4.xml · nonDerivative · entry 1

PATEL DINESH V PH D · CIK 0001120477 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,227

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

SEC source: 0001209191-17-066697 · doc4.xml · derivative · entry 5

O'Neil Thomas P. · CIK 0001640645 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,998

Underlying: Common Stock · 4,000 shares

Expires 2026-04-29

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 · derivative.exercise_date: The option vests over a four-year period, with 1/4th of the shares subject to the option vesting on the one year anniversary of the vesting commencement date, and 1/36th of the remaining shares subject to the option vesting each month, subject to the Reporting Person continuing to be a service provider of the Issuer through each such date.