PTGX

SEC source: 0001209191-21-036667 · doc4.xml · derivative · entry 1

SELICK HAROLD E · CIK 0001287233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2031-05-26

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier of (i) May 27, 2022, or (ii) the date of the 2022 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: 0001209191-21-036662 · doc4.xml · derivative · entry 1

Giraudo Bryan · CIK 0001740847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2031-05-26

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier of (i) May 27, 2022, or (ii) the date of the 2022 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: 0001209191-21-014981 · 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: 225,000

Underlying: Common Stock · 225,000 shares

Expires 2031-02-25

F2 · derivative.exercise_date: The stock option vests in 48 equal monthly installments following the date of grant.

SEC source: 0001209191-21-014981 · 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: 451,144

F1 · shares: Represents grant of restricted stock units payable solely in common stock that will become fully vested on February 26, 2024.

SEC source: 0001209191-21-014984 · doc4.xml · derivative · entry 2

Saks Samuel R · CIK 0001365615 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,000

Underlying: Common Stock · 90,000 shares

Expires 2031-02-25

F3 · derivative.exercise_date: The stock option vests in 48 equal monthly installments following the date of grant.

SEC source: 0001209191-21-014984 · doc4.xml · nonDerivative · entry 1

Saks Samuel R · CIK 0001365615 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,000

F1 · shares: Represents grant of restricted stock units payable solely in common stock that will become fully vested on February 26, 2024.

F2 · balance_after: Includes 2,000 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on September 9, 2020.

SEC source: 0001209191-21-014976 · doc4.xml · derivative · entry 2

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2031-02-25

F3 · derivative.exercise_date: The stock option vests in 48 equal monthly installments following the date of grant.

SEC source: 0001209191-21-014976 · doc4.xml · nonDerivative · entry 1

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,427

F1 · shares: Represents grant of restricted stock units payable solely in common stock that will become fully vested on February 26, 2024.

F2 · balance_after: Includes an aggregate of 2,625 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on September 9, 2019 and March 9, 2020.

SEC source: 0001209191-21-014973 · doc4.xml · derivative · entry 2

Kalkofen Donald A. · CIK 0001771066 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2031-02-25

F3 · derivative.exercise_date: The stock option vests in 48 equal monthly installments following the date of grant.

SEC source: 0001209191-21-014973 · doc4.xml · nonDerivative · entry 1

Kalkofen Donald A. · CIK 0001771066 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,386

F1 · shares: Represents grant of restricted stock units payable solely in common stock that will become fully vested on February 26, 2024.

F2 · balance_after: Includes an aggregate of 1,711 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2020 and September 9, 2020.

SEC source: 0001209191-21-014967 · doc4.xml · derivative · entry 2

Gupta Suneel · CIK 0001763923 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common · 80,000 shares

Expires 2031-02-25

F3 · derivative.exercise_date: The stock option vests in 48 equal monthly installments following the date of grant.

SEC source: 0001209191-21-014967 · doc4.xml · nonDerivative · entry 1

Gupta Suneel · CIK 0001763923 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,987

F1 · shares: Represents grant of restricted stock units payable solely in common stock that will become fully vested on February 26, 2024.

F2 · balance_after: Includes an aggregate of 2,487 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2020 and September 9, 2020.

SEC source: 0001209191-21-010401 · doc4.xml · derivative · entry 7

Noonberg Sarah B. · CIK 0001706301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,600

Underlying: Common Stock · 3,700 shares

Expires 2028-05-28

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.

F5 · derivative.exercise_date: This option is fully vested. It vested in accordance with the following schedule: 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: 0001209191-21-010401 · doc4.xml · nonDerivative · entry 5

Noonberg Sarah B. · CIK 0001706301 · Director

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 July 1, 2020.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.00 to $25.20, 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: 0001209191-21-010401 · doc4.xml · nonDerivative · entry 4

Noonberg Sarah B. · CIK 0001706301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,700

SEC source: 0001209191-21-010401 · doc4.xml · derivative · entry 6

Noonberg Sarah B. · CIK 0001706301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,300

Underlying: Common Stock · 4,700 shares

Expires 2028-05-28

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.

F5 · derivative.exercise_date: This option is fully vested. It vested in accordance with the following schedule: 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: 0001209191-21-010401 · doc4.xml · nonDerivative · entry 3

Noonberg Sarah B. · CIK 0001706301 · Director

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 July 1, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.03 to $26.08, 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: 0001209191-21-010401 · doc4.xml · nonDerivative · entry 2

Noonberg Sarah B. · CIK 0001706301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400

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 July 1, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.01 to $25.93, 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: 0001209191-21-010401 · doc4.xml · nonDerivative · entry 1

Noonberg Sarah B. · CIK 0001706301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,700

SEC source: 0001209191-21-004570 · 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: 165,742

Underlying: Common Stock · 13,000 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.

F3 · derivative.exercise_date: 1/48th of the shares subject to the option vested on the last day of each month following the vesting commencement date. The option became fully vested on April 25, 2020.

SEC source: 0001209191-21-004570 · 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: 426,144

F1 · kind: The sales reported in this Form 4 include: (a) the open market sale of 13,000 shares of common stock acquired pursuant to the exercise of options to purchase common stock; and (b) the open market sale of an additional 11,846 shares of common stock. Such transactions were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 6, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.01 to $24.95, 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: 0001209191-21-004570 · 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: 450,990

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: 0001209191-20-047246 · doc4.xml · derivative · entry 1

O'Dowd Sarah A · CIK 0001447149 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2030-08-16

F1 · derivative.exercise_date: The shares subject to the option shall vest in 36 equal monthly installments from the vesting commencement date of August 12, 2020.

SEC source: 0001209191-20-046427 · doc4.xml · derivative · entry 3

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,499

Underlying: Common Stock · 2,499 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: This option is fully vested.

SEC source: 0001209191-20-046427 · doc4.xml · nonDerivative · entry 2

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

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.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.91 to $17.46, 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: 0001209191-20-046427 · doc4.xml · nonDerivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,499

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: 0001209191-20-033020 · doc4.xml · derivative · entry 1

KHOSLA CHAITAN PHD · CIK 0001135139 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-05-27

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier of (i) May 28, 2021, or (ii) the date of the 2021 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: 0001209191-20-033022 · doc4.xml · derivative · entry 1

Noonberg Sarah B. · CIK 0001706301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-05-27

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier of (i) May 28, 2021, or (ii) the date of the 2021 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: 0001209191-20-033032 · doc4.xml · derivative · entry 1

Williams Lewis T · CIK 0001475714 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-05-27

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier of (i) May 28, 2021, or (ii) the date of the 2021 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: 0001209191-20-033031 · doc4.xml · derivative · entry 1

Waddill William D. · CIK 0001553338 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-05-27

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier of (i) May 28, 2021, or (ii) the date of the 2021 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: 0001209191-20-033026 · doc4.xml · derivative · entry 1

SELICK HAROLD E · CIK 0001287233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-05-27

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier of (i) May 28, 2021, or (ii) the date of the 2021 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: 0001209191-20-033016 · doc4.xml · derivative · entry 1

Giraudo Bryan · CIK 0001740847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-05-27

F1 · derivative.exercise_date: The shares subject to this option shall vest at the earlier of (i) May 28, 2021, or (ii) the date of the 2021 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: 0001209191-20-026593 · 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: 437,990

SEC source: 0001209191-20-020714 · 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: 34,087

Underlying: Common Stock · 10,000 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.

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: 0001209191-20-020714 · 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: 439,990

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: 0001209191-20-018645 · doc4.xml · nonDerivative · entry 1

SELICK HAROLD E · CIK 0001287233 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,310

SEC source: 0001209191-20-018752 · 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 · 18,344 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.

F2 · derivative.exercise_date: The option became fully vested on September 1, 2019.

SEC source: 0001209191-20-018752 · 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: 429,990

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 1,822 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on March 9, 2020.

SEC source: 0001209191-20-014097 · doc4.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,000

Underlying: Common Stock · 235,000 shares

Expires 2030-02-27

F1 · derivative.exercise_date: The stock option vests in 48 equal monthly installments following the date of grant.

SEC source: 0001209191-20-014100 · doc4.xml · derivative · entry 1

Saks Samuel R · CIK 0001365615 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2030-02-27

F1 · derivative.exercise_date: The stock option vests in 48 equal monthly installments following the date of grant.

SEC source: 0001209191-20-014090 · doc4.xml · derivative · entry 1

Kalkofen Donald A. · CIK 0001771066 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2030-02-27

F1 · derivative.exercise_date: The stock option vests in 48 equal monthly installments following the date of grant.

SEC source: 0001209191-20-014092 · doc4.xml · derivative · entry 1

Liu David Y · CIK 0001675881 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,000

Underlying: Common Stock · 70,000 shares

Expires 2030-02-27

F1 · derivative.exercise_date: The stock option vests in 48 equal monthly installments following the date of grant.

SEC source: 0001209191-20-014088 · doc4.xml · derivative · entry 1

Gupta Suneel · CIK 0001763923 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,000

Underlying: Common Stock · 85,000 shares

Expires 2030-02-27

F1 · derivative.exercise_date: The stock option vests in 48 equal monthly installments following the date of grant.

SEC source: 0001209191-19-058799 · 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: 409,824

SEC source: 0001209191-19-058799 · 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: 389,824

SEC source: 0001209191-19-058853 · doc4.xml · nonDerivative · entry 1

Giraudo Bryan · CIK 0001740847 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Bryan & Courtney Giraudo Trust

Disclosed balance after: 8,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.565 to $5.81, 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: 0001209191-19-058839 · doc4.xml · nonDerivative · entry 1

Gupta Suneel · CIK 0001763923 · EVP Clinical Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,500

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.99 to $5.24, 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.

F2 · balance_after: Includes 2,000 shares acquired by the Reporting Person under the Issuer's 2016 Employee Stock Purchase Plan on September 9, 2019.

SEC source: 0001209191-19-058800 · doc4.xml · nonDerivative · entry 2

Kalkofen Donald A. · CIK 0001771066 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,175

SEC source: 0001209191-19-058800 · doc4.xml · nonDerivative · entry 1

Kalkofen Donald A. · CIK 0001771066 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 613

SEC source: 0001209191-19-058295 · 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: 18,343

Underlying: Common Stock · 4,000 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.

F2 · 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.