RGNX

SEC source: 0001562180-19-002324 · primarydocument.xml · derivative · entry 8

Christmas Patrick J. · CIK 0001521123 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,641

Underlying: Common Stock · 1,459 shares

Expires 2027-01-03

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

F6 · derivative.exercise_date: The previously granted option, representing a right to purchase a total of 11,100 shares, became exercisable as follows: 25% of the shares subject to this option vested on January 4, 2018, and the balance vests in equal monthly installments over the 36 months thereafter while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-002324 · primarydocument.xml · derivative · entry 7

Christmas Patrick J. · CIK 0001521123 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,931

Underlying: Common Stock · 3,541 shares

Expires 2026-08-17

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

F5 · derivative.exercise_date: The previously granted option, representing a right to purchase a total of 125,000 shares, became exercisable as follows: 25% of the shares subject to this option vested on August 18, 2017, and the balance vests in equal monthly installments over the 36 months thereafter while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-002324 · primarydocument.xml · nonDerivative · entry 6

Christmas Patrick J. · CIK 0001521123 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,006

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

SEC source: 0001562180-19-002324 · primarydocument.xml · nonDerivative · entry 5

Christmas Patrick J. · CIK 0001521123 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,106

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

F4 · price: This transaction was executed in multiple trades at prices ranging from $54.32 to $55.26. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-002324 · primarydocument.xml · nonDerivative · entry 4

Christmas Patrick J. · CIK 0001521123 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,991

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

F3 · price: This transaction was executed in multiple trades at prices ranging from $53.20 to $54.18. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-002324 · primarydocument.xml · nonDerivative · entry 3

Christmas Patrick J. · CIK 0001521123 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,106

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

F2 · price: This transaction was executed in multiple trades at prices ranging from $52.12 to $53.10. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-002324 · primarydocument.xml · nonDerivative · entry 2

Christmas Patrick J. · CIK 0001521123 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,006

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001562180-19-002324 · primarydocument.xml · nonDerivative · entry 1

Christmas Patrick J. · CIK 0001521123 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,547

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001562180-19-002311 · primarydocument.xml · derivative · entry 1

PAKOLA STEVE · CIK 0001700659 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,000

Underlying: Common Stock · 95,000 shares

Expires 2029-04-17

F1 · derivative.exercise_date: 25% of the shares subject to this option shall vest after 12 months of continuous service with the Issuer. The balance will vest in equal monthly installments over the 36 months following April 17, 2020 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-002295 · primarydocument.xml · derivative · entry 4

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,500

Underlying: Common Stock · 2,000 shares

Expires 2027-03-26

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.

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

F4 · derivative.exercise_date: The previously granted option, representing a right to purchase a total of 100,000 shares, became exercisable as follows: 25% of the shares subject to this option vested on March 27, 2018, and the balance vests in equal monthly installments over the 36 months thereafter while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-002295 · primarydocument.xml · nonDerivative · entry 3

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

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

F3 · price: This transaction was executed in multiple trades at prices ranging from $52.94 to $53.36. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-002295 · primarydocument.xml · nonDerivative · entry 2

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

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

F2 · price: This transaction was executed in multiple trades at prices ranging from $51.88 to $52.71. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-002295 · primarydocument.xml · nonDerivative · entry 1

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,500

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001562180-19-002018 · primarydocument.xml · nonDerivative · entry 2

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,215

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

F3 · price: This transaction was executed in multiple trades at prices ranging from $61.12 to $61.65. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-002018 · primarydocument.xml · nonDerivative · entry 1

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,915

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

F2 · price: This transaction was executed in multiple trades at prices ranging from $60.12 to $61.09. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-002005 · primarydocument.xml · derivative · entry 4

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,670

Underlying: Common Stock · 15,000 shares

Expires 2024-09-23

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

F4 · derivative.exercise_date: The previously granted option, representing a right to purchase a total of 708,200 shares, became exercisable as follows: 474,490 of the shares subject to the option are initial shares ("Initial Shares") and 233,710 of the shares subject to the option are contingent shares ("Contingent Shares"). 120,394 of the Initial Shares vested on September 17, 2014, 88,524 of the Initial Shares vested on September 17, 2015 and an additional 7,377 of the Initial Shares vested upon each month of continuous service to the Company thereafter. 25% of the Contingent Shares were deemed vested as of September 17, 2014 on January 13, 2015 due to a subsequent event. The remainder of the Contingent Shares vested over four years of service following September 17, 2014, with 25% of the remaining 75% of Contingent Shares having vested on September 17, 2015 and the remaining Contingent Shares having vested in 36 equal monthly installments thereafter.

SEC source: 0001562180-19-002005 · primarydocument.xml · nonDerivative · entry 3

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,000

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

F3 · price: This transaction was executed in multiple trades at prices ranging from $58.51 to $59.26. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-002005 · primarydocument.xml · nonDerivative · entry 2

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,130

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

F2 · price: This transaction was executed in multiple trades at prices ranging from $57.51 to $58.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-002005 · primarydocument.xml · nonDerivative · entry 1

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,000

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001562180-19-001906 · primarydocument.xml · derivative · entry 2

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,500

Underlying: Common Stock · 5,000 shares

Expires 2027-03-26

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.

F1 · derivative.exercise_date: The previously granted option, representing a right to purchase a total of 100,000 shares, became exercisable as follows: 25% of the shares subject to this option vested on March 27, 2018, and the balance vests in equal monthly installments over the 36 months thereafter while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-001906 · primarydocument.xml · nonDerivative · entry 1

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

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: 0001562180-19-001801 · primarydocument.xml · nonDerivative · entry 1

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,215

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

F2 · price: This transaction was executed in multiple trades at prices ranging from $60.00 to $60.08. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-001472 · primarydocument.xml · derivative · entry 3

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,250

Underlying: Common Stock · 5,300 shares

Expires 2028-01-03

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

F2 · derivative.exercise_date: The previously granted option, representing a right to purchase a total of 55,000 shares, became exercisable as follows: 25% of the shares subject to this option vested on January 3, 2019, and the balance vests in equal monthly installments over the 36 months thereafter while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-001472 · primarydocument.xml · nonDerivative · entry 2

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,500

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

SEC source: 0001562180-19-001472 · primarydocument.xml · nonDerivative · entry 1

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,800

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001562180-19-001047 · primarydocument.xml · nonDerivative · entry 4

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,000

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

F4 · price: This transaction was executed in multiple trades at prices ranging from $47.57 to $48.15. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-001047 · primarydocument.xml · nonDerivative · entry 3

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 254,066

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

F3 · price: This transaction was executed in multiple trades at prices ranging from $46.56 to $47.54. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-001047 · primarydocument.xml · nonDerivative · entry 2

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,588

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

F2 · price: This transaction was executed in multiple trades at prices ranging from $45.48 to $46.44. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-001047 · primarydocument.xml · derivative · entry 5

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,670

Underlying: Common Stock · 15,000 shares

Expires 2024-09-23

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: The previously granted option, representing a right to purchase a total of 708,200 shares, became exercisable as follows: 474,490 of the shares subject to the option are initial shares ("Initial Shares") and 233,710 of the shares subject to the option are contingent shares ("Contingent Shares"). 120,394 of the Initial Shares vested on September 17, 2014, 88,524 of the Initial Shares vested on September 17, 2015 and an additional 7,377 of the Initial Shares vested upon each month of continuous service to the Company thereafter. 25% of the Contingent Shares were deemed vested as of September 17, 2014 on January 13, 2015 due to a subsequent event. The remainder of the Contingent Shares vested over four years of service following September 17, 2014, with 25% of the remaining 75% of Contingent Shares having vested on September 17, 2015 and the remaining Contingent Shares having vested in 36 equal monthly installments thereafter.

SEC source: 0001562180-19-001047 · primarydocument.xml · nonDerivative · entry 1

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,000

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: 0001562180-19-000874 · primarydocument.xml · derivative · entry 2

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,900

Underlying: Common Stock · 120,000 shares

Expires 2024-09-23

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: The previously granted option, representing a right to purchase a total of 424,900 shares, became exercisable as follows: 284,683 of the shares subject to the option are initial shares ("Initial Shares") and 140,217 of the shares subject to the option are contingent shares ("Contingent Shares"). 72,235 of the Initial Shares vested on September 17, 2014, 53,112 of the Initial Shares vested on September 17, 2015 and an additional 4,426 of the Initial Shares vested upon each month of continuous service to the Company thereafter. 25% of the Contingent Shares were deemed vested as of September 17, 2014 on January 13, 2015 due to a subsequent event. The remainder of the Contingent Shares vested over four years of service following September 17, 2014, with 25% of the remaining 75% of Contingent Shares having vested on September 17, 2015 and the remaining Contingent Shares having vested in 36 equal monthly installments thereafter.

F2 · derivative.exercise_date: (Continued from footnote 1) Notwithstanding the foregoing, 59,533 shares subject to this option that would otherwise have vested monthly between January 2018 and September 2018 were deemed vested as of December 31, 2015 on January 28, 2016 due to subsequent events.

SEC source: 0001562180-19-000874 · primarydocument.xml · nonDerivative · entry 1

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,283

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: 0001562180-19-000815 · primarydocument.xml · derivative · entry 9

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,708

Underlying: Common Stock · 625 shares

Expires 2026-01-27

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

F6 · derivative.exercise_date: The previously granted option, representing a right to purchase a total of 10,000 shares, became exercisable as follows: 25% of the shares subject to this option vested on January 28, 2017, and the balance vests in equal monthly installments over the 36 months thereafter while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-000815 · primarydocument.xml · derivative · entry 8

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 1,875 shares

Expires 2027-01-03

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

F5 · derivative.exercise_date: The previously granted option, representing a right to purchase a total of 30,000 shares, became exercisable as follows: 25% of the shares subject to this option vested on January 4, 2018, and the balance vests in equal monthly installments over the 36 months thereafter while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-000815 · primarydocument.xml · derivative · entry 7

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,219

Underlying: Common Stock · 32,882 shares

Expires 2025-08-30

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

F4 · derivative.exercise_date: The previously granted option, representing a right to purchase a total of 230,500 shares, became exercisable as follows: 25% of the shares subject to this option vested on August 31, 2016, and the balance vests in equal monthly installments over the 36 months thereafter while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-000815 · primarydocument.xml · derivative · entry 6

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,550

Underlying: Common Stock · 8,450 shares

Expires 2028-01-03

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

F3 · derivative.exercise_date: The previously granted option, representing a right to purchase a total of 55,000 shares, became exercisable as follows: 25% of the shares subject to this option vested on January 3, 2019, and the balance vests in equal monthly installments over the 36 months thereafter while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-000815 · primarydocument.xml · nonDerivative · entry 5

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,500

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

F2 · price: This transaction was executed in multiple trades at prices ranging from $50.00 to $50.49. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-000815 · primarydocument.xml · nonDerivative · entry 4

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,332

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001562180-19-000815 · primarydocument.xml · nonDerivative · entry 3

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,707

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001562180-19-000815 · primarydocument.xml · nonDerivative · entry 2

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,832

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001562180-19-000815 · primarydocument.xml · nonDerivative · entry 1

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,950

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 · kind: This transaction was effected pursuant to a Rule 10b5-1 trading plan.

SEC source: 0001562180-19-000759 · primarydocument.xml · derivative · entry 2

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,670

Underlying: Common Stock · 45,000 shares

Expires 2024-09-23

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: The previously granted option, representing a right to purchase a total of 708,200 shares, became exercisable as follows: 474,490 of the shares subject to the option are initial shares ("Initial Shares") and 233,710 of the shares subject to the option are contingent shares ("Contingent Shares"). 120,394 of the Initial Shares vested on September 17, 2014, 88,524 of the Initial Shares vested on September 17, 2015 and an additional 7,377 of the Initial Shares vested upon each month of continuous service to the Company thereafter. 25% of the Contingent Shares were deemed vested as of September 17, 2014 on January 13, 2015 due to a subsequent event. The remainder of the Contingent Shares vested over four years of service following September 17, 2014, with 25% of the remaining 75% of Contingent Shares having vested on September 17, 2015 and the remaining Contingent Shares having vested in 36 equal monthly installments thereafter.

SEC source: 0001562180-19-000759 · primarydocument.xml · nonDerivative · entry 1

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 246,000

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: 0001562180-19-000337 · primarydocument.xml · nonDerivative · entry 2

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 201,000

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

F3 · price: This transaction was executed in multiple trades at prices ranging from $44.13 to $44.62. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-000337 · primarydocument.xml · nonDerivative · entry 1

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,140

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

F2 · price: This transaction was executed in multiple trades at prices ranging from $43.13 to $44.12. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001562180-19-000220 · primarydocument.xml · derivative · entry 1

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

Underlying: Common Stock · 48,000 shares

Expires 2029-01-03

F1 · derivative.exercise_date: 25% of the shares subject to this option shall vest after 12 months of continuous service with the Issuer. The balance will vest in equal monthly installments over the 36 months following January 3, 2020 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-000218 · primarydocument.xml · derivative · entry 1

Mills Kenneth T. · CIK 0001652824 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,000

Underlying: Common Stock · 190,000 shares

Expires 2029-01-03

F1 · derivative.exercise_date: 25% of the shares subject to this option shall vest after 12 months of continuous service with the Issuer. The balance will vest in equal monthly installments over the 36 months following January 3, 2020 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-000219 · primarydocument.xml · derivative · entry 1

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,000

Underlying: Common Stock · 57,000 shares

Expires 2029-01-03

F1 · derivative.exercise_date: 25% of the shares subject to this option shall vest after 12 months of continuous service with the Issuer. The balance will vest in equal monthly installments over the 36 months following January 3, 2020 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-000221 · primarydocument.xml · derivative · entry 1

Simpson Curran · CIK 0001346164 · SVP, Product Development & CTO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,000

Underlying: Common Stock · 46,000 shares

Expires 2029-01-03

F1 · derivative.exercise_date: 25% of the shares subject to this option shall vest after 12 months of continuous service with the Issuer. The balance will vest in equal monthly installments over the 36 months following January 3, 2020 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-19-000222 · primarydocument.xml · derivative · entry 2

Christmas Patrick J. · CIK 0001521123 · SVP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2029-01-03

F3 · derivative.exercise_date: 25% of the shares subject to this option shall vest after 12 months of continuous service with the Issuer. The balance will vest in equal monthly installments over the 36 months following January 3, 2020 while the optionee provides continuous service to the Issuer.