RGNX

SEC source: 0001562180-22-005681 · primarydocument.xml · nonDerivative · entry 2

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,640

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

SEC source: 0001562180-22-005681 · primarydocument.xml · nonDerivative · entry 1

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,108

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 $30.0000 to $30.0065. The price reported above reflects the weighted average sales 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: 0001562180-24-000249 · primarydocument.xml · nonDerivative · entry 1

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,678

F1 · security: The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the REGENXBIO Inc. Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of January 1, 2022 through June 30, 2022. This transaction is exempt under Rule 16b-3(c).

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the Issuer's common stock on June 30, 2022.

SEC source: 0001562180-22-004873 · primarydocument.xml · derivative · entry 2

Bennett Jean · CIK 0001872219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,324

Underlying: Common Stock · 15,324 shares

Expires 2032-06-03

F2 · derivative.exercise_date: The option will vest in 12 equal monthly installments following June 3, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-004873 · primarydocument.xml · nonDerivative · entry 1

Bennett Jean · CIK 0001872219 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,010

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 100% of the shares subject to this RSU will vest on June 1, 2023 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-004879 · primarydocument.xml · derivative · entry 2

MIGAUSKY GEORGE V · CIK 0001134365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,324

Underlying: Common Stock · 15,324 shares

Expires 2032-06-03

F2 · derivative.exercise_date: The option will vest in 12 equal monthly installments following June 3, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-004879 · primarydocument.xml · nonDerivative · entry 1

MIGAUSKY GEORGE V · CIK 0001134365 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,010

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 100% of the shares subject to this RSU will vest on June 1, 2023 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-004883 · primarydocument.xml · derivative · entry 2

Zachary Jennifer · CIK 0001737231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,739

Underlying: Common Stock · 29,739 shares

Expires 2032-06-03

F2 · derivative.exercise_date: The option will vest in equal monthly installments over the 36 months following June 3, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-004883 · primarydocument.xml · nonDerivative · entry 1

Zachary Jennifer · CIK 0001737231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,020

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). One-third of the shares subject to this RSU will vest on each of June 1, 2023, June 1, 2024 and June 1, 2025 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-004876 · primarydocument.xml · derivative · entry 2

Glucksmann Alexandra · CIK 0001658390 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,324

Underlying: Common Stock · 15,324 shares

Expires 2032-06-03

F2 · derivative.exercise_date: The option will vest in 12 equal monthly installments following June 3, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-004876 · primarydocument.xml · nonDerivative · entry 1

Glucksmann Alexandra · CIK 0001658390 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,010

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 100% of the shares subject to this RSU will vest on June 1, 2023 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-004875 · primarydocument.xml · derivative · entry 2

Fox Allan M. · CIK 0001652936 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,324

Underlying: Common Stock · 15,324 shares

Expires 2032-06-03

F2 · derivative.exercise_date: The option will vest in 12 equal monthly installments following June 3, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-004875 · primarydocument.xml · nonDerivative · entry 1

Fox Allan M. · CIK 0001652936 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,010

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 100% of the shares subject to this RSU will vest on June 1, 2023 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-004880 · primarydocument.xml · derivative · entry 2

STUMP DAVID C · CIK 0001191235 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,324

Underlying: Common Stock · 15,324 shares

Expires 2032-06-03

F2 · derivative.exercise_date: The option will vest in 12 equal monthly installments following June 3, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-004880 · primarydocument.xml · nonDerivative · entry 1

STUMP DAVID C · CIK 0001191235 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,010

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 100% of the shares subject to this RSU will vest on June 1, 2023 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-004878 · primarydocument.xml · derivative · entry 2

KARABELAS ARGERIS N · CIK 0001191229 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,324

Underlying: Common Stock · 15,324 shares

Expires 2032-06-03

F2 · derivative.exercise_date: The option will vest in 12 equal monthly installments following June 3, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-004878 · primarydocument.xml · nonDerivative · entry 1

KARABELAS ARGERIS N · CIK 0001191229 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,010

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 100% of the shares subject to this RSU will vest on June 1, 2023 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-004881 · primarydocument.xml · derivative · entry 2

Tasse Daniel · CIK 0001502785 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,324

Underlying: Common Stock · 15,324 shares

Expires 2032-06-03

F2 · derivative.exercise_date: The option will vest in 12 equal monthly installments following June 3, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-004881 · primarydocument.xml · nonDerivative · entry 1

Tasse Daniel · CIK 0001502785 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,010

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 100% of the shares subject to this RSU will vest on June 1, 2023 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-000597 · primarydocument.xml · derivative · entry 2

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 29,900 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: 0001562180-22-000597 · primarydocument.xml · nonDerivative · entry 1

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,440

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: 0001562180-22-000156 · primarydocument.xml · derivative · entry 5

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,100

Underlying: Common Stock · 51,100 shares

Expires 2032-01-03

F6 · 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, 2023 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-000156 · primarydocument.xml · nonDerivative · entry 4

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,078

F5 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 25% of the shares subject to this RSU will vest on each of January 1, 2023, January 1, 2024, January 1, 2025 and January 1, 2026 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-000159 · primarydocument.xml · derivative · entry 4

PAKOLA STEVE · CIK 0001700659 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2032-01-03

F4 · 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, 2023 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-000159 · primarydocument.xml · nonDerivative · entry 3

PAKOLA STEVE · CIK 0001700659 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,150

F3 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 25% of the shares subject to this RSU will vest on each of January 1, 2023, January 1, 2024, January 1, 2025 and January 1, 2026 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-000159 · primarydocument.xml · nonDerivative · entry 2

PAKOLA STEVE · CIK 0001700659 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,250

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 $33.72 to $33.81. 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: 0001562180-22-000149 · primarydocument.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,188

Underlying: Common Stock · 170,188 shares

Expires 2032-01-03

F2 · 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, 2023 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-000149 · primarydocument.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 309,844

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 25% of the shares subject to this RSU will vest on each of January 1, 2023, January 1, 2024, January 1, 2025 and January 1, 2026 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-000170 · primarydocument.xml · derivative · entry 2

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2032-01-03

F2 · 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, 2023 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-000170 · primarydocument.xml · nonDerivative · entry 1

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,540

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 25% of the shares subject to this RSU will vest on each of January 1, 2023, January 1, 2024, January 1, 2025 and January 1, 2026 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-000168 · primarydocument.xml · derivative · entry 3

Simpson Curran · CIK 0001346164 · Chief Oper. & Tech. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,100

Underlying: Common Stock · 51,100 shares

Expires 2032-01-03

F2 · 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, 2023 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-000168 · primarydocument.xml · nonDerivative · entry 2

Simpson Curran · CIK 0001346164 · Chief Oper. & Tech. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,116

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 25% of the shares subject to this RSU will vest on each of January 1, 2023, January 1, 2024, January 1, 2025 and January 1, 2026 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-000155 · primarydocument.xml · derivative · entry 3

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,400

Underlying: Common Stock · 37,400 shares

Expires 2032-01-03

F2 · 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, 2023 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-22-000155 · primarydocument.xml · nonDerivative · entry 2

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,940

F1 · shares: Represents shares of common stock underlying a time-based restricted stock unit award (RSU). 25% of the shares subject to this RSU will vest on each of January 1, 2023, January 1, 2024, January 1, 2025 and January 1, 2026 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-22-000156 · primarydocument.xml · nonDerivative · entry 3

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,378

SEC source: 0001562180-22-000159 · primarydocument.xml · nonDerivative · entry 1

PAKOLA STEVE · CIK 0001700659 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,848

SEC source: 0001562180-22-000149 · primarydocument.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 274,048

SEC source: 0001562180-22-000168 · primarydocument.xml · nonDerivative · entry 1

Simpson Curran · CIK 0001346164 · Chief Oper. & Tech. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,416

SEC source: 0001562180-22-000155 · primarydocument.xml · nonDerivative · entry 1

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,040

SEC source: 0001562180-22-000156 · primarydocument.xml · nonDerivative · entry 2

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,599

F3 · security: The reporting person is voluntarily reporting the acquisition of shares of the Issuer's common stock pursuant to the ESPP for the ESPP purchase period of July 1, 2021 through December 31, 2021. This transaction is exempt under Rule 16b-3(c).

F4 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the Issuer's common stock on December 31, 2021.

SEC source: 0001562180-21-007876 · primarydocument.xml · nonDerivative · entry 3

Fox Allan M. · CIK 0001652936 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Quaker Gray LLC

Disclosed balance after: 1,529,981

F4 · price: This transaction was executed in multiple trades at prices ranging from $35.75 to $36.00. 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.

F2 · ownership.nature: The reporting person disclaims beneficial ownership of such shares except to the extent of his indirect pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001562180-21-007876 · primarydocument.xml · nonDerivative · entry 2

Fox Allan M. · CIK 0001652936 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Quaker Gray LLC

Disclosed balance after: 1,536,304

F3 · price: This transaction was executed in multiple trades at prices ranging from $34.75 to $35.73. 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.

F2 · ownership.nature: The reporting person disclaims beneficial ownership of such shares except to the extent of his indirect pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001562180-21-007876 · primarydocument.xml · nonDerivative · entry 1

Fox Allan M. · CIK 0001652936 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Quaker Gray LLC

Disclosed balance after: 1,581,212

F1 · price: This transaction was executed in multiple trades at prices ranging from $34.01 to $34.94. 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.

F2 · ownership.nature: The reporting person disclaims beneficial ownership of such shares except to the extent of his indirect pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

SEC source: 0001562180-21-007473 · primarydocument.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,684

F1 · shares: This transaction involved an irrevocable gift of securities by the Reporting Person to a charitable donor advised fund.

SEC source: 0001562180-21-006967 · primarydocument.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,854

Underlying: Common Stock · 1,500 shares

Expires 2025-05-18

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 275,000 shares, became exercisable as follows: 25% of the shares subject to this option vested on May 19, 2016, and the balance vested in equal monthly installments over the 36 months thereafter.

SEC source: 0001562180-21-006967 · primarydocument.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,984

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

SEC source: 0001562180-21-006967 · primarydocument.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,484

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: 0001562180-21-006147 · primarydocument.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,354

Underlying: Common Stock · 1,500 shares

Expires 2025-05-18

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 275,000 shares, became exercisable as follows: 25% of the shares subject to this option vested on May 19, 2016, and the balance vested in equal monthly installments over the 36 months thereafter.

SEC source: 0001562180-21-006147 · primarydocument.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,984

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

SEC source: 0001562180-21-006147 · primarydocument.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 282,484

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.