RGNX

SEC source: 0001562180-21-000345 · primarydocument.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,360

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: 0001562180-21-000345 · primarydocument.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,988

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: 0001562180-21-000307 · primarydocument.xml · derivative · entry 13

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 641

Underlying: Common Stock · 1,378 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.

F8 · 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 vested in equal monthly installments over the 36 months thereafter.

SEC source: 0001562180-21-000307 · primarydocument.xml · nonDerivative · entry 9

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,372

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

F6 · price: This transaction was executed in multiple trades at prices ranging from $49.00 to $49.32. 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: 0001562180-21-000307 · primarydocument.xml · nonDerivative · entry 8

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,750

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: 0001562180-21-000344 · primarydocument.xml · nonDerivative · entry 1

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,985

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 $50.10. 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: 0001562180-21-000345 · primarydocument.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,240

Underlying: Common Stock · 1,700 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.

F3 · 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 vested in equal monthly installments over the 36 months thereafter.

SEC source: 0001562180-21-000345 · primarydocument.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,748

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 $50.10. 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: 0001562180-21-000345 · primarydocument.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,448

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: 0001562180-21-000307 · primarydocument.xml · derivative · entry 12

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,019

Underlying: Common Stock · 2,622 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.

F8 · 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 vested in equal monthly installments over the 36 months thereafter.

SEC source: 0001562180-21-000307 · primarydocument.xml · derivative · entry 11

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,431

Underlying: Common Stock · 7,500 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.

F7 · 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 vested in equal monthly installments over the 36 months thereafter.

SEC source: 0001562180-21-000307 · primarydocument.xml · nonDerivative · entry 7

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,372

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

F5 · price: This transaction was executed in multiple trades at prices ranging from $49.00 to $49.42. 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: 0001562180-21-000307 · primarydocument.xml · nonDerivative · entry 6

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,494

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: 0001562180-21-000307 · primarydocument.xml · nonDerivative · entry 5

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,872

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: 0001562180-21-000283 · primarydocument.xml · nonDerivative · entry 4

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,185

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

F5 · price: This transaction was executed in multiple trades at prices ranging from $47.98 to $48.56. 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: 0001562180-21-000283 · primarydocument.xml · nonDerivative · entry 3

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,758

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 $46.92 to $47.82. 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: 0001562180-21-000283 · primarydocument.xml · nonDerivative · entry 2

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,966

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 $45.92 to $46.87. 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: 0001562180-21-000307 · primarydocument.xml · derivative · entry 10

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,931

Underlying: Common Stock · 10,000 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.

F7 · 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 vested in equal monthly installments over the 36 months thereafter.

SEC source: 0001562180-21-000307 · primarydocument.xml · nonDerivative · entry 4

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,372

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 $47.87 to $48.74. 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: 0001562180-21-000307 · primarydocument.xml · nonDerivative · entry 3

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,692

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 $46.87 to $47.85. 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: 0001562180-21-000307 · primarydocument.xml · nonDerivative · entry 2

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,754

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 $45.86 to $46.84. 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: 0001562180-21-000307 · primarydocument.xml · nonDerivative · entry 1

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,372

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: 0001562180-21-000282 · primarydocument.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,670

Underlying: Common Stock · 1,500 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.

F3 · 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: 0001562180-21-000282 · primarydocument.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,984

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 $50.095. 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: 0001562180-21-000282 · primarydocument.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,484

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: 0001562180-21-000283 · primarydocument.xml · nonDerivative · entry 1

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,426

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 $50.095. 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: 0001562180-21-000284 · primarydocument.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,940

Underlying: Common Stock · 5,185 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.

F3 · 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 vested in equal monthly installments over the 36 months thereafter.

SEC source: 0001562180-21-000284 · primarydocument.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,748

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 $50.17. 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: 0001562180-21-000284 · primarydocument.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,933

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: 0001562180-21-000142 · primarydocument.xml · derivative · entry 2

PAKOLA STEVE · CIK 0001700659 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,700

Underlying: Common Stock · 49,700 shares

Expires 2031-01-04

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 4, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-21-000142 · primarydocument.xml · nonDerivative · entry 1

PAKOLA STEVE · CIK 0001700659 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,000

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, 2022, January 1, 2023, January 1, 2024 and January 1, 2025 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-21-000141 · primarydocument.xml · derivative · entry 4

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,500

Underlying: Common Stock · 52,500 shares

Expires 2031-01-04

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 4, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-21-000141 · primarydocument.xml · nonDerivative · entry 3

Danos Olivier · CIK 0001701180 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,043

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, 2022, January 1, 2023, January 1, 2024 and January 1, 2025 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-21-000139 · primarydocument.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,167

Underlying: Common Stock · 185,167 shares

Expires 2031-01-04

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 4, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-21-000139 · primarydocument.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 281,984

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, 2022, January 1, 2023, January 1, 2024 and January 1, 2025 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-21-000144 · primarydocument.xml · derivative · entry 2

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,200

Underlying: Common Stock · 56,200 shares

Expires 2031-01-04

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 4, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-21-000144 · primarydocument.xml · nonDerivative · entry 1

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,424

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, 2022, January 1, 2023, January 1, 2024 and January 1, 2025 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-21-000143 · primarydocument.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,300

Underlying: Common Stock · 62,300 shares

Expires 2031-01-04

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 4, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-21-000143 · primarydocument.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,748

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, 2022, January 1, 2023, January 1, 2024 and January 1, 2025 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-21-000140 · primarydocument.xml · derivative · entry 2

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

Underlying: Common Stock · 62,500 shares

Expires 2031-01-04

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 4, 2022 while the optionee provides continuous service to the Issuer.

SEC source: 0001562180-21-000140 · primarydocument.xml · nonDerivative · entry 1

Christmas Patrick J. · CIK 0001521123 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,372

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, 2022, January 1, 2023, January 1, 2024 and January 1, 2025 while the recipient provides continuous service to the Issuer.

SEC source: 0001562180-20-007506 · primarydocument.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,170

Underlying: Common Stock · 6,500 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: 0001562180-20-007506 · primarydocument.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,000

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 $48.87 to $49.62. 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: 0001562180-20-007506 · primarydocument.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,853

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 $47.87 to $48.86. 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: 0001562180-20-007506 · primarydocument.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 247,500

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: 0001562180-20-007470 · primarydocument.xml · nonDerivative · entry 2

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,024

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

SEC source: 0001562180-20-007469 · primarydocument.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,670

Underlying: Common Stock · 4,500 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.

F2 · 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: 0001562180-20-007469 · primarydocument.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,000

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

SEC source: 0001562180-20-007469 · primarydocument.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,500

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: 0001562180-20-007470 · primarydocument.xml · nonDerivative · entry 1

Vasista Vittal · CIK 0001652827 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,400

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 $50.12. 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.