SGMOQ

SEC source: 0001209191-19-017164 · doc4.xml · derivative · entry 3

Yi Kathy · CIK 0001697802 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 5,000 shares

Expires 2027-02-27

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.

F3 · derivative.exercise_date: One-quarter (1/4) of the option shares vested and became exercisable upon completion of one (1) year of service by the Reporting Person measured from February 27, 2017, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-19-017164 · doc4.xml · nonDerivative · entry 2

Yi Kathy · CIK 0001697802 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,512

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 14, 2017.

F2 · balance_after: Includes 4,833 shares subject to restricted stock units granted on January 24, 2018 that will vest in two (2) remaining equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such dates. Additionally, this amount includes 19,250 shares subject to restricted stock units granted on February 25, 2019 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such dates.

SEC source: 0001209191-19-017164 · doc4.xml · nonDerivative · entry 1

Yi Kathy · CIK 0001697802 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,512

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

SEC source: 0001209191-19-014297 · doc4.xml · derivative · entry 2

Yi Kathy · CIK 0001697802 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,500

Underlying: Common Stock · 115,500 shares

Expires 2029-02-24

F2 · derivative.exercise_date: One-quarter (1/4) of the option shares vest and become exercisable upon completion of one (1) year of service by the Reporting Person measured from the February 25, 2019 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-19-014297 · doc4.xml · nonDerivative · entry 1

Yi Kathy · CIK 0001697802 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,512

F1 · balance_after: Represents 19,250 shares subject to restricted stock units granted on February 25, 2019 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date. Additionally, this amount includes 4,833 shares subject to restricted stock units granted on January 24, 2018 that will vest in two (2) remaining equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such dates.

SEC source: 0001209191-19-014302 · doc4.xml · derivative · entry 2

Boissel Stephane · CIK 0001755198 · EVP, Corporate Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 105,000 shares

Expires 2029-02-24

F2 · derivative.exercise_date: One-quarter (1/4) of the option shares vest and become exercisable upon completion of one (1) year of service by the Reporting Person measured from the February 25, 2019 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-19-014302 · doc4.xml · nonDerivative · entry 1

Boissel Stephane · CIK 0001755198 · EVP, Corporate Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,500

F1 · balance_after: Represents 17,500 shares subject to restricted stock units granted on February 25, 2019 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-19-014304 · doc4.xml · derivative · entry 1

Woolfson Adrian · CIK 0001765497 · EVP, Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2029-02-24

F1 · derivative.exercise_date: One-quarter (1/4) of the option shares vest and become exercisable upon completion of one (1) year of service by the Reporting Person measured from the February 25, 2019 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-19-014300 · doc4.xml · derivative · entry 2

Turner Heather D · CIK 0001403571 · EVP, General Counsel & Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,500

Underlying: Common Stock · 115,500 shares

Expires 2029-02-24

F2 · derivative.exercise_date: One-quarter (1/4) of the option shares vest and become exercisable upon completion of one (1) year of service by the Reporting Person measured from the February 25, 2019 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-19-014300 · doc4.xml · nonDerivative · entry 1

Turner Heather D · CIK 0001403571 · EVP, General Counsel & Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,250

F1 · balance_after: Represents 19,250 shares subject to restricted stock units granted on February 25, 2019 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-19-014296 · doc4.xml · derivative · entry 2

Macrae Sandy · CIK 0001675687 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 379,500

Underlying: Common Stock · 379,500 shares

Expires 2029-02-24

F2 · derivative.exercise_date: One-quarter (1/4) of the option shares vest and become exercisable upon completion of one (1) year of service by the Reporting Person measured from the February 25, 2019 grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-19-014296 · doc4.xml · nonDerivative · entry 1

Macrae Sandy · CIK 0001675687 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,776

F1 · balance_after: Represents 63,250 shares subject to restricted stock units granted on February 25, 2019 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date. Additionally, this amount includes 21,000 shares subject to restricted stock units granted on January 24, 2018 that will vest in two (2) remaining equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such dates.

SEC source: 0001209191-19-005619 · doc4.xml · nonDerivative · entry 1

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,262

F1 · shares: Represents shares underlying the portion of the restricted stock unit grant that vested on January 24, 2019 surrendered by the Reporting Person to the Issuer for tax withholding, using the Issuer's closing stock price on January 24, 2019 of $11.10/share, pursuant to the terms of the Issuer's 2013 Stock Incentive Plan.

F2 · balance_after: Includes 1,429 shares resulting from the January 24, 2019 vesting of Reporting Person's January 24, 2018 restricted stock unit grant and 4,833 shares subject to such restricted stock unit grant that will vest in two (2) additional equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-19-005621 · doc4.xml · nonDerivative · entry 1

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,291

F1 · shares: Represents shares underlying the portion of the restricted stock unit grant that vested on January 24, 2019 surrendered by the Reporting Person to the Issuer for tax withholding, using the Issuer's closing stock price on January 24, 2019 of $11.10/share, pursuant to the terms of the Issuer's 2013 Stock Incentive Plan.

F2 · balance_after: Includes 1,208 shares resulting from the January 24, 2019 vesting of Reporting Person's January 24, 2018 restricted stock unit grant and 4,083 shares subject to such restricted stock unit grant that will vest in two (2) additional equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-19-003926 · doc4.xml · derivative · entry 3

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,000

Underlying: Common Stock · 5,000 shares

Expires 2027-02-27

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.

F3 · derivative.exercise_date: One-quarter (1/4) of the option shares vested and became exercisable upon completion of one (1) year of service by the Reporting Person measured from February 27, 2017, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-19-003926 · doc4.xml · nonDerivative · entry 2

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,250

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 14, 2017.

F2 · balance_after: Represents 7,250 shares subject to restricted stock units granted on January 24, 2018 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-19-003926 · doc4.xml · nonDerivative · entry 1

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,250

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

SEC source: 0001209191-19-002871 · doc4.xml · derivative · entry 3

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 5,000 shares

Expires 2026-11-29

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

F4 · derivative.exercise_date: One-quarter (1/4) of the option shares vested and became exercisable upon completion of one (1) year of service by the Reporting Person measured from the grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-19-002871 · doc4.xml · nonDerivative · entry 2

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,125

F2 · kind: All sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 16, 2017.

F3 · price: The price reported is a weighted average price. The shares were sold at prices ranging from $12.17 to $12.44 The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-19-002871 · doc4.xml · nonDerivative · entry 1

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,125

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

F1 · balance_after: Includes 6,125 shares subject to restricted stock units granted on January 24, 2018 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-18-063265 · doc4.xml · derivative · entry 3

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 5,000 shares

Expires 2027-02-27

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.

F3 · derivative.exercise_date: One-quarter (1/4) of the option shares vested and became exercisable upon completion of one (1) year of service by the Reporting Person measured from February 27, 2017, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-063265 · doc4.xml · nonDerivative · entry 2

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,250

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 14, 2017.

F2 · balance_after: Represents 7,250 shares subject to restricted stock units granted on January 24, 2018 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-18-063265 · doc4.xml · nonDerivative · entry 1

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,250

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

SEC source: 0001209191-18-061668 · doc4.xml · derivative · entry 3

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,000

Underlying: Common Stock · 5,000 shares

Expires 2026-11-29

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

F4 · derivative.exercise_date: One-quarter (1/4) of the option shares vested and became exercisable upon completion of one (1) year of service by the Reporting Person measured from the grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-061668 · doc4.xml · nonDerivative · entry 2

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,125

F2 · kind: All sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 16, 2017.

F3 · price: The price reported is a weighted average price. The shares were sold at prices ranging from $11.31 to $11.78 The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-061668 · doc4.xml · nonDerivative · entry 1

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,125

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

F1 · balance_after: Includes 6,125 shares subject to restricted stock units granted on January 24, 2018 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-19-045960 · doc4.xml · derivative · entry 2

Boissel Stephane · CIK 0001755198 · EVP, Corp. Strat. & Int. CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4

Underlying: Common Stock · Not disclosed shares

Expires 2021-02-03

F2 · derivative.exercise_price: In connection with the acquisition by the Issuer of Sangamo France, in addition to the grant to the Issuer of the Free Shares Call Options, the Reporting Person was granted the right to sell to the Issuer the Subject Free Shares for cash in four separate tranches beginning July 4, 2019 (the "Free Shares Put Options"), which Free Shares Put Options shall be exercisable to the extent that the corresponding Free Shares Call Options are not exercised by the Issuer. The exercise price per Subject Free Share to be paid by the Issuer upon the Reporting Person's exercise of its Free Shares Put Options is equal to the product of 2.58 euros times the quotient of the 20-day volume weighted average price of the Issuer's common stock preceding the date the Reporting Person notifies the Issuer of his exercise of his Free Shares Put Options (as converted to euros) divided by 12.8329.

F2 · kind: In connection with the acquisition by the Issuer of Sangamo France, in addition to the grant to the Issuer of the Free Shares Call Options, the Reporting Person was granted the right to sell to the Issuer the Subject Free Shares for cash in four separate tranches beginning July 4, 2019 (the "Free Shares Put Options"), which Free Shares Put Options shall be exercisable to the extent that the corresponding Free Shares Call Options are not exercised by the Issuer. The exercise price per Subject Free Share to be paid by the Issuer upon the Reporting Person's exercise of its Free Shares Put Options is equal to the product of 2.58 euros times the quotient of the 20-day volume weighted average price of the Issuer's common stock preceding the date the Reporting Person notifies the Issuer of his exercise of his Free Shares Put Options (as converted to euros) divided by 12.8329.

F2 · derivative.underlying_shares: In connection with the acquisition by the Issuer of Sangamo France, in addition to the grant to the Issuer of the Free Shares Call Options, the Reporting Person was granted the right to sell to the Issuer the Subject Free Shares for cash in four separate tranches beginning July 4, 2019 (the "Free Shares Put Options"), which Free Shares Put Options shall be exercisable to the extent that the corresponding Free Shares Call Options are not exercised by the Issuer. The exercise price per Subject Free Share to be paid by the Issuer upon the Reporting Person's exercise of its Free Shares Put Options is equal to the product of 2.58 euros times the quotient of the 20-day volume weighted average price of the Issuer's common stock preceding the date the Reporting Person notifies the Issuer of his exercise of his Free Shares Put Options (as converted to euros) divided by 12.8329.

SEC source: 0001209191-19-045960 · doc4.xml · derivative · entry 1

Boissel Stephane · CIK 0001755198 · EVP, Corp. Strat. & Int. CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4

Underlying: Common Stock · Not disclosed shares

Expires 2020-12-02

F1 · derivative.exercise_price: In connection with the acquisition by the Issuer of Sangamo Therapeutics France S.A.S. (formerly TxCell S.A.) ("Sangamo France"), the Reporting Person granted to the Issuer the right to purchase up to 238,100 "free shares" of Sangamo France (the "Subject Free Shares") for cash in four separate tranches beginning May 3, 2019 (the "Free Shares Call Options"). The exercise price per Subject Free Share to be paid by the Issuer upon exercise of its Free Shares Call Options is equal to the product of 2.58 euros times the quotient of the 20-day volume weighted average price of the Issuer's common stock preceding the date the Issuer notifies the Reporting Person of its exercise of its Free Shares Call Options (as converted to euros) divided by 12.8329.

F1 · kind: In connection with the acquisition by the Issuer of Sangamo Therapeutics France S.A.S. (formerly TxCell S.A.) ("Sangamo France"), the Reporting Person granted to the Issuer the right to purchase up to 238,100 "free shares" of Sangamo France (the "Subject Free Shares") for cash in four separate tranches beginning May 3, 2019 (the "Free Shares Call Options"). The exercise price per Subject Free Share to be paid by the Issuer upon exercise of its Free Shares Call Options is equal to the product of 2.58 euros times the quotient of the 20-day volume weighted average price of the Issuer's common stock preceding the date the Issuer notifies the Reporting Person of its exercise of its Free Shares Call Options (as converted to euros) divided by 12.8329.

F1 · derivative.underlying_shares: In connection with the acquisition by the Issuer of Sangamo Therapeutics France S.A.S. (formerly TxCell S.A.) ("Sangamo France"), the Reporting Person granted to the Issuer the right to purchase up to 238,100 "free shares" of Sangamo France (the "Subject Free Shares") for cash in four separate tranches beginning May 3, 2019 (the "Free Shares Call Options"). The exercise price per Subject Free Share to be paid by the Issuer upon exercise of its Free Shares Call Options is equal to the product of 2.58 euros times the quotient of the 20-day volume weighted average price of the Issuer's common stock preceding the date the Issuer notifies the Reporting Person of its exercise of its Free Shares Call Options (as converted to euros) divided by 12.8329.

SEC source: 0001209191-18-059976 · doc4.xml · derivative · entry 1

Boissel Stephane · CIK 0001755198 · EVP, Corporate Strategy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,523

Underlying: Common Stock · 283,523 shares

Expires 2028-11-22

F1 · shares: Includes 68,523 option shares granted to the Reporting Person pursuant to the July 20, 2018 Share Purchase Agreement between the Issuer and certain shareholders of TxCell S.A. and 215,000 option shares granted pursuant to the Reporting Person's October 2, 2018 employment agreement with the Issuer.

F2 · derivative.exercise_date: One-quarter (1/4) of the option shares vest and become exercisable after one (1) year measured from the November 23, 2018 grant date, and the remainder of the option shares will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-059015 · doc4.xml · derivative · entry 3

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,000

Underlying: Common Stock · 5,000 shares

Expires 2027-02-27

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.

F3 · derivative.exercise_date: One-quarter (1/4) of the option shares vested and became exercisable upon completion of one (1) year of service by the Reporting Person measured from February 27, 2017, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-059015 · doc4.xml · nonDerivative · entry 2

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,250

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 14, 2017.

F2 · balance_after: Represents 7,250 shares subject to restricted stock units granted on January 24, 2018 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-18-059015 · doc4.xml · nonDerivative · entry 1

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,250

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

SEC source: 0001209191-18-058823 · doc4.xml · nonDerivative · entry 1

PARKER H STEWART · CIK 0001217456 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

F1 · balance_after: Includes 2,500 shares subject to restricted stock units granted on June 11, 2018. The RSUs will fully vest on the earlier of (x) June 11, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001209191-18-057677 · doc4.xml · derivative · entry 3

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 5,000 shares

Expires 2026-11-29

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

F4 · derivative.exercise_date: One-quarter (1/4) of the option shares vested and became exercisable upon completion of one (1) year of service by the Reporting Person measured from the grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-057677 · doc4.xml · nonDerivative · entry 2

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,125

F2 · kind: All sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 16, 2017.

F3 · price: The price reported is a weighted average price. The shares were sold at prices ranging from $13.56 to $13.85 The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-057677 · doc4.xml · nonDerivative · entry 1

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,125

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

F1 · balance_after: Includes 6,125 shares subject to restricted stock units granted on January 24, 2018 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date. Includes 2,000 shares acquired by the Reporting Person on October 31, 2018 under the Issuer's 2010 Employee Stock Purchase Plan, as amended.

SEC source: 0001209191-18-055200 · doc4.xml · derivative · entry 3

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,000

Underlying: Common Stock · 5,000 shares

Expires 2027-02-27

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.

F3 · derivative.exercise_date: One-quarter (1/4) of the option shares vested and became exercisable upon completion of one (1) year of service by the Reporting Person measured from February 27, 2017, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-055200 · doc4.xml · nonDerivative · entry 2

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,250

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 14, 2017.

F2 · balance_after: Represents 7,250 shares subject to restricted stock units granted on January 24, 2018 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-18-055200 · doc4.xml · nonDerivative · entry 1

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,250

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

SEC source: 0001209191-18-054573 · doc4.xml · derivative · entry 3

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,000

Underlying: Common Stock · 5,000 shares

Expires 2026-11-29

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

F4 · derivative.exercise_date: One-quarter (1/4) of the option shares vested and became exercisable upon completion of one (1) year of service by the Reporting Person measured from the grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-054573 · doc4.xml · nonDerivative · entry 2

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,125

F2 · kind: All sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 16, 2017.

F3 · price: The price reported is a weighted average price. The shares were sold at prices ranging from $14.39 to $14.79 The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-054573 · doc4.xml · nonDerivative · entry 1

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,125

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

F1 · balance_after: Includes 6,125 shares subject to restricted stock units granted on January 24, 2018 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-18-051500 · doc4.xml · derivative · entry 3

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 5,000 shares

Expires 2027-02-27

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.

F4 · derivative.exercise_date: One-quarter (1/4) of the option shares vested and became exercisable upon completion of one (1) year of service by the Reporting Person measured from February 27, 2017, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-051500 · doc4.xml · nonDerivative · entry 2

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,250

F1 · kind: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 14, 2017.

F2 · price: The price reported is a weighted average price. The shares were sold at prices ranging from $14.50 to $14.95. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F3 · balance_after: Represents 7,250 shares subject to restricted stock units granted on January 24, 2018 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-18-051500 · doc4.xml · nonDerivative · entry 1

Yi Kathy · CIK 0001697802 · SVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,250

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

SEC source: 0001209191-18-050149 · doc4.xml · nonDerivative · entry 1

JEFFS ROGER · CIK 0001231615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,908

F1 · price: The price reported is a weighted average price. The shares were purchased at prices ranging from $13.475 to $13.60. The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F2 · balance_after: Includes 2,500 shares of common stock subject to restricted stock units ("RSUs") granted on June 11, 2018. The RSUs will fully vest on the earlier of (x) June 11, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001209191-18-050123 · doc4.xml · nonDerivative · entry 1

PARKER H STEWART · CIK 0001217456 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,500

F1 · balance_after: Includes 2,500 shares subject to restricted stock units granted on June 11, 2018. The RSUs will fully vest on the earlier of (x) June 11, 2019 (the first anniversary of the date of grant) or (y) the day prior to the 2019 annual stockholders meeting, subject to the Reporting Person's continued service on the Issuer's Board of Directors through such date.

SEC source: 0001209191-18-050085 · doc4.xml · derivative · entry 3

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 5,000 shares

Expires 2026-11-29

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

F4 · derivative.exercise_date: One-quarter (1/4) of the option shares vested and became exercisable upon completion of one (1) year of service by the Reporting Person measured from the grant date, and the remainder will vest and become exercisable in equal monthly installments for thirty-six (36) months thereafter, provided that the Reporting Person remains in service with the Issuer through each such monthly vesting date.

SEC source: 0001209191-18-050085 · doc4.xml · nonDerivative · entry 2

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,125

F2 · kind: All sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 16, 2017.

F3 · price: The price reported is a weighted average price. The shares were sold at prices ranging from $13.100 to $15.175 The Reporting Person will provide upon request to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F1 · balance_after: Includes 6,125 shares subject to restricted stock units granted on January 24, 2018 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.

SEC source: 0001209191-18-050085 · doc4.xml · nonDerivative · entry 1

Conner Edward R. · CIK 0001691265 · Sr. VP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,125

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

F1 · balance_after: Includes 6,125 shares subject to restricted stock units granted on January 24, 2018 that will vest in three (3) equal annual installments on each anniversary of the grant date, such that they will be vested in full on the third (3rd) anniversary of the grant date, subject to the Reporting Person's continued service with the Issuer through such date.