SNES

SEC source: 0001225208-20-013965 · doc4.xml · derivative · entry 1

Leach Jacob Steven · CIK 0001700255 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,046

Underlying: Common Stock · 27,046 shares

Expires 2025-11-05

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of June 30, 2021 will vest as of such date (subject to recipient's continued service to the Company through such vesting date).

SEC source: 0001225208-20-010171 · doc4.xml · derivative · entry 1

SIEGEL KENNETH S · CIK 0001167024 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,965

Underlying: Common Stock · 101,965 shares

Expires 2025-07-31

F1 · derivative.exercise_date: Date at which first vesting occurs is indicated. 1/12th of the total stock option granted vests on the first vesting date and an additional 1/12th will vest on the last day of each quarter thereafter, with 100% of the stock option fully vested on 6-30-2023.

SEC source: 0001225208-20-010172 · doc4.xml · derivative · entry 1

CHESTERMAN THOMAS C · CIK 0001247660 · CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2025-07-31

F1 · derivative.exercise_date: Date at which first vesting occurs is indicated. 1/12th of the total stock option granted vests on the first vesting date and an additional 1/12th will vest on the last day of each quarter thereafter, with 100% of the stock option fully vested on 6-30-2023.

SEC source: 0001225208-20-009984 · doc4.xml · derivative · entry 1

Wolin Kim Patrice · CIK 0001689616 · EVP & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,738

Underlying: Common Stock · 30,738 shares

Expires not disclosed

F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in full on the earlier of April 29, 2021 or recipients termination of employment.

F2 · derivative.expiration_date: The restricted stock units vest in full on the earlier of April 29, 2021 or recipients termination of employment.

SEC source: 0001225208-20-009985 · doc4.xml · derivative · entry 1

Morrison Jamie Bechtel · CIK 0001729595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,921

Underlying: Common Stock · 2,921 shares

Expires 2025-07-24

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the one-year anniversary of the date of grant will vest as of such date (subject to recipient's continued service to the Company through such vesting dates).

SEC source: 0001225208-20-009749 · doc4.xml · derivative · entry 1

DUMONT MARC · CIK 0001030600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,098

Underlying: Common Stock · 24,098 shares

Expires 2025-07-10

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the one-year anniversary of the date of grant will vest as of such date (subject to recipient's continued service to the Company through such vesting dates).

SEC source: 0001225208-20-009751 · doc4.xml · derivative · entry 1

Williams Julia Ann · CIK 0001689618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,177

Underlying: Common Stock · 21,177 shares

Expires 2025-07-10

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the one-year anniversary of the date of grant will vest as of such date (subject to recipient's continued service to the Company through such vesting dates).

SEC source: 0001225208-20-009750 · doc4.xml · derivative · entry 1

Szot Matthew K · CIK 0001401385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,401

Underlying: Common Stock · 31,401 shares

Expires 2025-07-10

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the one-year anniversary of the date of grant will vest as of such date (subject to recipient's continued service to the Company through such vesting dates).

SEC source: 0001225208-20-009748 · doc4.xml · derivative · entry 1

Chiavarini Delphine Francois · CIK 0001744264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,480

Underlying: Common Stock · 28,480 shares

Expires 2025-07-10

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the one-year anniversary of the date of grant will vest as of such date (subject to recipient's continued service to the Company through such vesting dates).

SEC source: 0001225208-20-009747 · doc4.xml · derivative · entry 1

Morrison Jamie Bechtel · CIK 0001729595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,164

Underlying: Common Stock · 40,164 shares

Expires 2025-07-10

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the one-year anniversary of the date of grant will vest as of such date (subject to recipient's continued service to the Company through such vesting dates).

SEC source: 0001225208-20-009146 · doc4.xml · derivative · entry 4

DUMONT MARC · CIK 0001030600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 564 shares

Expires 2020-06-18

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.

F2 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F1 · shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F3 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F3 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F1 · derivative.underlying_shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001225208-20-009146 · doc4.xml · nonDerivative · entry 1

DUMONT MARC · CIK 0001030600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,337

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 · shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F2 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F1 · balance_after: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001225208-20-009149 · doc4.xml · derivative · entry 5

Williams Julia Ann · CIK 0001689618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 423 shares

Expires 2020-06-18

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.

F2 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F1 · shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F5 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F5 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F1 · derivative.underlying_shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001225208-20-009149 · doc4.xml · nonDerivative · entry 1

Williams Julia Ann · CIK 0001689618 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Julia A. Williams MD Trust

Disclosed balance after: 8,161.95

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 · shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F2 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F1 · balance_after: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001225208-20-009147 · doc4.xml · derivative · entry 2

Szot Matthew K · CIK 0001401385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 846 shares

Expires 2020-06-18

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.

F2 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F1 · shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F3 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F3 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F1 · derivative.underlying_shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001225208-20-009147 · doc4.xml · nonDerivative · entry 1

Szot Matthew K · CIK 0001401385 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Szot Family Trust

Disclosed balance after: 4,658

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 · shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F2 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F1 · balance_after: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001225208-20-009150 · doc4.xml · derivative · entry 2

Chiavarini Delphine Francois · CIK 0001744264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 846 shares

Expires 2020-06-18

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.

F2 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F1 · shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F3 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F3 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F1 · derivative.underlying_shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001225208-20-009150 · doc4.xml · nonDerivative · entry 1

Chiavarini Delphine Francois · CIK 0001744264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,314

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 · shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F2 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F1 · balance_after: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001225208-20-009145 · doc4.xml · derivative · entry 2

Morrison Jamie Bechtel · CIK 0001729595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,198 shares

Expires 2020-06-18

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.

F2 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F1 · shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F3 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F3 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F1 · derivative.underlying_shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001225208-20-009145 · doc4.xml · nonDerivative · entry 1

Morrison Jamie Bechtel · CIK 0001729595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,812

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 · shares: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F2 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F1 · balance_after: On February 4, 2020, the Issuer effected a 1-for-20 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001225208-20-006925 · doc4.xml · derivative · entry 1

Krause Steven C. · CIK 0001810605 · EVP, Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2025-04-28

F1 · derivative.exercise_date: The option vests and becomes exercisable as to 1/36th of the total shares on each monthly anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting dates).

SEC source: 0001225208-19-013766 · doc4.xml · nonDerivative · entry 2

Mayer Loretta Powers · CIK 0001689608 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 335,165

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on July 5, 2017.

SEC source: 0001225208-19-013206 · doc4.xml · nonDerivative · entry 2

Dyer Cheryl Ann · CIK 0001689556 · Pres. & Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 320,091

SEC source: 0001225208-19-013206 · doc4.xml · nonDerivative · entry 1

Dyer Cheryl Ann · CIK 0001689556 · Pres. & Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 370,091

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person July 5, 2017.

F2 · price: The price shown is a weighted average sales price. The shares were sold at prices ranging from $0.90 to $0.97 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001225208-19-012804 · doc4.xml · derivative · entry 1

Wolin Kim Patrice · CIK 0001689616 · EVP & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2024-09-20

F1 · derivative.exercise_date: Date at which first vesting occurs is indicated. One-twelfth of the total stock options granted vest on the first vesting date and quarterly thereafter over three years of continuous service.

SEC source: 0001225208-19-012803 · doc4.xml · derivative · entry 1

CHESTERMAN THOMAS C · CIK 0001247660 · CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2024-09-20

F1 · derivative.exercise_date: Date at which first vesting occurs is indicated. One-twelfth of the total stock options granted vest on the first vesting date and quarterly thereafter over three years of continuous service.

SEC source: 0001225208-19-013766 · doc4.xml · nonDerivative · entry 1

Mayer Loretta Powers · CIK 0001689608 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 341,165

SEC source: 0001225208-19-011640 · doc4.xml · nonDerivative · entry 2

Mayer Loretta Powers · CIK 0001689608 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 371,165

F2 · price: The price shown is a weighted average sales price. The shares were sold at prices ranging from $1.18 to $1.23 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001225208-19-011641 · doc4.xml · nonDerivative · entry 2

Dyer Cheryl Ann · CIK 0001689556 · Pres. & Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 376,091

F2 · price: The price shown is a weighted average sales price. The shares were sold at prices ranging from $1.18 to $1.23 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001225208-19-011640 · doc4.xml · nonDerivative · entry 1

Mayer Loretta Powers · CIK 0001689608 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391,165

F1 · price: The price shown is a weighted average sales price. The shares were sold at prices ranging from $1.20 to $1.27 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001225208-19-011641 · doc4.xml · nonDerivative · entry 1

Dyer Cheryl Ann · CIK 0001689556 · Pres. & Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 396,091

F1 · price: The price shown is a weighted average sales price. The shares were sold at prices ranging from $1.16 to $1.22 per share. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001225208-19-010368 · doc4.xml · nonDerivative · entry 1

SIEGEL KENNETH S · CIK 0001167024 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 702,558

SEC source: 0001225208-19-009922 · doc4.xml · derivative · entry 4

Mayer Loretta Powers · CIK 0001689608 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,336 shares

Expires 2019-06-30

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

F1 · security: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F2 · derivative.exercise_date: Date at which first vesting occured is indicated. One-third of the total restricted stock units ("RSUs") granted vested on the first vesting date and the remaining RSUs vested in equal quarterly tranches over the next 24 months of continuous service.

F3 · derivative.expiration_date: Date at which final vesting occured is indicated.

SEC source: 0001225208-19-009922 · doc4.xml · nonDerivative · entry 2

Mayer Loretta Powers · CIK 0001689608 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,165

SEC source: 0001225208-19-009922 · doc4.xml · nonDerivative · entry 1

Mayer Loretta Powers · CIK 0001689608 · Director · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 419,708

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 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

SEC source: 0001225208-19-009921 · doc4.xml · derivative · entry 4

Dyer Cheryl Ann · CIK 0001689556 · Pres. & Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,336 shares

Expires 2019-06-30

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

F1 · security: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F2 · derivative.exercise_date: Date at which first vesting occured is indicated. One-third of the total restricted stock units ("RSUs") granted vested on the first vesting date and the remaining RSUs vested in equal quarterly tranches over the next 24 months of continuous service.

F3 · derivative.expiration_date: Date at which final vesting occured is indicated.

SEC source: 0001225208-19-009921 · doc4.xml · nonDerivative · entry 2

Dyer Cheryl Ann · CIK 0001689556 · Pres. & Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 416,091

SEC source: 0001225208-19-009921 · doc4.xml · nonDerivative · entry 1

Dyer Cheryl Ann · CIK 0001689556 · Pres. & Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 424,962

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 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

SEC source: 0001225208-19-009484 · doc4.xml · derivative · entry 6

DUMONT MARC · CIK 0001030600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,896

Underlying: Common Stock · 22,896 shares

Expires 2024-06-18

F4 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the one-year anniversary of the date of grant will vest as of such date (subject to recipient's continued service to the Company through such vesting dates).

SEC source: 0001225208-19-009484 · doc4.xml · derivative · entry 5

DUMONT MARC · CIK 0001030600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,268

Underlying: Common Stock · 11,268 shares

Expires 2020-06-18

F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F3 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

SEC source: 0001225208-19-009484 · doc4.xml · derivative · entry 4

DUMONT MARC · CIK 0001030600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,791 shares

Expires not disclosed

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_price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F2 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

SEC source: 0001225208-19-009484 · doc4.xml · nonDerivative · entry 1

DUMONT MARC · CIK 0001030600 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,454

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 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

SEC source: 0001225208-19-009482 · doc4.xml · derivative · entry 2

SIEGEL KENNETH S · CIK 0001167024 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,262 shares

Expires not disclosed

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_price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F2 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

SEC source: 0001225208-19-009482 · doc4.xml · nonDerivative · entry 1

SIEGEL KENNETH S · CIK 0001167024 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,262

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 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

SEC source: 0001225208-19-009487 · doc4.xml · derivative · entry 7

Williams Julia Ann · CIK 0001689618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,535

Underlying: Common Stock · 18,535 shares

Expires 2024-06-18

F6 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the one-year anniversary of the date of grant will vest as of such date (subject to recipient's continued service to the Company through such vesting dates).

SEC source: 0001225208-19-009487 · doc4.xml · derivative · entry 6

Williams Julia Ann · CIK 0001689618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,451

Underlying: Common Stock · 8,451 shares

Expires 2020-06-18

F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F5 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F5 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

SEC source: 0001225208-19-009487 · doc4.xml · derivative · entry 5

Williams Julia Ann · CIK 0001689618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,692 shares

Expires not disclosed

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_price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F4 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F4 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

SEC source: 0001225208-19-009487 · doc4.xml · nonDerivative · entry 1

Williams Julia Ann · CIK 0001689618 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Julia A. Williams MD Trust

Disclosed balance after: 154,779

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 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

SEC source: 0001225208-19-009486 · doc4.xml · derivative · entry 4

Szot Matthew K · CIK 0001401385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,618

Underlying: Common Stock · 31,618 shares

Expires 2024-06-18

F4 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the one-year anniversary of the date of grant will vest as of such date (subject to recipient's continued service to the Company through such vesting dates).

SEC source: 0001225208-19-009486 · doc4.xml · derivative · entry 3

Szot Matthew K · CIK 0001401385 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,901

Underlying: Common Stock · 16,901 shares

Expires 2020-06-18

F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis.

F3 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).

F3 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2020 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date).