VIVS

SEC source: 0001209191-17-050412 · doc4.xml · derivative · entry 1

Maroun Richard E · CIK 0001364590 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2027-08-24

F1 · derivative.exercise_date: The option shares vest and become exercisable in full on the earlier of (i) August 24, 2018 or (ii) immediately prior to commencement of the Issuer's next annual stockholder meeting.

SEC source: 0001209191-17-050410 · doc4.xml · derivative · entry 1

Malloy Kirk · CIK 0001326794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2027-08-24

F1 · derivative.exercise_date: The option shares vest and become exercisable in full on the earlier of (i) August 24, 2018 or (ii) immediately prior to commencement of the Issuer's next annual stockholder meeting.

SEC source: 0001209191-17-050408 · doc4.xml · derivative · entry 1

KESSEL MARK · CIK 0001222013 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2027-08-24

F1 · derivative.exercise_date: The option shares vest and become exercisable in full on the earlier of (i) August 24, 2018 or (ii) immediately prior to commencement of the Issuer's next annual stockholder meeting.

SEC source: 0001209191-17-050406 · doc4.xml · derivative · entry 1

HOWSON TAMAR D · CIK 0001202286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2027-08-24

F1 · derivative.exercise_date: The option shares vest and become exercisable in full on the earlier of (i) August 24, 2018 or (ii) immediately prior to commencement of the Issuer's next annual stockholder meeting.

SEC source: 0001209191-17-050402 · doc4.xml · derivative · entry 1

GLOVER JAMES T · CIK 0001231175 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2027-08-24

F1 · derivative.exercise_date: The option shares vest and become exercisable in full on the earlier of (i) August 24, 2018 or (ii) immediately prior to commencement of the Issuer's next annual stockholder meeting.

SEC source: 0001209191-17-050397 · doc4.xml · derivative · entry 1

Baltera Robert Jr. · CIK 0001536555 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,500

Underlying: Common Stock · 42,500 shares

Expires 2027-08-24

F1 · derivative.exercise_date: The option shares vest and become exercisable in full on the earlier of (i) August 24, 2018 or (ii) immediately prior to commencement of the Issuer's next annual stockholder meeting.

SEC source: 0001209191-17-049428 · doc4.xml · nonDerivative · entry 1

Presnell Sharon Collins · CIK 0001536585 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,073

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016 and June 2017, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 1,282,192 shares of common stock underlying outstanding options held by Dr. Presnell; post-transaction Dr. Presnell beneficially owns or has a right to acquire 1,575,265 shares of common stock.

SEC source: 0001209191-17-049424 · doc4.xml · nonDerivative · entry 1

KUSSMAN CRAIG · CIK 0001197083 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,638

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in August 2016 and June 2017, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 330,000 shares of common stock underlying oustanding options held by Mr. Kussman; post-transaction Mr. Kussman continues to beneficially own or have a right to acquire 655,638 shares of common stock.

SEC source: 0001209191-17-049423 · doc4.xml · nonDerivative · entry 1

Gallant Paul · CIK 0001651405 · General Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,414

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016 and June 2017, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 320,000 shares of common stock underlying outstanding options held by Mr. Gallant; post-transaction Mr. Gallant beneficially owns or has a right to acquire 515,414 shares of common stock.

SEC source: 0001209191-17-049422 · doc4.xml · nonDerivative · entry 1

David Eric · CIK 0001549671 · CSO & EVP Pre-Clinical Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 882,234

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016 and June 2017, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 1,070,000 shares of common stock underlying outstanding options held by Dr. David; post-transaction Dr. David beneficially owns or has a right to acquire 1,952,234 shares of common stock.

SEC source: 0001209191-17-049421 · doc4.xml · nonDerivative · entry 1

Bush Jennifer · CIK 0001621152 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,080

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016 and June 2017, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 375,000 shares of common stock underlying outstanding options held by Ms. Bush; post-transaction Ms. Bush beneficially owns or has a right to acquire 639,080 shares of common stock.

SEC source: 0001209191-17-042355 · doc4.xml · nonDerivative · entry 1

Presnell Sharon Collins · CIK 0001536585 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,188

F1 · security: Annual long-term equity award approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · shares: The shares represent a grant of Restricted Stock Units ("RSUs"). The RSUs represent a right to receive shares of the Issuer's common stock, at no additional conversion or exercise price. The RSUs vest and settle over 16 equal quarterly installments measured from May 15, 2017.

F3 · balance_after: This number does not include 1,282,192 shares of common stock underlying outstanding options held by Dr. Presnell; post-transaction Dr. Presnell beneficially owns or has a right to acquire 1,581,380 shares of common stock.

SEC source: 0001209191-17-042353 · doc4.xml · nonDerivative · entry 1

KUSSMAN CRAIG · CIK 0001197083 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 352,000

F1 · security: Annual long-term equity award approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · shares: The shares represent a grant of Restricted Stock Units ("RSUs"). The RSUs represent a right to receive shares of the Issuer's common stock, at no additional conversion or exercise price. The RSUs vest and settle over 16 equal quarterly installments measured from May 15, 2017.

F3 · balance_after: This number does not include 330,000 shares of common stock underlying oustanding options held by Mr. Kussman; post-transaction Mr. Kussman continues to beneficially own or have a right to acquire 682,00 shares of common stock.

SEC source: 0001209191-17-042351 · doc4.xml · nonDerivative · entry 1

Gallant Paul · CIK 0001651405 · General Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,738

F1 · security: Annual long-term equity award approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · shares: The shares represent a grant of Restricted Stock Units ("RSUs"). The RSUs represent a right to receive shares of the Issuer's common stock, at no additional conversion or exercise price. The RSUs vest and settle over 16 equal quarterly installments measured from May 15, 2017.

F3 · balance_after: This number does not include 325,000 shares of common stock underlying outstanding options held by Mr. Gallant; post-transaction Mr. Gallant beneficially owns or has a right to acquire 527,738 shares of common stock.

SEC source: 0001209191-17-042350 · doc4.xml · nonDerivative · entry 1

David Eric · CIK 0001549671 · CSO & EVP Pre-Clinical Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 890,703

F1 · security: Annual long-term equity award approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · shares: The shares represent a grant of Restricted Stock Units ("RSUs"). The RSUs represent a right to receive shares of the Issuer's common stock, at no additional conversion or exercise price. The RSUs vest and settle over 16 equal quarterly installments measured from May 15, 2017.

F3 · balance_after: This number does not include 1,070,000 shares of common stock underlying outstanding options held by Dr. David; post-transaction Dr. David beneficially owns or has a right to acquire 1,960,703 shares of common stock.

SEC source: 0001209191-17-042349 · doc4.xml · nonDerivative · entry 2

Bush Jennifer · CIK 0001621152 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,951

F1 · security: Annual long-term equity award approved by the Compensation Committee of the Issuer's Board of Directors.

F3 · shares: The shares represent a grant of Restricted Stock Units ("RSUs"). The RSUs represent a right to receive shares of the Issuer's common stock, at no additional conversion or exercise price. The RSUs vest and settle over 16 equal quarterly installments measured from May 15, 2017.

F4 · balance_after: This number does not include 375,000 shares of common stock underlying outstanding options held by Ms. Bush; post-transaction Ms. Bush beneficially owns or has a right to acquire 644,951 shares of common stock.

SEC source: 0001209191-17-042349 · doc4.xml · nonDerivative · entry 1

Bush Jennifer · CIK 0001621152 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,951

F1 · security: Annual long-term equity award approved by the Compensation Committee of the Issuer's Board of Directors.

F2 · shares: The shares represent a grant of Restricted Stock Units ("RSUs"). The RSUs represent a right to receive shares of the Issuer's common stock, at no additional conversion or exercise price. 25% of the RSUs vest and settle on November 15, 2017 and the remaining RSUs vest and settle in 12 equal quarterly installments thereafter.

SEC source: 0001209191-17-033416 · doc4.xml · nonDerivative · entry 1

Gallant Paul · CIK 0001651405 · General Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,738

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 320,000 shares of common stock underlying outstanding options held by Mr. Gallant; post-transaction Mr. Gallant continues to beneficially own or have a right to acquire 362,738 shares of common stock.

SEC source: 0001209191-17-033415 · doc4.xml · nonDerivative · entry 1

David Eric · CIK 0001549671 · CSO & EVP Pre-Clinical Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 700,703

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 1,070,000 shares of common stock underlying outstanding options held by Dr. David; post-transaction Dr. David continues to beneficially own or have a right to acquire 1,770,703 shares of common stock.

SEC source: 0001209191-17-033414 · doc4.xml · nonDerivative · entry 1

Bush Jennifer · CIK 0001621152 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,951

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 375,000 shares of common stock underlying outstanding options held by Ms. Bush; post-transaction Ms. Bush continues to beneficially own or have a right to acquire 419,951 shares of common stock.

SEC source: 0001209191-17-033413 · doc4.xml · nonDerivative · entry 1

Presnell Sharon Collins · CIK 0001536585 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,188

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 1,282,192 shares of common stock underlying outstanding options held by Dr. Presnell; post-transaction Dr. Presnell continues to beneficially own or have a right to acquire 1,381,380 shares of common stock.

SEC source: 0001209191-17-028005 · doc4.xml · derivative · entry 1

CROUCH TAYLOR · CIK 0001197086 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,088,212

Underlying: Common Stock · 2,088,212 shares

Expires 2027-04-23

F1 · derivative.exercise_date: 25% of the option shares vest and become exercisable on April 24, 2018 and the remaining shares vest in 12 equal quarterly installments thereafter.

SEC source: 0001209191-17-031052 · doc5.xml · nonDerivative · entry 1

Presnell Sharon Collins · CIK 0001536585 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,355

F1 · kind: This transaction represents charitable contributions by the Reporting Person.

F2 · balance_after: This number does not include 1,282,192 shares of common stock underlying outstanding options held by Dr. Presnell; post-transaction Dr. Presnell continues to beneficially own or have a right to acquire 1,382,547 shares of common stock.

SEC source: 0001209191-17-012857 · doc4.xml · nonDerivative · entry 1

Presnell Sharon Collins · CIK 0001536585 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,355

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 1,282,192 shares of common stock underlying outstanding options held by Dr. Presnell; post-transaction Dr. Presnell continues to beneficially own or have a right to acquire 1,397,547 shares of common stock.

SEC source: 0001209191-17-012853 · doc4.xml · nonDerivative · entry 1

Murphy Keith · CIK 0001536583 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,038,173

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 1,831,454 shares of common stock underlying outstanding options held by Mr. Murphy; post-transaction Mr. Murphy continues to beneficially own or have a right to acquire 7,869,627 shares of common stock.

SEC source: 0001209191-17-012851 · doc4.xml · nonDerivative · entry 1

Gallant Paul · CIK 0001651405 · General Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,055

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 320,000 shares of common stock underlying outstanding options held by Mr. Gallant; post-transaction Mr. Gallant continues to beneficially own or have a right to acquire 364,055 shares of common stock.

SEC source: 0001209191-17-012847 · doc4.xml · nonDerivative · entry 1

David Eric · CIK 0001549671 · CSO & EVP Pre-Clinical Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 701,966

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 1,070,000 shares of common stock underlying outstanding options held by Dr. David; post-transaction Dr. David continues to beneficially own or have a right to acquire 1,771,966 shares of common stock.

SEC source: 0001209191-17-012843 · doc4.xml · nonDerivative · entry 1

Bush Jennifer · CIK 0001621152 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,186

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 375,000 shares of common stock underlying outstanding options held by Ms. Bush; post-transaction Ms. Bush continues to beneficially own or have a right to acquire 421,186 shares of common stock.

SEC source: 0001209191-17-031051 · doc5.xml · nonDerivative · entry 1

Murphy Keith · CIK 0001536583 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,019,173

F1 · kind: This transaction represents charitable contributions by the Reporting Person.

F2 · balance_after: This number does not include 1,831,454 shares of common stock underlying outstanding options held by Mr. Murphy; post-transaction Mr. Murphy continues to beneficially own or have a right to acquire 7,850,627 shares of common stock.

SEC source: 0001209191-17-009742 · doc4.xml · nonDerivative · entry 2

Murphy Keith · CIK 0001536583 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,043,915

F2 · kind: The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F3 · price: This transaction was executed in multiple sales through a sale order executed by a broker-dealer at prices ranging from $3.63 to $3.74. The price reported in this column reflects the weighted average sale price. The Reporting Person will provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F4 · balance_after: This number does not include 1,831,454 shares of common stock underlying outstanding options held by Mr. Murphy; post-transaction Mr. Murphy continues to beneficially own or have a right to acquire 7,875,369 shares of common stock.

SEC source: 0001209191-17-009742 · doc4.xml · derivative · entry 3

Murphy Keith · CIK 0001536583 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2017-02-08

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

F5 · derivative.exercise_price: The Reporting Person exercised warrants to purchase 30,000 shares of the Issuer's common stock for $1.00 a share. The warrant would have expired by its terms if not exercised by the Reporting Person on February 8, 2017.

SEC source: 0001209191-17-009742 · doc4.xml · nonDerivative · entry 1

Murphy Keith · CIK 0001536583 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · IRA

Disclosed balance after: 6,068,915

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 · ownership.direct: The Warrants are held by the Equity Trust Co. Custodian FBO Keith Murphy IRA.

SEC source: 0001209191-17-005511 · doc4.xml · nonDerivative · entry 2

Murphy Keith · CIK 0001536583 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,038,915

F1 · kind: The sale of shares was effectuated pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F3 · price: This transaction was executed in multiple sales through a sale order executed by a broker-dealer at prices ranging from $3.50 to $3.515. The price reported in this column reflects the weighted average sale price. The Reporting Person will provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F4 · balance_after: This number does not include 1,831,454 shares of common stock underlying oustanding options and 30,000 shares of common stock underlying warrants held by Mr. Murphy; post-transaction Mr. Murphy continues to beneficially own or have a right to acquire 7,900,369 shares of common stock.

SEC source: 0001209191-17-005511 · doc4.xml · nonDerivative · entry 1

Murphy Keith · CIK 0001536583 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,059,015

F1 · kind: The sale of shares was effectuated pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: This transaction was executed in multiple sales through a sale order executed by a broker-dealer at prices ranging from $3.50 to $3.54. The price reported in this column reflects the weighted average sale price. The Reporting Person will provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-16-155477 · doc4.xml · nonDerivative · entry 1

Murphy Keith · CIK 0001536583 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,063,915

F1 · kind: The sale of shares was effectuated pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person.

F2 · price: This transaction was executed in multiple sales through a sale order executed by a broker-dealer at prices ranging from $3.65 to $3.80. The price reported in this column reflects the weighted average sale price. The Reporting Person will provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F3 · balance_after: This number does not include 1,831,454 shares of common stock underlying oustanding options and 30,000 shares of common stock underlying warrants held by Mr. Murphy; post-transaction Mr. Murphy continues to beneficially own or have a right to acquire 7,925,369 shares of common stock.

SEC source: 0001209191-16-151268 · doc4.xml · nonDerivative · entry 1

David Eric · CIK 0001549671 · CSO & EVP Pre-Clinical Dev

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 703,356

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 1,070,000 shares of common stock underlying outstanding options held by Dr. David; post-transaction Dr. David continues to beneficially own or have a right to acquire 1,773,356 shares of common stock.

SEC source: 0001209191-16-151276 · doc4.xml · nonDerivative · entry 1

Presnell Sharon Collins · CIK 0001536585 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,745

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 1,282,192 shares of common stock underlying outstanding options held by Dr. Presnell; post-transaction Dr. Presnell continues to beneficially own or have a right to acquire 1,398,937 shares of common stock.

SEC source: 0001209191-16-151275 · doc4.xml · nonDerivative · entry 1

Murphy Keith · CIK 0001536583 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,113,915

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 1,831,454 shares of common stock underlying oustanding options and 30,000 shares of common stock underlying warrants held by Mr. Murphy; post-transaction Mr. Murphy continues to beneficially own or have a right to acquire 7,975,369 shares of common stock.

SEC source: 0001209191-16-151272 · doc4.xml · nonDerivative · entry 1

Gallant Paul · CIK 0001651405 · General Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,375

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 320,000 shares of common stock underlying outstanding options held by Mr. Gallant; post-transaction Mr. Gallant continues to beneficially own or have a right to acquire 365,375 shares of common stock.

SEC source: 0001209191-16-151265 · doc4.xml · nonDerivative · entry 1

Bush Jennifer · CIK 0001621152 · General Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,576

F1 · shares: Represents the mandatory sale of shares to satisfy the Reporting Person's tax withholding obligations, in connection with the partial vesting and settlement of restricted stock units granted in July 2016, pursuant to the Reporting Person's agreement with the Issuer.

F2 · balance_after: This number does not include 375,000 shares of common stock underlying outstanding options held by Ms. Bush; post-transaction Ms. Bush continues to beneficially own or have a right to acquire 422,576 shares of common stock.

SEC source: 0001209191-16-142170 · doc4.xml · nonDerivative · entry 1

Murphy Keith · CIK 0001536583 · Director · Chairman, CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,121,115

F1 · shares: The reported transaction represents the mandatory withholding of shares by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the partial vesting and settlement of restricted stock units granted in July 2016.

F2 · balance_after: This number does not include 1,831,454 shares of common stock underlying oustanding options and 30,000 shares of common stock underlying warrants held by Mr. Murphy; post-transaction Mr. Murphy continues to beneficially own or have a right to acquire 7,982,569 shares of common stock.

SEC source: 0001209191-18-047200 · doc4.xml · derivative · entry 2

Gallant Paul · CIK 0001651405 · General Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2028-08-15

F3 · derivative.exercise_date: 25% of the option shares vest and become exercisable on August 15, 2019 and the remaining shares vest in 12 equal quarterly installments thereafter.