VRDN

SEC source: 0001209191-18-002465 · doc4.xml · derivative · entry 1

Hughes Thomas E. · CIK 0001611048 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,426

Underlying: Common Stock · 3,426 shares

Expires 2028-01-02

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2016 Equity Incentive Plan (the "Plan"). The shares vest in four equal quarterly installments beginning on January 1, 2018 through December 31, 2018, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in and as determined under the Plan. The option expires 10 years after the date of grant.

SEC source: 0001209191-17-067133 · doc4.xml · nonDerivative · entry 1

Hughes Thomas E. · CIK 0001611048 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,827

F1 · balance_after: Includes 765 shares previously reported as holdings of the Reporting Person granted pursuant to a restricted stock award under the Issuer's 2016 Equity Incentive Plan.

SEC source: 0001209191-17-042572 · doc4.xml · derivative · entry 1

Creecy John W · CIK 0001689143 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-06-27

F1 · derivative.exercise_date: Automatic non-discretionary grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2016 Equity Incentive Plan (the "Plan") in accordance with the Issuer's Amended and Restated Non-Employee Director Compensation Policy. One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the next annual meeting of the Issuer's stockholders following the date of grant, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001209191-17-042569 · doc4.xml · derivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-06-27

F1 · derivative.exercise_date: Automatic non-discretionary grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2016 Equity Incentive Plan (the "Plan") in accordance with the Issuer's Amended and Restated Non-Employee Director Compensation Policy. One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the next annual meeting of the Issuer's stockholders following the date of grant, subject in each case to the Reporting Person's continued service on such vesting date.

F2 · ownership.direct: This option was granted to Bruce Booth, Ph.D., a director of the Issuer. The proceeds of any sale of shares of common stock issued to Dr. Booth upon exercise of this option will be transferred to Atlas Venture Advisors, Inc. and therefore Dr. Booth disclaims beneficial ownership of such shares, which belongs to Atlas Venture Advisors, Inc.

SEC source: 0001209191-17-042573 · doc4.xml · derivative · entry 1

TURNER JOSEPH L · CIK 0001266129 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-06-27

F1 · derivative.exercise_date: Automatic non-discretionary grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2016 Equity Incentive Plan (the "Plan") in accordance with the Issuer's Amended and Restated Non-Employee Director Compensation Policy. One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the next annual meeting of the Issuer's stockholders following the date of grant, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001209191-17-042574 · doc4.xml · derivative · entry 1

KOCH KEVIN · CIK 0001185829 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-06-27

F1 · derivative.exercise_date: Automatic non-discretionary grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2016 Equity Incentive Plan (the "Plan") in accordance with the Issuer's Amended and Restated Non-Employee Director Compensation Policy. One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the next annual meeting of the Issuer's stockholders following the date of grant, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001209191-17-042575 · doc4.xml · derivative · entry 1

LEFKOFF KYLE · CIK 0001191818 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-06-27

F1 · derivative.exercise_date: Automatic non-discretionary grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2016 Equity Incentive Plan (the "Plan") in accordance with the Issuer's Amended and Restated Non-Employee Director Compensation Policy. One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the next annual meeting of the Issuer's stockholders following the date of grant, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001209191-17-042571 · doc4.xml · derivative · entry 2

Hughes Thomas E. · CIK 0001611048 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2027-06-27

F2 · derivative.exercise_date: Automatic non-discretionary grant to the Reporting Person of a nonstatutory stock option under the Issuer's 2016 Equity Incentive Plan (the "Plan") in accordance with the Issuer's Amended and Restated Non-Employee Director Compensation Policy. One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) the one-year anniversary of the date of grant or (ii) the date of the next annual meeting of the Issuer's stockholders following the date of grant, subject in each case to the Reporting Person's continued service on such vesting date.

SEC source: 0001209191-17-041768 · doc4.xml · nonDerivative · entry 1

Levy Adam Scott · CIK 0001693134 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $7.50 to $7.60, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each price within the ranges set forth in this footnote.

SEC source: 0001209191-17-023171 · doc4.xml · derivative · entry 1

Booth Bruce · CIK 0001451612 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,844

Underlying: Common Stock · 6,844 shares

Expires 2027-03-23

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2016 Equity Incentive Plan (the "Plan"). The shares vest in three equal quarterly installments beginning on April 1, 2017 through December 31, 2017, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in and as determined under the Plan. The option expires 10 years after the date of grant.

F2 · ownership.direct: This option was granted to Bruce Booth, a director of the Issuer. The proceeds of any sale of shares of common stock issued to Mr. Booth upon exercise of this option will be transferred to Atlas Venture Advisors, Inc. and therefore Mr. Booth disclaims beneficial ownership of such shares, which belongs to Atlas Venture Advisors, Inc.

SEC source: 0001209191-17-023165 · doc4.xml · derivative · entry 2

Hughes Thomas E. · CIK 0001611048 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,191

Underlying: Common Stock · 1,191 shares

Expires 2027-03-23

F2 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Plan. The shares vest in three equal quarterly installments beginning on April 1, 2017 through December 31, 2017, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in and as determined under the Plan. The option expires 10 years after the date of grant.

SEC source: 0001209191-17-023165 · doc4.xml · nonDerivative · entry 1

Hughes Thomas E. · CIK 0001611048 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,840

F1 · shares: Grant to the Reporting Person of a restricted stock award under the Issuer's 2016 Equity Incentive Plan (the "Plan"). The shares vest in three equal quarterly installments beginning on April 1, 2017 through December 31, 2017, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in and as determined under the Plan.

SEC source: 0001209191-17-020291 · doc4.xml · nonDerivative · entry 2

LEFKOFF KYLE · CIK 0001191818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 463,473

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.96 to $14.645, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

F2 · ownership.nature: All of the shares are held by Boulder Ventures VI, L.P. ("BV VI LP"). BV Partners VI, LLC ("BV VI LLC"), the general partner of BV VI LP may be deemed to indirectly beneficially own the shares. Kyle A. Lefkoff, Peter A. Roshko and Jonathan L. Perl are managing members of BV VI LLC, and each share voting and dispositive power over the shares held by BV VI LP. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-020291 · doc4.xml · nonDerivative · entry 1

LEFKOFF KYLE · CIK 0001191818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 466,773

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.75, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

F2 · ownership.nature: All of the shares are held by Boulder Ventures VI, L.P. ("BV VI LP"). BV Partners VI, LLC ("BV VI LLC"), the general partner of BV VI LP may be deemed to indirectly beneficially own the shares. Kyle A. Lefkoff, Peter A. Roshko and Jonathan L. Perl are managing members of BV VI LLC, and each share voting and dispositive power over the shares held by BV VI LP. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-019319 · doc4.xml · nonDerivative · entry 3

LEFKOFF KYLE · CIK 0001191818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 469,273

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.48 to $15.00, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

F2 · ownership.nature: All of the shares are held by Boulder Ventures VI, L.P. ("BV VI LP"). BV Partners VI, LLC ("BV VI LLC"), the general partner of BV VI LP may be deemed to indirectly beneficially own the shares. Kyle A. Lefkoff, Peter A. Roshko and Jonathan L. Perl are managing members of BV VI LLC, and each share voting and dispositive power over the shares held by BV VI LP. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-019319 · doc4.xml · nonDerivative · entry 2

LEFKOFF KYLE · CIK 0001191818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 474,273

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.21 to $16.31, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

F2 · ownership.nature: All of the shares are held by Boulder Ventures VI, L.P. ("BV VI LP"). BV Partners VI, LLC ("BV VI LLC"), the general partner of BV VI LP may be deemed to indirectly beneficially own the shares. Kyle A. Lefkoff, Peter A. Roshko and Jonathan L. Perl are managing members of BV VI LLC, and each share voting and dispositive power over the shares held by BV VI LP. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-019319 · doc4.xml · nonDerivative · entry 1

LEFKOFF KYLE · CIK 0001191818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 474,881

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.20 to $16.20, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

F2 · ownership.nature: All of the shares are held by Boulder Ventures VI, L.P. ("BV VI LP"). BV Partners VI, LLC ("BV VI LLC"), the general partner of BV VI LP may be deemed to indirectly beneficially own the shares. Kyle A. Lefkoff, Peter A. Roshko and Jonathan L. Perl are managing members of BV VI LLC, and each share voting and dispositive power over the shares held by BV VI LP. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-015457 · doc4.xml · nonDerivative · entry 3

LEFKOFF KYLE · CIK 0001191818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 484,273

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $13.70, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

F2 · ownership.nature: All of the shares are held by Boulder Ventures VI, L.P. ("BV VI LP"). BV Partners VI, LLC ("BV VI LLC"), the general partner of BV VI LP may be deemed to indirectly beneficially own the shares. Kyle A. Lefkoff, Peter A. Roshko and Jonathan L. Perl are managing members of BV VI LLC, and each share voting and dispositive power over the shares held by BV VI LP. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-015457 · doc4.xml · nonDerivative · entry 2

LEFKOFF KYLE · CIK 0001191818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 486,531

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.75 to $13.87, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

F2 · ownership.nature: All of the shares are held by Boulder Ventures VI, L.P. ("BV VI LP"). BV Partners VI, LLC ("BV VI LLC"), the general partner of BV VI LP may be deemed to indirectly beneficially own the shares. Kyle A. Lefkoff, Peter A. Roshko and Jonathan L. Perl are managing members of BV VI LLC, and each share voting and dispositive power over the shares held by BV VI LP. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-015457 · doc4.xml · nonDerivative · entry 1

LEFKOFF KYLE · CIK 0001191818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 488,031

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.00 to $14.05, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

F2 · ownership.nature: All of the shares are held by Boulder Ventures VI, L.P. ("BV VI LP"). BV Partners VI, LLC ("BV VI LLC"), the general partner of BV VI LP may be deemed to indirectly beneficially own the shares. Kyle A. Lefkoff, Peter A. Roshko and Jonathan L. Perl are managing members of BV VI LLC, and each share voting and dispositive power over the shares held by BV VI LP. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-014537 · doc4.xml · nonDerivative · entry 2

LEFKOFF KYLE · CIK 0001191818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 494,531

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $13.50 to $14.00, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

F2 · ownership.nature: All of the shares are held by Boulder Ventures VI, L.P. ("BV VI LP"). BV Partners VI, LLC ("BV VI LLC"), the general partner of BV VI LP may be deemed to indirectly beneficially own the shares. Kyle A. Lefkoff, Peter A. Roshko and Jonathan L. Perl are managing members of BV VI LLC, and each share voting and dispositive power over the shares held by BV VI LP. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-014537 · doc4.xml · nonDerivative · entry 1

LEFKOFF KYLE · CIK 0001191818 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 496,331

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $14.28 to $14.65, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

F2 · ownership.nature: All of the shares are held by Boulder Ventures VI, L.P. ("BV VI LP"). BV Partners VI, LLC ("BV VI LLC"), the general partner of BV VI LP may be deemed to indirectly beneficially own the shares. Kyle A. Lefkoff, Peter A. Roshko and Jonathan L. Perl are managing members of BV VI LLC, and each share voting and dispositive power over the shares held by BV VI LP. The Reporting Person disclaims beneficial ownership of the shares, except to the extent of his pecuniary interest therein, if any.

SEC source: 0001209191-17-011779 · doc4.xml · derivative · entry 1

Levy Adam Scott · CIK 0001693134 · Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,500

Underlying: Common Stock · 87,500 shares

Expires 2027-02-15

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2016 Equity Incentive Plan (the "Plan"). The shares vest in 48 equal monthly installments beginning on February 16, 2017, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in and as determined under the Plan. The shares underlying the option are subject to accelerated vesting upon the occurrence of specified events including a change of control of the Issuer and the Reporting Person's termination. The option expires ten years after the date of grant.

SEC source: 0001209191-17-011777 · doc4.xml · derivative · entry 1

Marshall William Stuart · CIK 0001693127 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2027-02-15

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2016 Equity Incentive Plan (the "Plan"). The shares vest in 48 equal monthly installments beginning on February 16, 2017, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in and as determined under the Plan. The shares underlying the option are subject to accelerated vesting upon the occurrence of specified events including a change of control of the Issuer and the Reporting Person's termination. The option expires ten years after the date of grant.

SEC source: 0001209191-17-011783 · doc4.xml · derivative · entry 1

Leverone Jason A. · CIK 0001692747 · CFO, Treasurer & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,500

Underlying: Common Stock · 77,500 shares

Expires 2027-02-15

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2016 Equity Incentive Plan (the "Plan"). The shares vest in 48 equal monthly installments beginning on February 16, 2017, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in and as determined under the Plan. The shares underlying the option are subject to accelerated vesting upon the occurrence of specified events including a change of control of the Issuer and the Reporting Person's termination. The option expires ten years after the date of grant.

SEC source: 0001209191-17-011781 · doc4.xml · derivative · entry 1

RUBIN PAUL D · CIK 0001210905 · EVP, Research & Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,500

Underlying: Common Stock · 87,500 shares

Expires 2027-02-15

F1 · derivative.exercise_date: Grant to the Reporting Person of a stock option under the Issuer's 2016 Equity Incentive Plan (the "Plan"). The shares vest in 48 equal monthly installments beginning on February 16, 2017, provided that at the relevant vesting dates the Reporting Person's continuous service to the Issuer has not been terminated as defined in and as determined under the Plan. The shares underlying the option are subject to accelerated vesting upon the occurrence of specified events including a change of control of the Issuer and the Reporting Person's termination. The option expires ten years after the date of grant.

SEC source: 0000899243-17-003819 · doc4.xml · derivative · entry 4

LEBOW BENNETT S · CIK 0001005790 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 279,067 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.

F5 · derivative.expiration_date: At any time on or after June 30, 2015, the Note was payable upon demand of the reporting person.

F7 · derivative.underlying_shares: See footnote (6). The Outstanding Balance on February 13, 2017 was $1,355,365, consisting of an unpaid principal balance of $1,045,000 and accrued interest of $310,365. The Premium was $149,090.15.

SEC source: 0000899243-17-003819 · doc4.xml · derivative · entry 3

LEBOW BENNETT S · CIK 0001005790 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires not disclosed

F4 · kind: On October 31, 2016, the issuer and the reporting person agreed, subject to the approval of the issuer's stockholders which was given on February 10, 2017, to amend the Note to provide for automatic conversion of the unpaid principal balance and all accrued interest on the Note (the "Outstanding Balance"), plus a premium of 11% on the Outstanding Balance (the "Premium"), into Common Stock, immediately prior to the effective time of the Merger. The Merger closed on February 13, 2017. See "Remarks".

F4 · derivative.exercise_date: On October 31, 2016, the issuer and the reporting person agreed, subject to the approval of the issuer's stockholders which was given on February 10, 2017, to amend the Note to provide for automatic conversion of the unpaid principal balance and all accrued interest on the Note (the "Outstanding Balance"), plus a premium of 11% on the Outstanding Balance (the "Premium"), into Common Stock, immediately prior to the effective time of the Merger. The Merger closed on February 13, 2017. See "Remarks".

F5 · derivative.expiration_date: At any time on or after June 30, 2015, the Note was payable upon demand of the reporting person.

F6 · derivative.underlying_shares: The number of shares of Common Stock into which the Note was made convertible is determined by dividing (i) the sum of the Outstanding Balance plus the Premium by (ii) the closing market price of the Common Stock on the Nasdaq Capital Market on October 31, 2016 of $5.39, as adjusted to reflect the Reverse Split (the "Conversion Price").

SEC source: 0000899243-17-003819 · doc4.xml · nonDerivative · entry 1

LEBOW BENNETT S · CIK 0001005790 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,600

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

F1 · kind: Immediately prior to the effective time of the Merger, that certain Unsecured Demand Promissory Note (the "Note"), dated March 6, 2015, as amended, issued by the issuer to the reporting person was converted into Common Stock. See footnote (4).

F2 · shares: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the conversion price reported reflect the Reverse Split.

F2 · price: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the conversion price reported reflect the Reverse Split.

F2 · balance_after: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the conversion price reported reflect the Reverse Split.

SEC source: 0000899243-17-003211 · doc4.xml · derivative · entry 2

Gonyer David A · CIK 0001578768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,200 shares

Expires 2026-06-15

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: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F1 · shares: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F2 · derivative.exercise_date: The option initially vested and became exercisable in twelve equal monthly installments beginning on June 30, 2016 and ending on May 31, 2017. However, upon approval of the issuer's board of directors, vesting was accelerated and the option became fully vested.

F1 · derivative.underlying_shares: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

SEC source: 0000899243-17-003211 · doc4.xml · nonDerivative · entry 1

Gonyer David A · CIK 0001578768 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,899

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 November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F1 · price: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F1 · balance_after: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

SEC source: 0000899243-17-003024 · doc4.xml · derivative · entry 3

LEBOW BENNETT S · CIK 0001005790 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,200 shares

Expires 2026-06-15

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: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F1 · shares: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F3 · derivative.exercise_date: The option initially vested and became exercisable in twelve equal monthly installments beginning on June 30, 2016 and ending on May 31, 2017. However, upon approval of the issuer's board of directors, vesting was accelerated and the option became fully vested.

F1 · derivative.underlying_shares: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

SEC source: 0000899243-17-003024 · doc4.xml · nonDerivative · entry 1

LEBOW BENNETT S · CIK 0001005790 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,533

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 November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F1 · price: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F1 · balance_after: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

SEC source: 0000899243-17-003023 · doc4.xml · derivative · entry 2

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,200 shares

Expires 2026-06-15

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: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F1 · shares: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F2 · derivative.exercise_date: The option initially vested and became exercisable in twelve equal monthly installments beginning on June 30, 2016 and ending on May 31, 2017. However, upon approval of the issuer's board of directors, vesting was accelerated and the option became fully vested.

F1 · derivative.underlying_shares: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

SEC source: 0000899243-17-003023 · doc4.xml · nonDerivative · entry 1

Smith Robin L · CIK 0001365035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,900

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 November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F1 · price: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

F1 · balance_after: On November 4, 2016, the issuer effected a one-for-15 reverse split of its Common Stock (the "Reverse Split"), and the number of securities and/or the exercise price reported reflect the Reverse Split.

SEC source: 0001209191-16-148044 · doc4.xml · derivative · entry 3

Riccitelli Samuel D · CIK 0001414839 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200,000 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 · security: The restricted stock units reported herein converted into common stock on a one-for-one basis.

F1 · derivative.exercise_price: The restricted stock units reported herein converted into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On March 28, 2016, the reporting person was granted 200,000 restricted stock units. In connection with the execution of the Agreement and Plan of Merger and Reorganization, dated October 31, 2016, by and among Signal Genetics, Inc. (the "Issuer"), Signal Merger Sub, Inc. and Miragen Therapeutics, Inc. (the "Merger Agreement"), the Compensation Committee of the Issuer's Board of Directors accelerated the vesting of these restricted stock units in full.

F3 · derivative.expiration_date: On March 28, 2016, the reporting person was granted 200,000 restricted stock units. In connection with the execution of the Agreement and Plan of Merger and Reorganization, dated October 31, 2016, by and among Signal Genetics, Inc. (the "Issuer"), Signal Merger Sub, Inc. and Miragen Therapeutics, Inc. (the "Merger Agreement"), the Compensation Committee of the Issuer's Board of Directors accelerated the vesting of these restricted stock units in full.

SEC source: 0001209191-16-148044 · doc4.xml · nonDerivative · entry 2

Riccitelli Samuel D · CIK 0001414839 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 571,370

F2 · shares: Shares withheld to satisfy tax withholding obligations.

SEC source: 0001209191-16-148044 · doc4.xml · nonDerivative · entry 1

Riccitelli Samuel D · CIK 0001414839 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 674,530

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 reported herein converted into common stock on a one-for-one basis.

SEC source: 0001209191-16-148045 · doc4.xml · derivative · entry 6

SEYMOUR TAMARA A · CIK 0001288232 · CFO, Secretary, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100,000 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: Restricted stock units converted into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On March 28, 2016, the reporting person was granted 100,000 restricted stock units. In connection with the execution of the Merger Agreement, the Compensation Committee of the Issuer's Board of Directors accelerated the vesting of these restricted stock units in full.

F4 · derivative.expiration_date: On March 28, 2016, the reporting person was granted 100,000 restricted stock units. In connection with the execution of the Merger Agreement, the Compensation Committee of the Issuer's Board of Directors accelerated the vesting of these restricted stock units in full.

SEC source: 0001209191-16-148045 · doc4.xml · derivative · entry 5

SEYMOUR TAMARA A · CIK 0001288232 · CFO, Secretary, Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 46,000 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: Restricted stock units converted into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On August 4, 2014, the reporting person was granted 92,000 restricted stock units. In connection with the execution of the Agreement and Plan of Merger and Reorganization, dated October 31, 2016, by and among Signal Genetics, Inc. (the "Issuer"), Signal Merger Sub, Inc. and Miragen Therapeutics, Inc. (the "Merger Agreement"), the Compensation Committee of the Issuer's Board of Directors accelerated the vesting of the remaining 46,000 restricted stock units in full.

F3 · derivative.expiration_date: On August 4, 2014, the reporting person was granted 92,000 restricted stock units. In connection with the execution of the Agreement and Plan of Merger and Reorganization, dated October 31, 2016, by and among Signal Genetics, Inc. (the "Issuer"), Signal Merger Sub, Inc. and Miragen Therapeutics, Inc. (the "Merger Agreement"), the Compensation Committee of the Issuer's Board of Directors accelerated the vesting of the remaining 46,000 restricted stock units in full.

SEC source: 0001209191-16-148045 · doc4.xml · nonDerivative · entry 4

SEYMOUR TAMARA A · CIK 0001288232 · CFO, Secretary, Treasurer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 106,447

F2 · shares: Shares withheld to satisfy tax withholding obligations.

SEC source: 0001209191-16-148045 · doc4.xml · nonDerivative · entry 3

SEYMOUR TAMARA A · CIK 0001288232 · CFO, Secretary, Treasurer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 152,027

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: Restricted stock units converted into common stock on a one-for-one basis.

SEC source: 0001209191-16-148045 · doc4.xml · nonDerivative · entry 2

SEYMOUR TAMARA A · CIK 0001288232 · CFO, Secretary, Treasurer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 52,027

F2 · shares: Shares withheld to satisfy tax withholding obligations.

SEC source: 0001209191-16-148045 · doc4.xml · nonDerivative · entry 1

SEYMOUR TAMARA A · CIK 0001288232 · CFO, Secretary, Treasurer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 72,994

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: Restricted stock units converted into common stock on a one-for-one basis.