XBIT

SEC source: 0001209191-17-041608 · doc4.xml · derivative · entry 1

SHIVASWAMY SUSHMA · CIK 0001638762 · VP Research and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-06-19

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: On September 14, 2016 (the Grant Date) Fabrizio Bonanni was granted nonstatutory stock options (the Options) under the Company's 2015 Equity Incentive Plan to purcahse shares of the Company's Common Stock (the Shares) at an exercise price equal to the closing sales price of the Shares on the Grant Date as quoted by the Nasdaq Stock Market, with an expiry of ten years from the Grant Date. Half of the Options vest on December 20, 2016 and another half of the Options vest on June 20, 2017.

SEC source: 0001209191-17-041611 · doc4.xml · derivative · entry 1

BONANNI FABRIZIO · CIK 0001183903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-06-19

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

SEC source: 0001209191-17-041620 · doc4a.xml · derivative · entry 1

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-06-19

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

SEC source: 0001209191-17-041610 · doc4.xml · derivative · entry 1

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-06-19

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: On September 14, 2016 (the Grant Date) Fabrizio Bonanni was granted nonstatutory stock options (the Options) under the Company's 2015 Equity Incentive Plan to purcahse shares of the Company's Common Stock (the Shares) at an exercise price equal to the closing sales price of the Shares on the Grant Date as quoted by the Nasdaq Stock Market, with an expiry of ten years from the Grant Date. Half of the Options vest on December 20, 2016 and another half of the Options vest on June 20, 2017.

SEC source: 0001209191-17-041820 · doc4.xml · derivative · entry 1

VASELLA DANIEL · CIK 0001189152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2027-06-19

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

SEC source: 0001209191-17-035497 · doc4.xml · derivative · entry 3

SIMARD JOHN · CIK 0001639078 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 240,000 shares

Expires 2017-06-15

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: Options granted on June 15, 2007 with a strike price of $1.25 CAD, which was converted to $0.9317 USD using an exchange rate of 0.7454.

SEC source: 0001209191-17-035497 · doc4.xml · nonDerivative · entry 2

SIMARD JOHN · CIK 0001639078 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,277,060

F2 · kind: Due to the options expiring on June 15, 2017, Mr. Simard agreed to exercise these options through the "net exercise" method on May 24, 2017. Mr. Simard received 123,793 shares of common stock on a net exercise to purchase 240,000 shares of common stock. Mr. Simard forfeited 116,207 shares of common stock underlying the option in payment of the exercise price and associated taxes, using the closing stock price on May 24, 2017 of $8.17.

SEC source: 0001209191-17-035497 · doc4.xml · nonDerivative · entry 1

SIMARD JOHN · CIK 0001639078 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,393,267

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: Options granted on June 15, 2007 with a strike price of $1.25 CAD, which was converted to $0.9317 USD using an exchange rate of 0.7454.

SEC source: 0001209191-16-154060 · doc4.xml · derivative · entry 3

VASELLA DANIEL · CIK 0001189152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2024-11-03

F1 · security: On 12/1/2016, regarding the 125,000 stock options previously granted to the Reporting Person on 11/4/2014, the Option Agreement was amended in order to extend the Expiration Date to the tenth anniversary of the date of grant and to confirm that following a Termination, the exercise period with respect to vested Options will remain in effect until the Expiration Date. Therefore the original option grant is deemed canceled and a new option grant is re-issued with the updated terms. The expiration date for the 125,000 options granted on 11/4/2014 was originally reported incorrectly on a Form 3 filed with the SEC on 4/14/2015. The accurate expiration date was 11/03/2019 at the time of the filing.

SEC source: 0001209191-16-154060 · doc4.xml · derivative · entry 2

VASELLA DANIEL · CIK 0001189152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 125,000 shares

Expires 2019-11-03

F1 · security: On 12/1/2016, regarding the 125,000 stock options previously granted to the Reporting Person on 11/4/2014, the Option Agreement was amended in order to extend the Expiration Date to the tenth anniversary of the date of grant and to confirm that following a Termination, the exercise period with respect to vested Options will remain in effect until the Expiration Date. Therefore the original option grant is deemed canceled and a new option grant is re-issued with the updated terms. The expiration date for the 125,000 options granted on 11/4/2014 was originally reported incorrectly on a Form 3 filed with the SEC on 4/14/2015. The accurate expiration date was 11/03/2019 at the time of the filing.

SEC source: 0001209191-16-154060 · doc4.xml · derivative · entry 1

VASELLA DANIEL · CIK 0001189152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,867

Underlying: Common Stock · 23,867 shares

Expires 2026-11-30

SEC source: 0001209191-16-150817 · doc4.xml · nonDerivative · entry 2

HAN QUEENA · CIK 0001638986 · VP Finance & HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-16-150817 · doc4.xml · nonDerivative · entry 1

HAN QUEENA · CIK 0001638986 · VP Finance & HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,573

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

SEC source: 0001209191-16-141752 · doc4.xml · derivative · entry 1

BONANNI FABRIZIO · CIK 0001183903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2026-09-13

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: On September 14, 2016 (the Grant Date) Fabrizio Bonanni was granted nonstatutory stock options (the Options) under the Company's 2015 Equity Incentive Plan to purcahse shares of the Company's Common Stock (the Shares) at an exercise price equal to the closing sales price of the Shares on the Grant Date as quoted by the Nasdaq Stock Market, with an expiry of ten years from the Grant Date. Half of the Options vest on December 20, 2016 and another half of the Options vest on June 20, 2017.

SEC source: 0001209191-16-141754 · doc4.xml · derivative · entry 1

MCKENZIE W THORPE · CIK 0001211462 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2026-09-13

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: On September 14, 2016 (the Grant Date) W. Thorpe McKenzie was granted nonstatutory stock options (the Options) under the Company's 2015 Equity Incentive Plan to purcahse shares of the Company's Common Stock (the Shares) at an exercise price equal to the closing sales price of the Shares on the Grant Date as quoted by the Nasdaq Stock Market, with an expiry of ten years from the Grant Date. Half of the Options vest on December 20, 2016 and another half of the Options vest on June 20, 2017.

SEC source: 0001209191-16-141750 · doc4.xml · derivative · entry 1

VASELLA DANIEL · CIK 0001189152 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2026-09-13

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: On September 14, 2016 (the Grant Date) Daniel Vasella was granted nonstatutory stock options (the Options) under the Company's 2015 Equity Incentive Plan to purcahse shares of the Company's Common Stock (the Shares) at an exercise price equal to the closing sales price of the Shares on the Grant Date as quoted by the Nasdaq Stock Market, with an expiry of ten years from the Grant Date. Half of the Options vest on December 20, 2016 and another half of the Options vest on June 20, 2017.

SEC source: 0001209191-16-140913 · doc4.xml · derivative · entry 3

HAN QUEENA · CIK 0001638986 · VP Finance & HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,573

Underlying: Common Stocks · 427 shares

Expires 2016-12-09

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

SEC source: 0001209191-16-140913 · doc4.xml · nonDerivative · entry 2

HAN QUEENA · CIK 0001638986 · VP Finance & HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-16-140913 · doc4.xml · nonDerivative · entry 1

HAN QUEENA · CIK 0001638986 · VP Finance & HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 427

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

SEC source: 0001209191-16-150817 · doc4.xml · derivative · entry 3

HAN QUEENA · CIK 0001638986 · VP Finance & HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stocks · 19,573 shares

Expires 2016-12-09

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.