Thomsen Jillian B.

SEC source: 0001209191-23-010953 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,497

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $2.94 to $3.07. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the Issuer, or a security holder of the Issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-22-057966 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,764

F1 · shares: Represents the number of shares sold by the reporting person to cover required tax withholding obligations in connection with the vesting of the RSUs held by the reporting person and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $3.42 to $3.88. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the Issuer, or a security holder of the Issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-22-046487 · doc4.xml · nonDerivative · entry 2

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 334,859

F3 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F4 · price: This transaction was executed in multiple trades at prices ranging from $4.67 to $4.88. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the Issuer, or a security holder of the Issuer.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-22-046487 · doc4.xml · derivative · entry 3

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,875

Underlying: Common Stock · 331,875 shares

Expires 2030-08-14

F5 · security: Stock options were granted in connection with a retention program and the individual's recent promotion. These stock options are in lieu of the Issuer's usual end-of-year annual performance grants.

F6 · derivative.exercise_date: Stock options vest over three years from the date of grant in substantially equal monthly installments based on continued service.

SEC source: 0001209191-22-046487 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 336,865

F1 · security: Common stock was acquired pursuant to a grant of restricted stock units ("RSU"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of Common Stock of the Issuer. These RSUs were granted in connection with a retention program and the individual's recent promotion. This grant is in lieu of Issuer's usual end-of-year annual performance grants. These RSUs vest over three years from the date of grant in substantially equal quarterly installments based on continued service.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-22-029903 · doc4.xml · nonDerivative · entry 2

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,427

F4 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F5 · price: This transaction was executed in multiple trades at prices ranging from $3.86 to $4.07. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,190 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-22-029903 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,268

F1 · security: Common stock was acquired pursuant to a grant of restricted stock units ("RSU"). Each RSU awarded represents a contingent right to receive, upon vesting of the unit, one share of Common Stock of the Issuer. These RSUs were granted on December 14, 2018 under the Issuer's Amended and Restated 2017 Performance Incentive Plan (the "2017 Plan") and at the time of their grant were subject to both performance-based and time-based vesting requirements. The time-based vesting is on a quarterly pro-rata basis over a period of three (3) years from the date of grant.

F2 · date: The Organization and Compensation Committee of the Board of Directors of the Issuer determined that the performance-based vesting requirement for these RSUs was satisfied on May 13, 2022. Pursuant to the terms of the 2017 Plan, these RSUs vested on the next quarterly vesting date (May 15, 2022) following the date that the performance-based vesting requirement was satisfied.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,190 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-22-011439 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,318

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $10.77 to $11.20. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the Issuer, or a security holder of the Issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,190 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-21-070693 · doc4.xml · derivative · entry 2

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,600

Underlying: Common Stock · 37,600 shares

Expires 2029-12-15

F3 · derivative.exercise_date: This stock option vests over four years from the date of grant in equal monthly installments based on continued service.

SEC source: 0001209191-21-070693 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,681

F1 · security: This stock award was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of the Issuer's common stock. These RSUs vest over three years from the date of grant in substantially equal quarterly installments based on continued service.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 6,190 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-21-065223 · doc4.xml · nonDerivative · entry 2

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,981

F4 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F5 · price: This transaction was executed in multiple trades at prices ranging from $12.84 to $13.52. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the Issuer, or a security holder of the Issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 5,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-21-065223 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,722

F1 · security: Common stock was acquired pursuant to a grant of restricted stock units ("RSU"). Each RSU awarded represents a contingent right to receive, upon vesting of the unit, one share of Common Stock of the Issuer. These RSUs were granted on December 12, 2019 under the Issuer's Amended and Restated 2017 Performance Incentive Plan (the "2017 Plan") and at the time of their grant were subject to both performance-based and time-based vesting requirements. The time-based vesting is on a quarterly pro-rata basis over a period of three (3) years from the date of grant.

F2 · date: The Organization and Compensation Committee of the Board of Directors of the Issuer determined that the performance-based vesting requirement for these RSUs was satisfied on September 15, 2021. Pursuant to the terms of the 2017 Plan, these RSUs vested on the next quarterly vesting date (November 15, 2021) following the date that the performance-based vesting requirement was satisfied.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 5,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-21-060511 · doc4.xml · derivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,600

Underlying: Common Stock · 26,600 shares

Expires 2027-12-11

F1 · security: These stock options were granted on December 12, 2019 under the Company's Amended and Restated 2017 Performance Incentive Plan (the "2017 Plan") and at the time of their grant were subject to both performance-based and time-based vesting requirements.

F2 · date: The Organization and Compensation Committee of the Board of Directors of the Company determined that the performance-based vesting requirement for these stock options was satisfied on September 15, 2021. Pursuant to the terms of the 2017 Plan, these stock options vested on the next monthly vesting date (October 12, 2021) following the date that the performance-based vesting requirement was satisfied.

F3 · derivative.exercise_date: These stock options vest on a monthly pro-rata basis over a period of four years from the grant date (December 12, 2019).

SEC source: 0001209191-21-052390 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,822

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $13.69 to $14.32. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 5,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-21-034188 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,161

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $17.95 to $18.79. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 5,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-21-012122 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,552

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $22.04 to $22.67. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 5,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-21-006211 · doc4.xml · derivative · entry 5

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2021-02-05

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: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for certain options expiring on February 5, 2021.

SEC source: 0001209191-21-006211 · doc4.xml · derivative · entry 4

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2021-02-05

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: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for certain options expiring on February 5, 2021.

SEC source: 0001209191-21-006211 · doc4.xml · nonDerivative · entry 3

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,257

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for certain options expiring on February 5, 2021.

F3 · price: This transaction was executed in multiple trades at prices ranging from $18.26 to $19.07. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 5,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-21-006211 · doc4.xml · nonDerivative · entry 2

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 251,257

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: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for certain options expiring on February 5, 2021.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 5,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-21-006211 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,757

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: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for certain options expiring on February 5, 2021.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 5,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-20-064916 · doc4.xml · derivative · entry 2

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,600

Underlying: Common Stock · 28,600 shares

Expires 2028-12-17

F3 · derivative.exercise_date: This stock option vests over four years in equal monthly installments based on continued service.

SEC source: 0001209191-20-064916 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,257

F1 · security: This stock award was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of the issuer's common stock. These RSUs vest over three years in substantially equal quarterly installments based on continued service.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 5,690 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-20-059243 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,757

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $16.71 to $17.46. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 5,190 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-20-047617 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,733

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $19.35 to $19.86. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 5,190 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-20-031016 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,719

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $22.29 to $22.76. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,809 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-20-011262 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 174,086

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $22.00 to $23.08. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,809 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-20-007713 · doc4.xml · derivative · entry 3

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 37,500 shares

Expires 2020-02-07

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: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for certain options expiring on February 7, 2020.

SEC source: 0001209191-20-007713 · doc4.xml · nonDerivative · entry 2

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,480

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for certain options expiring on February 7, 2020.

F3 · price: This transaction was executed in multiple trades at prices ranging from $22.55 to $23.06. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,809 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-20-007713 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,980

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: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for certain options expiring on February 7, 2020.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,809 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-19-060789 · doc4.xml · derivative · entry 3

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,800

Underlying: Common Stock · 11,800 shares

Expires 2027-12-11

F3 · derivative.exercise_date: This stock option vests over four years in equal monthly installments based on continued service.

SEC source: 0001209191-19-060789 · doc4.xml · derivative · entry 2

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,600

Underlying: Common Stock · 26,600 shares

Expires 2027-12-11

F3 · derivative.exercise_date: This stock option vests over four years in equal monthly installments based on continued service.

SEC source: 0001209191-19-060789 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,480

F1 · security: This stock award was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of the issuer's common stock. These RSUs vest over three years in substantially equal quarterly installments based on continued service.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,809 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-19-057491 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,441

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $17.56 to $19.65. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,670 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-19-046722 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,154

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $17.87 to $18.37. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,670 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-19-031190 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,463

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $30.86 to $32.68. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,170 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-19-012337 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,391

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $41.90 to $42.96. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,170 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-19-007880 · doc4.xml · derivative · entry 3

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,119 shares

Expires 2019-02-07

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: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for certain options expiring on February 7, 2019.

SEC source: 0001209191-19-007880 · doc4.xml · nonDerivative · entry 2

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,199

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for certain options expiring on February 7, 2019.

F3 · price: This transaction was executed in multiple trades at prices ranging from $42.15 to $42.24. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,170 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-19-007880 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,318

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: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person for certain options expiring on February 7, 2019.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,170 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-18-063302 · doc4.xml · derivative · entry 2

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,150

Underlying: Common Stock · 22,150 shares

Expires 2026-12-13

F3 · derivative.exercise_date: This stock option vests over four years in equal monthly installments based on continued service.

SEC source: 0001209191-18-063302 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,199

F1 · security: This stock award was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of the issuer's common stock. These RSUs vest over three years in substantially equal quarterly installments based on continued service.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,170 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-18-059297 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,249

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $37.47 to $38.97. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,170 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-18-057268 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,265

F1 · security: This stock award was acquired pursuant to a grant of restricted stock units ("RSUs"). Each RSU represents a contingent right to receive, upon vesting of the unit, one share of the issuer's common stock. These RSUs vest quarterly in substantially equal installments on November 15, 2020, February 15, 2021, May 15, 2021, and August 15, 2021, based on the reporting person's continued service with the Company.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,170 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-18-047243 · doc4.xml · nonDerivative · entry 2

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,265

F3 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F4 · price: This transaction was executed in multiple trades at prices ranging from $56.37 to $59.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,170 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-18-047243 · doc4.xml · derivative · entry 3

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,250

Underlying: Common Stock · 26,250 shares

Expires 2025-12-14

F5 · security: These options, at the time of their grant were subject to both performance-based and time-based vesting requirements. On August 15, 2018, the performance-based condition vesting was satisfied. The time-based vesting is on a monthly pro-rata basis over a period of four years from the grant date (December 15, 2017).

F6 · date: These stock options were granted on December 15, 2017 and the performance-based vesting requirement for these stock options was satisfied on August 15, 2018 upon the Compensation Committee's certification of the successful acceptance of the New Drug Application by the FDA for NKTR-181.

F7 · derivative.exercise_date: This stock option vests on a monthly pro-rata basis over a period of four years from the grant date.

SEC source: 0001209191-18-047243 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,148

F1 · security: Represents restricted stock units ("RSUs"), convertible on a one-for-one basis into shares of Common Stock of the Company. These RSUs, at the time of their grant on December 15, 2017, were subject to both performance-based and time-based vesting requirements. On August 15, 2018, the performance-based condition vesting was satisfied. The time-based vesting is on a quarterly pro-rata basis over a period of three (3) years from the date of grant.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 4,170 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-18-031598 · doc4.xml · nonDerivative · entry 1

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,281

F1 · shares: Represents the number of shares required to be sold by the reporting person to cover tax withholding obligations in connection with the vesting of the RSUs held by the reporting person. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary trade by the reporting person.

F2 · price: This transaction was executed in multiple trades at prices ranging from $81.35 to $84.80. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F3 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 3,703 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).

SEC source: 0001209191-18-025445 · doc4.xml · derivative · entry 3

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,119

Underlying: Common Stock · 13,881 shares

Expires 2019-02-07

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: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-18-025445 · doc4.xml · nonDerivative · entry 2

Thomsen Jillian B. · CIK 0001433457 · SVP & Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,857

F1 · security: This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.

F3 · price: This transaction was executed in multiple trades at prices ranging from $100.21 to $101.72. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and the prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.

F2 · balance_after: This number includes 988 shares held by the reporting person in the Issuer's 401(K) plan and 3,703 shares held by the reporting person in the Issuer's ESPP plan. The acquisition of these shares under both plans is exempt under Rule 16b-3(c).