Fleming Alison B

SEC source: 0001192482-21-000211 · edgar.xml · derivative · entry 17

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,449 shares

Expires 2021-02-08

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

F6 · derivative.exercise_date: The option was fully vested and exercisable as of January 19, 2018.

SEC source: 0001192482-21-000211 · edgar.xml · derivative · entry 16

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,811 shares

Expires 2020-02-26

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.

F6 · derivative.exercise_date: The option was fully vested and exercisable as of January 19, 2018.

SEC source: 0001192482-21-000211 · edgar.xml · derivative · entry 15

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 64 shares

Expires 2019-04-23

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.

F6 · derivative.exercise_date: The option was fully vested and exercisable as of January 19, 2018.

SEC source: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 10

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,164

F2 · kind: The sales reported in these rows were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 9

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,613

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: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 8

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,164

F2 · kind: The sales reported in these rows were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 7

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,975

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: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 6

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,164

F2 · kind: The sales reported in these rows were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 5

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,228

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: 0001192482-21-000211 · edgar.xml · derivative · entry 14

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,753 shares

Expires 2023-01-24

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

F5 · derivative.exercise_date: The option was fully vested and exercisable as of January 12, 2018.

SEC source: 0001192482-21-000211 · edgar.xml · derivative · entry 13

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64

Underlying: Common Stock · 1,747 shares

Expires 2019-04-23

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

F5 · derivative.exercise_date: The option was fully vested and exercisable as of January 12, 2018.

SEC source: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 4

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,164

F2 · kind: The sales reported in these rows were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 3

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,917

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: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 2

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,164

F2 · kind: The sales reported in these rows were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-21-000211 · edgar.xml · nonDerivative · entry 1

Fleming Alison B · CIK 0001640701 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,911

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 · date: Certain transactions reported in this Form 4 are late due to an administrative error.

SEC source: 0001192482-18-000037 · edgar.xml · derivative · entry 3

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,753

Underlying: Common Stock · 6,928 shares

Expires 2023-01-24

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.

F3 · derivative.exercise_date: All of the options were fully vested and exercisable as of January 10, 2018.

SEC source: 0001192482-18-000037 · edgar.xml · nonDerivative · entry 2

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,723

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

F2 · price: The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $19.00 to $19.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001192482-18-000037 · edgar.xml · nonDerivative · entry 1

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,651

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: 0001192482-17-000282 · edgar.xml · derivative · entry 10

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,917

Underlying: Common Stock · 572 shares

Expires 2024-03-05

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.

F3 · derivative.exercise_date: 2,410 option shares are exercisable. The option, initially representing a right to purchase a total of 14,492 shares, vests and becomes exercisable over a four-year period commencing on March 5, 2014. Twenty-five percent (25%) of the option vested and became exercisable on March 5, 2015 and the balance vests in equal monthly installments (rounded up to the nearest whole share of common stock) at the end of each monthly period over the remaining three years of the four-year period, subject to the reporting person's continued service with the issuer.

SEC source: 0001192482-17-000282 · edgar.xml · nonDerivative · entry 7

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,723

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-17-000282 · edgar.xml · nonDerivative · entry 6

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,295

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: 0001192482-17-000282 · edgar.xml · derivative · entry 9

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,489

Underlying: Common Stock · 1,239 shares

Expires 2024-03-05

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.

F3 · derivative.exercise_date: 2,410 option shares are exercisable. The option, initially representing a right to purchase a total of 14,492 shares, vests and becomes exercisable over a four-year period commencing on March 5, 2014. Twenty-five percent (25%) of the option vested and became exercisable on March 5, 2015 and the balance vests in equal monthly installments (rounded up to the nearest whole share of common stock) at the end of each monthly period over the remaining three years of the four-year period, subject to the reporting person's continued service with the issuer.

SEC source: 0001192482-17-000282 · edgar.xml · derivative · entry 8

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,225

Underlying: Common Stock · 1,950 shares

Expires 2024-03-05

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.

F2 · derivative.exercise_date: 2,600 option shares are exercisable. The option, initially representing a right to purchase a total of 15,623 shares, vests and becomes exercisable in equal installments (rounded up to the nearest whole share of common stock) on a monthly basis over a four-year period commencing on March 5, 2014, subject to the reporting person's continued service with the issuer.

SEC source: 0001192482-17-000282 · edgar.xml · nonDerivative · entry 5

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,723

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-17-000282 · edgar.xml · nonDerivative · entry 4

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,563

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-17-000282 · edgar.xml · nonDerivative · entry 3

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,802

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: 0001192482-17-000282 · edgar.xml · nonDerivative · entry 2

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,563

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 16, 2017.

SEC source: 0001192482-17-000282 · edgar.xml · nonDerivative · entry 1

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,513

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: 0001192482-17-000263 · edgar.xml · derivative · entry 2

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,811 shares

Expires 2017-11-01

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_date: All of these options were fully vested and excercisable as of October 25, 2017.

SEC source: 0001192482-17-000263 · edgar.xml · nonDerivative · entry 1

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,563

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: 0001192482-17-000212 · edgar.xml · nonDerivative · entry 2

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,752

F2 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon vesting of restricted stock units.

SEC source: 0001192482-17-000212 · edgar.xml · nonDerivative · entry 1

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,952

F1 · kind: Shares acquired under the Collegium Pharmaceutical, Inc. 2015 Employee Stock Purchase Plan in a transaction exempt under both Rule 16b-3(d) and Rule 16b-3(c).

SEC source: 0001192482-17-000085 · edgar.xml · nonDerivative · entry 1

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,313

F1 · shares: Shares withheld by the Issuer to satisfy applicable withholding taxes upon vesting of restricted stock units.

SEC source: 0001192482-17-000042 · edgar.xml · derivative · entry 3

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,500

Underlying: Common Stock · 32,500 shares

Expires 2027-02-10

F3 · derivative.exercise_date: The option vests and becomes exercisable over a four-year period commencing on February 10, 2017. Twenty-five percent (25%) of the option vests and becomes exercisable on February 10, 2018, and the balance vests in equal quarterly installments (rounded up to the nearest whole share of common stock) over the remaining three years of the four-year period, subject to the employee's continued service with the issuer.

SEC source: 0001192482-17-000042 · edgar.xml · nonDerivative · entry 2

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,701

F2 · security: Reflects the grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock. The restricted stock units vest over a four-year period commencing on February 10, 2017. Twenty-five percent (25%) of the restricted stock units vest on February 10, 2018, and the balance of the restricted stock units vest in equal installments every six months (in each case, rounded up to the nearest whole share of common stock) over the remaining three years of the four-year period, subject to the employee's continued service with the issuer. The restricted stock units will be settled on each applicable vest date in shares of the issuer's common stock.

SEC source: 0001192482-17-000042 · edgar.xml · nonDerivative · entry 1

Fleming Alison B · CIK 0001640701 · Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,451

F1 · kind: These shares were acquired under the Collegium Pharmaceutical, Inc. 2015 Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).