BARRETT M JAMES

SEC source: 0001209191-18-029615 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 4,706,797

F1 · ownership.nature: The Reporting Person is a general partner of NEA Partners 10, Limited Partnership ("NEA Partners 10"), NEA Partners 10 is the sole general partner of New Enterprise Associates 10, Limited Partnership ("NEA 10"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 10 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-028787 · doc4.xml · derivative · entry 3

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 0

Underlying: Class A Common Stock · 12,679,970 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: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock.

F1 · kind: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock.

F1 · price: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock.

F1 · derivative.exercise_date: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock.

F1 · derivative.expiration_date: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock.

F2 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-028787 · doc4.xml · nonDerivative · entry 2

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 0

F3 · kind: Pursuant to the Agreement and Plan of Merger, dated as of March 20, 2018 (the "Merger Agreement"), by and among salesforce.com, inc. ("Salesforce"), Malbec Acquisition Corp. and the Issuer, each share of Class A common stock was tendered in exchange for (i) $36.00 in cash and (ii) 0.0711 of a share of Salesforce common stock, together with cash in lieu of any fractional shares of Salesforce common stock.

F3 · price: Pursuant to the Agreement and Plan of Merger, dated as of March 20, 2018 (the "Merger Agreement"), by and among salesforce.com, inc. ("Salesforce"), Malbec Acquisition Corp. and the Issuer, each share of Class A common stock was tendered in exchange for (i) $36.00 in cash and (ii) 0.0711 of a share of Salesforce common stock, together with cash in lieu of any fractional shares of Salesforce common stock.

F2 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-028787 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 12,679,970

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: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock.

F1 · price: Upon consummation of the tender offer (as described below), each share of tendered Class B common stock converted on a one-to-one basis into Class A common stock.

F2 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-025844 · doc4.xml · derivative · entry 3

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 0

Underlying: Common Stock · 3,179,544 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: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date.

F1 · price: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date.

F1 · derivative.exercise_date: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date.

F1 · derivative.expiration_date: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date.

F1 · derivative.underlying_shares: The Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date.

F2 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-025844 · doc4.xml · nonDerivative · entry 2

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 3,312,877

F2 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-025844 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 3,179,544

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 Series A Preferred Stock automatically converted into the Issuer's common stock on a 2.2-for-1 basis at the closing of the Issuer's initial public offering without payment or further consideration and had no expiration date.

F2 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-024358 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,749

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $9,750 divided by $3.10, the closing price of issuer's common stock on the NYSE American on April 2, 2018, the last trading day of the prior quarter.

SEC source: 0001209191-18-021748 · doc4.xml · derivative · entry 2

BARRETT M JAMES · CIK 0001219855 · 10% owner

NEA Partners 14, L.P. · CIK 0001551531 · 10% owner

NEA 14 GP, LTD · CIK 0001551532 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 707,964

Underlying: Common Stock · 707,964 shares

Expires 2024-03-27

F1 · kind: Acquired from the issuer pursuant to a Securities Purchase Agreement dated March 22, 2018, with a closing date of March 27, 2018.

F2 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-021748 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · 10% owner

NEA Partners 14, L.P. · CIK 0001551531 · 10% owner

NEA 14 GP, LTD · CIK 0001551532 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 3,466,003

F1 · kind: Acquired from the issuer pursuant to a Securities Purchase Agreement dated March 22, 2018, with a closing date of March 27, 2018.

F2 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-021937 · doc4.xml · nonDerivative · entry 2

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 3

Disclosed balance after: 79,978,672

F1 · security: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F1 · shares: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F4 · price: The price reported in Column 4 of $1.9167 per ordinary share is a price derived from the price of $11.50 per ADS, divided by six.

F1 · balance_after: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F3 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-021937 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 3

Disclosed balance after: 73,978,672

F1 · security: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F1 · shares: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F2 · price: The price reported in Column 4 of $1.9041 per ordinary share is a weighted average price derived from the weighted average price of $11.4247 per ADS, divided by six. These ADSs were purchased in multiple transactions at prices ranging from $11.17 to $12 per ADS, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ADSs purchased at each separate price within the range set forth in this footnote (2) to this Form 4.

F1 · balance_after: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F3 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-021543 · doc4.xml · nonDerivative · entry 3

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 3

Disclosed balance after: 73,407,508

F1 · security: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F1 · shares: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F5 · price: The price reported in Column 4 of $1.9462 per ordinary share is a weighted average price derived from the weighted average price of $11.6773 per ADS, divided by six. These ADSs were purchased in multiple transactions at prices ranging from $11.41 to $12 per ADS, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ADSs purchased at each separate price within the range set forth in this footnote (5) to this Form 4.

F1 · balance_after: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F3 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-021543 · doc4.xml · nonDerivative · entry 2

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 3

Disclosed balance after: 73,113,418

F1 · security: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F1 · shares: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F4 · price: The price reported in Column 4 of $1.904 per ordinary share is a weighted average price derived from the weighted average price of $11.4241 per ADS, divided by six. These ADSs were purchased in multiple transactions at prices ranging from $10.93 to $11.84 per ADS, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ADSs purchased at each separate price within the range set forth in this footnote (4) to this Form 4.

F1 · balance_after: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F3 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-021543 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 3

Disclosed balance after: 72,243,844

F1 · security: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F1 · shares: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F2 · price: The price reported in Column 4 of $1.8105 per ordinary share is a weighted average price derived from the weighted average price of $10.8628 per ADS, divided by six. These ADSs were purchased in multiple transactions at prices ranging from $10.29 to $11.15 per ADS, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of ADSs purchased at each separate price within the range set forth in this footnote (2) to this Form 4.

F1 · balance_after: The ordinary shares whose purchase is reported on this line are represented by American Depositary Shares ("ADSs") and are held of record by New Enterprise Associates 14, L.P. ("NEA 14"). NEA 14 holds these ordinary shares in the form of ADSs. Each ADS represents six ordinary shares of Adaptimmune Therapeutics plc. The ordinary shares reported in column 5 are represented by ADSs.

F3 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-017555 · doc4.xml · nonDerivative · entry 8

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 9,681,129

F9 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $59.48 to $60, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the 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 (9) to this Form 4.

F2 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 13 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-017555 · doc4.xml · nonDerivative · entry 7

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 9,668,495

F8 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $59.55 to $60, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the 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 (8) to this Form 4.

F2 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 13 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-017555 · doc4.xml · nonDerivative · entry 6

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 9,651,247

F7 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $58.79 to $59.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the 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 (7) to this Form 4.

F2 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 13 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-017555 · doc4.xml · nonDerivative · entry 5

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 9,649,647

F6 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $57.51 to $58.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the 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 (6) to this Form 4.

F2 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 13 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-017555 · doc4.xml · nonDerivative · entry 4

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 9,619,326

F5 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $56.88 to $57.82, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the 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 (5) to this Form 4.

F2 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 13 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-017555 · doc4.xml · nonDerivative · entry 3

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 9,601,467

F4 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $55.90 to $56.86, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the 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 (4) to this Form 4.

F2 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 13 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-017555 · doc4.xml · nonDerivative · entry 2

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 9,597,387

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $54.89 to $55.22, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the 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 (3) to this Form 4.

F2 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 13 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-017555 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 9,590,988

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $53.88 to $54.87, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the 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 (1) to this Form 4.

F2 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of New Enterprise Associates 13, L.P. ("NEA 13"), the direct beneficial owner of the shares. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the shares of the Issuer held by NEA 13 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-015931 · doc4.xml · derivative · entry 1

New Enterprise Associates 12, Limited Partnership · CIK 0001383391 · 10% owner

NEA Partners 12, Limited Partnership · CIK 0001383390 · 10% owner

NEA 12 GP, LLC · CIK 0001383389 · 10% owner

BARRETT M JAMES · CIK 0001219855 · 10% owner

BARRIS PETER J · CIK 0001005561 · 10% owner

BASKETT FOREST · CIK 0001277631 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

KERINS PATRICK J · CIK 0001235112 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 967,857 shares

Expires not disclosed

F1 · kind: As previously disclosed, New Enterprise Associates 12, Limited Partnership ("NEA 12") and other parties thereto are party to a Note Purchase Agreement, dated May 4, 2017 (as amended, the "Note Purchase Agreement"), pursuant to which Tintri, Inc. (the "Issuer") had the right to issue to NEA 12 and such other parties one or more subordinated convertible promissory notes (the "Notes"). On February 26, 2018, NEA 12 funded its respective amount under the Note Purchase Agreement and was issued Notes with a maturity date 540 days from the date of issuance. Pursuant to the terms of the Note Purchase Agreement, as the maturity date of such Notes will occur prior to the date at which the Issuer would have been permitted to convert such amounts into Common Stock, such Notes will not be convertible by the Issuer into Common Stock.

F1 · price: As previously disclosed, New Enterprise Associates 12, Limited Partnership ("NEA 12") and other parties thereto are party to a Note Purchase Agreement, dated May 4, 2017 (as amended, the "Note Purchase Agreement"), pursuant to which Tintri, Inc. (the "Issuer") had the right to issue to NEA 12 and such other parties one or more subordinated convertible promissory notes (the "Notes"). On February 26, 2018, NEA 12 funded its respective amount under the Note Purchase Agreement and was issued Notes with a maturity date 540 days from the date of issuance. Pursuant to the terms of the Note Purchase Agreement, as the maturity date of such Notes will occur prior to the date at which the Issuer would have been permitted to convert such amounts into Common Stock, such Notes will not be convertible by the Issuer into Common Stock.

F1 · derivative.exercise_date: As previously disclosed, New Enterprise Associates 12, Limited Partnership ("NEA 12") and other parties thereto are party to a Note Purchase Agreement, dated May 4, 2017 (as amended, the "Note Purchase Agreement"), pursuant to which Tintri, Inc. (the "Issuer") had the right to issue to NEA 12 and such other parties one or more subordinated convertible promissory notes (the "Notes"). On February 26, 2018, NEA 12 funded its respective amount under the Note Purchase Agreement and was issued Notes with a maturity date 540 days from the date of issuance. Pursuant to the terms of the Note Purchase Agreement, as the maturity date of such Notes will occur prior to the date at which the Issuer would have been permitted to convert such amounts into Common Stock, such Notes will not be convertible by the Issuer into Common Stock.

F1 · derivative.expiration_date: As previously disclosed, New Enterprise Associates 12, Limited Partnership ("NEA 12") and other parties thereto are party to a Note Purchase Agreement, dated May 4, 2017 (as amended, the "Note Purchase Agreement"), pursuant to which Tintri, Inc. (the "Issuer") had the right to issue to NEA 12 and such other parties one or more subordinated convertible promissory notes (the "Notes"). On February 26, 2018, NEA 12 funded its respective amount under the Note Purchase Agreement and was issued Notes with a maturity date 540 days from the date of issuance. Pursuant to the terms of the Note Purchase Agreement, as the maturity date of such Notes will occur prior to the date at which the Issuer would have been permitted to convert such amounts into Common Stock, such Notes will not be convertible by the Issuer into Common Stock.

F2 · derivative.underlying_shares: Represents the maximum principal amount of Notes that the Issuer could issue to NEA 12 under the Note Purchase Agreement, which, under certain circumstances, the Issuer had the right to convert into shares of Common Stock at a price of $7.00 per share.

F3 · ownership.direct: These securities are directly held by NEA 12 and indirectly held by NEA Partners 12, Limited Partnership ("NEA Partners 12"), the sole general partner of NEA 12, NEA 12 GP, LLC ("NEA 12 GP"), the sole general partner of NEA Partners 12, and the individual managers of NEA 12 GP (NEA Partners 12, NEA 12 GP and the individual managers of NEA 12 GP together, the "NEA 12 Indirect Reporting Persons"). The individual managers of NEA 12 GP are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins and Scott D. Sandell. The NEA 12 Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 12 shares in which the NEA 12 Indirect Reporting Persons have no pecuniary interest.

SEC source: 0001209191-18-011903 · doc4.xml · nonDerivative · entry 1

NEW ENTERPRISE ASSOCIATES 13 LP · CIK 0001452907 · 10% owner

NEA Partners 13, Limited Partnership · CIK 0001460752 · 10% owner

NEA 13 GP, Ltd · CIK 0001460751 · 10% owner

BARRETT M JAMES · CIK 0001219855 · 10% owner

BARRIS PETER J · CIK 0001005561 · 10% owner

BASKETT FOREST · CIK 0001277631 · 10% owner

KERINS PATRICK J · CIK 0001235112 · 10% owner

MOTT DAVID M · CIK 0001219871 · 10% owner

SANDELL SCOTT D · CIK 0001237289 · 10% owner

Viswanathan Ravi · CIK 0001479386 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,490,073

F1 · ownership.direct: The securities are directly held by New Enterprise Associates 13, L.P. ("NEA 13") and are indirectly held by NEA Partners 13, L.P. ("NEA Partners 13"), the sole general partner of NEA 13, NEA 13 GP, LTD ("NEA 13 LTD"), the sole general partner of NEA Partners 13 and each of the individual directors of NEA 13 LTD (NEA Partners 13, NEA 13 LTD and the individual directors of NEA 13 LTD (collectively, the "Directors") together, the "Indirect Reporting Persons"). The Directors of NEA 13 LTD are M. James Barrett, Peter J. Barris, Forest Baskett, Patrick J. Kerins, David M. Mott, Scott D. Sandell and Ravi Viswanathan. The Indirect Reporting Persons disclaim beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 securities in which the Indirect Reporting Persons have no pecuniary interest.

SEC source: 0001209191-18-010401 · doc4.xml · derivative · entry 11

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 0

Underlying: Class A Common Stock · 2,724,202 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.

F2 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))

F3 · derivative.exercise_price: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.

F1 · kind: Pursuant to the terms of the Class B Common Stock, New Enterprise Associates 14, L.P. ("NEA 14") converted shares of Class B Common Stock into shares of Class A Common Stock.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))

F3 · derivative.exercise_date: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))

F3 · derivative.expiration_date: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.

F4 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, ("NEA 14 GP") which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-010401 · doc4.xml · nonDerivative · entry 10

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,015

F16 · kind: M. James Barrett and April Barrett received 339 shares of Class A Common Stock of the Issuer in the distribution by NEA Manager Fund, L.P. on February 13, 2018.

SEC source: 0001209191-18-010401 · doc4.xml · nonDerivative · entry 9

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 13

Disclosed balance after: 1,015

F15 · kind: The Barrett 2006 Family Trust received 339 shares of Class A Common Stock of the Issuer in the distribution by NEA 14 Manager Fund, L.P. on February 13, 2018.

F13 · ownership.nature: The securities are directly held by the Barrett 2006 Family Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by the Barrett 2006 Family Trust in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-010401 · doc4.xml · nonDerivative · entry 8

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 676

F14 · kind: M. James Barrett and April Barrett received 676 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 14 on February 13, 2018.

SEC source: 0001209191-18-010401 · doc4.xml · nonDerivative · entry 7

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 13

Disclosed balance after: 676

F12 · kind: The Barrett 2006 Family Trust received 676 shares of Class A Common Stock of the Issuer in the distribution by NEA Partners 14 on February 13, 2018.

F13 · ownership.nature: The securities are directly held by the Barrett 2006 Family Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by the Barrett 2006 Family Trust in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-010401 · doc4.xml · nonDerivative · entry 6

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 10

Disclosed balance after: 0

F11 · kind: NEA 14 Manager Fund, L.P. made a pro rata distribution for no consideration of an aggregate of 13,621 shares of Class A Common Stock of the Issuer to its limited partners on February 13, 2018.

F10 · ownership.nature: The Reporting Person is a director of NEA 14 GP, the sole general partner of NEA 14 Manager Fund, L.P. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA 14 Manager Fund, L.P. in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-010401 · doc4.xml · nonDerivative · entry 5

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 10

Disclosed balance after: 13,621

F9 · kind: NEA 14 Manager Fund, L.P. received 13,621 shares of Class A Common Stock of the Issuer in the distribution by NEA 14 on February 13, 2018.

F10 · ownership.nature: The Reporting Person is a director of NEA 14 GP, the sole general partner of NEA 14 Manager Fund, L.P. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA 14 Manager Fund, L.P. in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-010401 · doc4.xml · nonDerivative · entry 4

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 7

Disclosed balance after: 0

F8 · kind: NEA Partners 14 made a pro rata distribution for no consideration of an aggregate of 27,242 shares of Class A Common Stock of the Issuer to its limited partners on February 13, 2018.

F7 · ownership.nature: The Reporting Person is a director of NEA 14 GP, the sole general partner of NEA Partners 14. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA Partners 14 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-010401 · doc4.xml · nonDerivative · entry 3

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 7

Disclosed balance after: 27,242

F6 · kind: NEA Partners 14 received 27,242 shares of Class A Common Stock of the Issuer in the distribution by NEA 14 on February 13, 2018.

F7 · ownership.nature: The Reporting Person is a director of NEA 14 GP, the sole general partner of NEA Partners 14. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by NEA Partners 14 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-010401 · doc4.xml · nonDerivative · entry 2

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 0

F5 · kind: NEA 14 made a pro rata distribution for no consideration of an aggregate of 2,724,202 shares of Class A Common Stock of the Issuer to its general partner and its limited partners on February 13, 2018.

F4 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, ("NEA 14 GP") which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-010401 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 2,724,202

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: Pursuant to the terms of the Class B Common Stock, New Enterprise Associates 14, L.P. ("NEA 14") converted shares of Class B Common Stock into shares of Class A Common Stock.

F2 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))

F3 · price: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.

F4 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, ("NEA 14 GP") which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-005620 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 4,228,940

F1 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of New Enterprise Associates 14, L.P. ("NEA 14"), which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-18-002263 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 501,604

F1 · price: This common stock was issued to the reporting person pursuant to the Issuer's non-employee director compensation policy in lieu of quarterly retainer fees. The number of shares of common stock is equal to $9,750 divided by $2.66, the closing price of issuer's common stock on the NYSE American on December 29, 2017, the last trading day of the prior quarter.

SEC source: 0001209191-17-066250 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 1

Disclosed balance after: 5,554,610

F1 · ownership.nature: The Reporting Person is a manager of NEA 12 GP, LLC, ("NEA 12 GP") which is the sole general partner of NEA Partners 12, Limited Partnership ("NEA Partners 12"). NEA Partners 12 is the sole general partner of New Enterprise Associates 12, Limited Partnership ("NEA 12"), the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities held by NEA 12 in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-17-062616 · doc4.xml · derivative · entry 3

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 2,724,202

Underlying: Class A Common Stock · 569,620 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.

F2 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))

F3 · derivative.exercise_price: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.

F1 · kind: Pursuant to the terms of the Class B Common Stock, New Enterprise Associates 14, L.P. ("NEA 14") converted shares of Class B Common Stock into shares of Class A Common Stock.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))

F3 · derivative.exercise_date: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))

F3 · derivative.expiration_date: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.

F4 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-17-062616 · doc4.xml · nonDerivative · entry 2

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 0

F4 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-17-062616 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 569,620

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: Pursuant to the terms of the Class B Common Stock, New Enterprise Associates 14, L.P. ("NEA 14") converted shares of Class B Common Stock into shares of Class A Common Stock.

F2 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))

F3 · price: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.

F4 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-17-062085 · doc4.xml · derivative · entry 3

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 3,293,822

Underlying: Class A Common Stock · 2,820,516 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.

F2 · derivative.exercise_price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))

F3 · derivative.exercise_price: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.

F1 · kind: Pursuant to the terms of the Class B Common Stock, New Enterprise Associates 14, L.P. ("NEA 14") converted shares of Class B Common Stock into shares of Class A Common Stock.

F2 · derivative.exercise_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))

F3 · derivative.exercise_date: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.

F2 · derivative.expiration_date: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))

F3 · derivative.expiration_date: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.

F4 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-17-062085 · doc4.xml · nonDerivative · entry 2

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 0

F4 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-17-062085 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 2,820,516

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: Pursuant to the terms of the Class B Common Stock, New Enterprise Associates 14, L.P. ("NEA 14") converted shares of Class B Common Stock into shares of Class A Common Stock.

F2 · price: Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon (1) any transfer, whether or not for value and whether voluntary or involuntary or by operation of law, except for certain transfers described in the Issuer's certificate of incorporation, including, without limitation, certain transfers for tax and estate planning purposes or (continued to Footnote (3))

F3 · price: (continued from Footnote (2)) (2) the death or disability, as defined in the Issuer's certificate of incorporation, of the applicable Class B common stockholder (or nine months after the date of death or disability if the stockholder is one of the Issuer's founders). In addition, on the first trading day following the date on which the outstanding shares of Class B Common Stock represent less than 10% of the aggregate voting power of the Issuer's then outstanding capital stock, all outstanding shares of Class B Common Stock shall convert automatically into Class A Common Stock, and no additional shares of Class B Common Stock will be issued.

F4 · ownership.nature: The Reporting Person is a director of NEA 14 GP, LTD, which is the sole general partner of NEA Partners 14, L.P. ("NEA Partners 14"). NEA Partners 14 is the sole general partner of NEA 14, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 14 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-17-059876 · doc4.xml · nonDerivative · entry 5

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252

F8 · kind: M. James Barrett and April Barrett received 252 shares of Common Stock of the Issuer in the distribution by NEA Partners 13 on November 6, 2017.

SEC source: 0001209191-17-059876 · doc4.xml · nonDerivative · entry 4

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 7

Disclosed balance after: 252

F6 · kind: The Barrett 2006 FamilyTrust received 252 shares of Common Stock of the Issuer in the distribution by NEA Partners 13 on November 6, 2017.

F7 · ownership.nature: The securities are directly held by the Barrett 2006 Family Trust. The Reporting Person disclaims beneficial ownership within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the securities of the Issuer held by the Barrett 2006 Family Trust in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-17-059876 · doc4.xml · nonDerivative · entry 3

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 0

F5 · kind: NEA Partners 13 made a pro rata distribution for no consideration of an aggregate of 10,000 shares of Common Stock of the Issuer to its limited partners on November 6, 2017.

F4 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, the director beneficial owner of the shares of Common Stock of the Issuer. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA Partners 13 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-17-059876 · doc4.xml · nonDerivative · entry 2

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 4

Disclosed balance after: 10,000

F3 · kind: NEA Partners 13 received 10,000 shares of Common Stock of the Issuer in the distribution by NEA 13 on November 6, 2017.

F4 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, the director beneficial owner of the shares of Common Stock of the Issuer. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA Partners 13 shares in which the Reporting Person has no pecuniary interest.

SEC source: 0001209191-17-059876 · doc4.xml · nonDerivative · entry 1

BARRETT M JAMES · CIK 0001219855 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Note 2

Disclosed balance after: 2,256,013

F1 · kind: New Enterprise Associates 13, L.P. ("NEA 13") made a pro rata distribution for no consideration of an aggregate of 1,000,000 shares of Common Stock of the Issuer, to its general partner and its limited partners on November 6, 2017.

F2 · ownership.nature: The Reporting Person is a director of NEA 13 GP, LTD, which is the sole general partner of NEA Partners 13, L.P. ("NEA Partners 13"). NEA Partners 13 is the sole general partner of NEA 13, which is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the NEA 13 shares in which the Reporting Person has no pecuniary interest.