Hoerter Steven L.

SEC source: 0001193125-26-331639 · ownership.xml · derivative · entry 3

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 331,000

Underlying: Common Stock · 331,000 shares

Expires 2036-08-03

F3 · derivative.exercise_date: The options will vest and become exercisable with 25% of the shares subject to the award vesting on July 13, 2027 and the remainder vesting in 36 equal monthly installments thereafter, subject to continued service on each such vesting date.

SEC source: 0001193125-26-331639 · ownership.xml · nonDerivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 82,938

F1 · shares: Represents the grant of restricted stock units ("RSUs"). 25% of the shares subject to the RSU grant will vest annually over four years, on each July 13, 2027, 2028, 2029 and 2030, subject to continued service on each such vesting date.

SEC source: 0001470831-26-000670 · wk-form4_1782520015.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,000

Underlying: Common Stock · 62,000 shares

Expires 2036-06-23

F1 · derivative.exercise_date: This option shall vest and become exercisable in full upon the earlier to occur of (i) June 24, 2027 and (ii) the next annual meeting of the Issuer's stockholders, subject to the recipient's continued service as a member of the Board on such date.

SEC source: 0001193125-26-258429 · ownership.xml · derivative · entry 3

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,500

Underlying: Common Stock · 12,500 shares

Expires 2036-06-04

F2 · derivative.exercise_date: The grant will vest in full on the earlier of the one-year anniversary of the grant date or on the date of our next annual meeting of stockholders, subject to the non-employee director's continued services to the Company.

SEC source: 0001193125-26-202615 · ownership.xml · derivative · entry 3

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,249

Underlying: Common Stock · 74,249 shares

Expires 2036-05-01

F3 · derivative.exercise_date: The grant will vest 50% upon grant date and the remaining 50% in equal monthly installments over a six-month period from the grant date, subject to the Reporting Person's continued services to the Company.

SEC source: 0001193125-26-202615 · ownership.xml · nonDerivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,938

F1 · shares: Represents the grant of restricted stock units (RSUs). The RSUs will vest in full on November 6, 2026, subject to the Reporting Person's continued service on such vesting date.

SEC source: 0001533451-26-000002 · form4-01062026_090105.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2036-01-01

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on each one month anniversary of January 2, 2026.

SEC source: 0001193125-25-294675 · ownership.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires 2035-11-21

F1 · derivative.exercise_date: The grant will vest in equal monthly installments over a one-year period from November 6, 2025, subject to the non-employee director's continued services to the Company.

SEC source: 0001193125-26-168530 · ownership.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 0 shares

Expires 2035-11-21

F1 · shares: Pursuant to the Company's Non-Employee Director Compensation Policy, these grants were adjusted downward such that the non-employee Director's annual equity compensation in 2025 totals no more than $1,000,000 based on the aggregate grant date fair value as determined in accordance with FASB Topic ASC 718.

F2 · derivative.exercise_date: The grant will vest in equal monthly installments over a one-year period from November 6, 2025, subject to the non-employee director's continued services to the Company.

F1 · derivative.underlying_shares: Pursuant to the Company's Non-Employee Director Compensation Policy, these grants were adjusted downward such that the non-employee Director's annual equity compensation in 2025 totals no more than $1,000,000 based on the aggregate grant date fair value as determined in accordance with FASB Topic ASC 718.

F1 · balance_after: Pursuant to the Company's Non-Employee Director Compensation Policy, these grants were adjusted downward such that the non-employee Director's annual equity compensation in 2025 totals no more than $1,000,000 based on the aggregate grant date fair value as determined in accordance with FASB Topic ASC 718.

SEC source: 0001193125-25-271118 · ownership.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2035-11-05

F1 · derivative.exercise_date: The grant will vest in equal monthly installments over a one-year period from the date of grant, subject to the non-employee director's continued services to the Company.

SEC source: 0001193125-26-168524 · ownership.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 33,751

Underlying: Common Stock · 33,751 shares

Expires 2035-11-05

F1 · shares: Pursuant to the Company's Non-Employee Director Compensation Policy, these grants were adjusted downward such that the non-employee Director's annual equity compensation in 2025 totals no more than $1,000,000 based on the aggregate grant date fair value as determined in accordance with FASB Topic ASC 718.

F2 · derivative.exercise_date: The grant will vest in equal monthly installments over a one-year period from the date of grant, subject to the non-employee director's continued services to the Company.

SEC source: 0001193125-25-243653 · ownership.xml · nonDerivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By Trust

Disclosed balance after: 20,000

F1 · ownership.nature: Shares held by the Steven L Hoerter Revocable Trust dated November 2, 2018, of which the Reporting Person serves as trustee. The Reporting Person disclaims beneficial ownership except to the extent of any pecuniary interest therein, and this report shall not be deemed an admission that such shares are beneficially owned by him for Section 16 or any other purpose.

SEC source: 0001662579-25-000042 · wk-form4_1750450241.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,500

Underlying: Common Stock · 35,500 shares

Expires 2035-06-17

F1 · derivative.exercise_date: This option shall vest and become exercisable in full upon the earlier to occur of (i) June 18, 2026 and (ii) the next annual meeting of the Issuer's stockholders, subject to the recipient's continued service as a member of the Board on such date.

SEC source: 0000950170-25-082713 · ownership.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2035-06-05

F1 · derivative.exercise_date: The grant will vest in full on the earlier of the one-year anniversary of the grant date or on the date of our next annual meeting of stockholders, subject to the non-employee director's continued services to the Company.

SEC source: 0000950170-25-052313 · ownership.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,000

Underlying: Common Stock · 32,000 shares

Expires 2035-04-07

F1 · derivative.exercise_date: One-third of the shares underlying this option will vest and become exercisable on April 7, 2026, the anniversary of the date of grant, with the remainder vesting monthly over the subsequent two year period, subject to the Reporting Person's continued service on each such vesting date.

SEC source: 0001415889-25-000788 · form4-01062025_090139.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2035-01-01

F1 · derivative.exercise_date: 1/12th of the shares subject to the option shall vest on each one month anniversary of January 2, 2025.

SEC source: 0001662579-24-000108 · wk-form4_1732223821.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,000

Underlying: Common Stock · 65,000 shares

Expires 2034-11-18

F1 · derivative.exercise_date: 33% of the shares underlying this option shall vest and become exercisable on November 19, 2025, with the remainder vesting in eight equal quarterly installments thereafter, subject to the Reporting Person's continued service on each such vesting date.

SEC source: 0001415889-24-016909 · form4-06142024_080617.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,600

Underlying: Common Stock · 25,600 shares

Expires 2034-06-11

F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) June 12, 2025 or (ii) the business day prior to the next annual meeting of the Issuer's stockholders that occurs following the date of grant.

SEC source: 0000950170-24-072196 · ownership.xml · derivative · entry 8

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 298,100 shares

Expires not disclosed

F2 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share (the "Common Stock") for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-072196 · ownership.xml · derivative · entry 7

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 250,000 shares

Expires not disclosed

F2 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share (the "Common Stock") for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-072196 · ownership.xml · derivative · entry 6

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 415,000 shares

Expires not disclosed

F2 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share (the "Common Stock") for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-072196 · ownership.xml · derivative · entry 5

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 270,357 shares

Expires not disclosed

F2 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share (the "Common Stock") for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-072196 · ownership.xml · derivative · entry 4

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 395,735 shares

Expires not disclosed

F2 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share (the "Common Stock") for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F5 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding stock option of the Issuer having an exercise price per share that is less than the Merger Consideration became fully vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to (A) the number of shares underlying such option multiplied by (B) the Merger Consideration.

SEC source: 0000950170-24-072196 · ownership.xml · nonDerivative · entry 3

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share (the "Common Stock") for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F4 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each share of Common Stock held by the Reporting Person was tendered in exchange for the Merger Consideration, without interest and subject to tax withholding.

SEC source: 0000950170-24-072196 · ownership.xml · nonDerivative · entry 2

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,763

F2 · kind: This Form 4 reports securities disposed pursuant to the Agreement and Plan of Merger (the "Merger Agreement"), dated as of April 29, 2024, by and among the Issuer, Ono Pharmaceutical Co., Ltd. ("Parent"), and Topaz Merger Sub, Inc., a wholly owned subsidiary of Parent ("Merger Sub"). Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.01 per share (the "Common Stock") for a price per share of $25.60, without interest and subject to tax withholding (the "Merger Consideration"). Effective as of June 11, 2024 (the "Effective Time"), Merger Sub merged with and into the Issuer, with the Issuer continuing as the surviving corporation in the Merger and as a wholly owned subsidiary of Parent.

F3 · price: Pursuant to the terms of the Merger Agreement, immediately prior to the Effective Time, each outstanding RSU (whether vested or unvested) was deemed to have vested, and was cancelled and automatically converted into the right to receive an amount in cash equal to the Merger Consideration.

SEC source: 0000950170-24-072196 · ownership.xml · nonDerivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 358,838

F1 · kind: Represents restricted stock units ("RSUs") previously granted to the Reporting Person subject to performance-based vesting conditions, for which the performance conditions associated with such RSUs had not yet occurred.

F1 · price: Represents restricted stock units ("RSUs") previously granted to the Reporting Person subject to performance-based vesting conditions, for which the performance conditions associated with such RSUs had not yet occurred.

SEC source: 0000950170-24-017090 · ownership.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 298,100

Underlying: Common Stock · 298,100 shares

Expires 2034-02-14

F1 · derivative.exercise_date: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. The option shall vest in equal monthly installments over four years, beginning on March 15, 2024.

SEC source: 0000950170-23-070386 · ownership.xml · nonDerivative · entry 2

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,763

F2 · kind: This sale was to cover tax liabilities in the vesting of RSUs.

SEC source: 0000950170-23-070386 · ownership.xml · nonDerivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,427

F1 · kind: On February 15, 2023, the Reporting Person was granted restricted stock units ("RSUs"), which vest upon the satisfaction of three performance criteria. On December 12, 2023, the Issuer's Compensation Committee confirmed that performance criteria one had been met, resulting in the vesting of 62,500 RSUs.

F1 · price: On February 15, 2023, the Reporting Person was granted restricted stock units ("RSUs"), which vest upon the satisfaction of three performance criteria. On December 12, 2023, the Issuer's Compensation Committee confirmed that performance criteria one had been met, resulting in the vesting of 62,500 RSUs.

SEC source: 0001209191-23-053935 · doc4.xml · nonDerivative · entry 2

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,927

F2 · kind: This sale was to cover tax liabilities in the vesting of RSUs.

SEC source: 0001209191-23-053935 · doc4.xml · nonDerivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 62,500

F1 · kind: On February 15, 2023, the Reporting Person was granted restricted stock units ("RSUs"), which vest upon the satisfaction of three performance criteria. On October 28, 2023, the Issuer's Compensation Committee confirmed that performance criteria two had been met, resulting in the vesting of 62,500 RSUs.

F1 · price: On February 15, 2023, the Reporting Person was granted restricted stock units ("RSUs"), which vest upon the satisfaction of three performance criteria. On October 28, 2023, the Issuer's Compensation Committee confirmed that performance criteria two had been met, resulting in the vesting of 62,500 RSUs.

SEC source: 0001209191-23-037395 · doc4.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,500

Underlying: Common Stock · 20,500 shares

Expires 2033-06-13

F1 · derivative.exercise_date: One hundred percent (100%) of the shares subject to the option shall vest on the earlier of (i) June 14, 2024 or (ii) the business day prior to the next annual meeting of the Issuer's stockholders that occurs following the date of grant.

SEC source: 0001209191-23-020720 · doc4.xml · nonDerivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On March 18, 2019, the Reporting Person was granted 30,000 Restricted Stock Units ("RSUs") which vest in four (4) equal annual installments beginning on March 18, 2020. These RSUs were reported in Table I on a Form 4 filed on March 20, 2019. The sale of shares reported on this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 14, 2022.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.395 to $15.70, inclusive. The Reporting Person undertakes to provide to Deciphera Pharmaceuticals, Inc., any security holder of Deciphera Pharmaceuticals, Inc., 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 ranges set forth in this footnote.

SEC source: 0001209191-23-010062 · doc4.xml · derivative · entry 2

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2033-02-14

F2 · derivative.exercise_date: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. The option shall vest in equal monthly installments over four (4) years, beginning on March 15, 2023.

SEC source: 0001209191-23-010062 · doc4.xml · nonDerivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

F1 · kind: The sale of shares reported on this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 14, 2022.

SEC source: 0001209191-22-038199 · doc4.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,283

Underlying: Common Stock · 50,283 shares

Expires 2032-06-16

F1 · derivative.exercise_date: (A) 17,083 of the shares subject to the option shall vest on the earlier of (i) June 17, 2023 or (ii) the business day prior to the next annual meeting of the Issuer's stockholders that occurs following the date of grant, and (B) one thirty-sixth (1/36th) of the remaining 33,200 shares subject to the option shall vest on each monthly anniversary of June 17, 2022.

SEC source: 0001209191-22-020765 · doc4.xml · nonDerivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,545

F1 · kind: On March 18, 2019, the Reporting Person was granted 30,000 Restricted Stock Units ("RSUs") which vest in four (4) equal annual installments beginning on March 18, 2020. These RSUs were reported in Table I on a Form 4 filed on March 20, 2019. The sale of shares reported on this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 15, 2021 to cover tax obligations.

SEC source: 0001209191-22-004073 · doc4.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 415,000

Underlying: Common Stock · 415,000 shares

Expires 2032-01-17

F1 · derivative.exercise_date: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. The option shall vest in equal monthly installments over four (4) years, beginning on February 18, 2022.

SEC source: 0001209191-21-070248 · doc4.xml · derivative · entry 2

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,357

Underlying: Common Stock · 270,357 shares

Expires 2031-12-14

F1 · derivative.exercise_date: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan (the "2017 Plan"). The option shall vest in two equal installments on June 15, 2022 and June 15, 2023, subject to continuous service with the Issuer or a Subsidiary (as defined in the 2017 Plan) through each vesting date.

SEC source: 0001209191-21-051657 · doc4.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,250

Underlying: Common Stock · 33,250 shares

Expires 2031-08-12

F1 · derivative.exercise_date: One thirty-sixth (1/36th) of the shares subject to the option shall vest on each monthly anniversary of August 13, 2021.

SEC source: 0001562180-21-004982 · primarydocument.xml · derivative · entry 4

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,171 shares

Expires not disclosed

F1 · price: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

F1 · derivative.exercise_date: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

F1 · derivative.expiration_date: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

SEC source: 0001562180-21-004982 · primarydocument.xml · derivative · entry 3

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,342 shares

Expires not disclosed

F1 · price: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

F1 · derivative.exercise_date: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

F1 · derivative.expiration_date: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

SEC source: 0001562180-21-004982 · primarydocument.xml · derivative · entry 2

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,171 shares

Expires not disclosed

F1 · price: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

F1 · derivative.exercise_date: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

F1 · derivative.expiration_date: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

SEC source: 0001562180-21-004982 · primarydocument.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,171 shares

Expires not disclosed

F1 · price: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

F1 · derivative.exercise_date: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

F1 · derivative.expiration_date: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

SEC source: 0001562180-21-005057 · primarydocument.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 26,342 shares

Expires not disclosed

F1 · price: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

F1 · derivative.exercise_date: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

F1 · derivative.expiration_date: This Form 4 reports securities disposed of under the terms of the Agreement and Plan of Merger (the ''Agreement''), dated as of June 2, 2021, among Constellation Pharmaceuticals, Inc. (the "Company"), MorphoSys AG ("Parent") and MorphoSys Development Inc. ("Purchaser"), an indirect wholly owned subsidiary of Parent. Pursuant to the Agreement, on July 15, 2021 (the "Effective Time"), Purchaser merged with and into the Company, with the Company becoming a wholly owned subsidiary of Parent (the "Merger"). In connection with the consummation of the Merger, at the Effective Time, each share of common stock, par value $0.0001 per share, of the Company ("Common Stock") that was outstanding immediately prior to the Effective Time (other than certain shares specified in the Agreement) was converted into the right to receive $34.00 in cash, without interest and subject to any required withholding of taxes (the "Merger Consideration").

SEC source: 0001562180-21-004073 · primarydocument.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,171

Underlying: Common Stock · 13,171 shares

Expires 2031-06-01

F1 · derivative.exercise_date: This option was granted on June 2, 2021, and the shares underlying the option vest in equal quarterly installments through June 2, 2022, subject to continued service.

SEC source: 0001209191-21-022386 · doc4.xml · nonDerivative · entry 2

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,695

F1 · kind: On March 18, 2019, was granted 30,000 Restricted Stock Units (RSUs) which vest in four (4) equal annual installments beginning on March 18, 2020. These RSUs were reported in Table I on a Form 4 filed on March 20, 2019. The sale of shares reported in this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 25, 2020 to cover tax obligations.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $43.02 to $43.58, inclusive. The reporting person undertakes to provide to Deciphera Pharmaceuticals, Inc., any security holder of Deciphera Pharmaceuticals, Inc., 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 ranges set forth in this footnote.

SEC source: 0001209191-21-022386 · doc4.xml · nonDerivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,145

F1 · kind: On March 18, 2019, was granted 30,000 Restricted Stock Units (RSUs) which vest in four (4) equal annual installments beginning on March 18, 2020. These RSUs were reported in Table I on a Form 4 filed on March 20, 2019. The sale of shares reported in this Form 4 was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 25, 2020 to cover tax obligations.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $41.95 to $42.73, inclusive. The reporting person undertakes to provide to Deciphera Pharmaceuticals, Inc., any security holder of Deciphera Pharmaceuticals, Inc., 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 ranges set forth in this footnote.

SEC source: 0001209191-21-012049 · doc4.xml · derivative · entry 1

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,000

Underlying: Common Stock · 210,000 shares

Expires 2031-02-15

F1 · derivative.exercise_date: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. The option shall vest in equal monthly installments over four years, beginning on March 16, 2021.

SEC source: 0001209191-21-005106 · doc4.xml · derivative · entry 2

Hoerter Steven L. · CIK 0001533451 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 395,735

Underlying: Common Stock · 1,078 shares

Expires 2029-03-17

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: This stock option was issued pursuant to the Issuer's 2017 Stock Option and Incentive Plan. 25% of the options vested on March 18, 2020, and the remaining options shall vest in equal monthly installments over the following three years, subject to continued service through such dates.