Davis Todd C

SEC source: 0002001011-24-000016 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,709

F1 · shares: Represents shares withheld by the Issuer in payment of the tax liability arising in connection with the settlement of restricted stock units.

SEC source: 0000886163-23-000057 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,090

F1 · price: The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $58.975 to $59.930. The Reporting Person undertakes to provide the Registrant, any securityholder of the Registrant, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

SEC source: 0000886163-23-000038 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,090

F1 · shares: Represents shares withheld by the Issuer in payment of the tax liability arising in connection with the settlement of restricted stock units.

F2 · balance_after: The number reflected in Column 5 reconciles the total number of shares beneficially held following the transactions reported herein.

SEC source: 0000899243-23-006294 · doc4.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,178

Underlying: Common Stock · 46,178 shares

Expires 2033-02-23

F2 · derivative.exercise_date: Grant to reporting person of stock options that will vest and become exercisable over a 4-year period measured from February 23, 2023, with 12-1/2% of the shares subject to the stock options vesting on the date that is six months after February 23, 2023 and the remaining stock options vesting in 42 equal monthly installments thereafter.

SEC source: 0000899243-23-006294 · doc4.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,791

F1 · shares: Represents restricted stock units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's common stock. The RSUs shall vest over three years, in three equal annual installments on February 15, 2024; February 15, 2025; and February 15, 2026, subject to the Reporting Person's continued service to the Issuer through each such vesting date.

SEC source: 0000899243-22-039399 · doc4.xml · derivative · entry 1

Davis Todd C · CIK 0001392029 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,081

Underlying: Common Stock · 2,081 shares

Expires 2032-12-22

F1 · derivative.exercise_date: Grant to reporting person of stock options that will vest and become exercisable over a 4-year period measured from the date of grant, with 12-1/2% of the shares subject to the stock options vesting on the date that is six months after the date of grant and the remaining stock options vesting in 42 equal monthly installments thereafter.

SEC source: 0000899243-22-037822 · doc4.xml · derivative · entry 1

Davis Todd C · CIK 0001392029 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,000

Underlying: Common Stock · 132,000 shares

Expires 2032-12-05

F1 · derivative.exercise_date: Grant to reporting person of stock options that will vest and become exercisable over a 4-year period measured from the date of grant, with 12-1/2% of the shares subject to the stock options vesting on the date that is six months after the date of grant and the remaining stock options vesting in 42 equal monthly installments thereafter.

SEC source: 0001437749-22-019437 · rdgdoc.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,224

Underlying: Common Stock · 44,224 shares

Expires 2032-08-03

F2 · derivative.exercise_date: The shares subject to this option shall vest on the earlier of the date immediately prior of the 2023 annual meeting of stockholders of the Issuer and August 4, 2023, the first anniversary of the date of the grant.

SEC source: 0001437749-22-019437 · rdgdoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,905

F1 · shares: Grant of shares upon vesting of restricted stock units. The shares underlying the award shall vest on the earlier of the date immediately prior of the 2023 annual meeting of stockholders of the Issuer and August 4, 2023, the first anniversary of the date of the grant.

SEC source: 0000886163-22-000082 · edgardoc.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,340

Underlying: Common Stock · 4,340 shares

Expires 2032-06-10

F2 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 10, 2022. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-22-000082 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,786

F1 · shares: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 10, 2022. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0001103021-22-000066 · wf-form4_164798349975965.xml · derivative · entry 4

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 85,760 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000066 · wf-form4_164798349975965.xml · derivative · entry 3

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 48,123 shares

Expires not disclosed

F4 · price: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.exercise_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

F4 · derivative.expiration_date: Immediately prior to the Effective Time, each Issuer option that was outstanding and then exercisable for a per share exercise price less than the Merger Consideration that would be payable in respect of the Shares underlying such Issuer option (any such Issuer option, an "In-the-Money Cash Out Option") was cancelled and automatically converted into the right to receive for each Share underlying such Issuer option, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the excess of the Merger Consideration over the per share exercise price of such In-the-Money Cash Out Option. All Issuer options that were not In-the-Money Cash Out Options were cancelled at the Effective Time without payment of any consideration.

SEC source: 0001103021-22-000066 · wf-form4_164798349975965.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,685 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one Share.

F3 · price: Each Issuer RSUs that was outstanding immediately prior to the Effective Time, was cancelled and converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the Merger Consideration.

F3 · derivative.exercise_date: Each Issuer RSUs that was outstanding immediately prior to the Effective Time, was cancelled and converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the Merger Consideration.

F3 · derivative.expiration_date: Each Issuer RSUs that was outstanding immediately prior to the Effective Time, was cancelled and converted into the right to receive for each Share underlying such RSU, without interest and subject to deduction for any required withholding taxes, an amount in cash equal to the Merger Consideration.

SEC source: 0001103021-22-000066 · wf-form4_164798349975965.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 14, 2022, by and among the Issuer, Collegium Pharmaceutical, Inc., ("Parent"), and Bristol Acquisition Company Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of Issuer, $0.001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 22, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $5.60 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.

F1 · shares: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 14, 2022, by and among the Issuer, Collegium Pharmaceutical, Inc., ("Parent"), and Bristol Acquisition Company Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of Issuer, $0.001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 22, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $5.60 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.

F1 · price: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of February 14, 2022, by and among the Issuer, Collegium Pharmaceutical, Inc., ("Parent"), and Bristol Acquisition Company Inc., a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub completed a tender offer for shares of common stock of Issuer, $0.001 par value per share (each, a "Share") and thereafter merged with and into the Issuer (the "Merger") effective as of March 22, 2022 (the "Effective Time"). At the Effective Time, each issued and outstanding Share was cancelled and converted into the right to receive $5.60 in cash (the "Merger Consideration") without interest and subject to applicable withholding taxes.

SEC source: 0001103021-22-000027 · wf-form4_164374953768049.xml · derivative · entry 4

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,685

Underlying: Common Stock · 7,684 shares

Expires 2023-01-27

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: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2022, as compensation for service on the Issuer's board of directors, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan ("the Plan"). The award is subject to time-based vesting and vests in equal portions on: (i) January 27, 2022; and (ii) January 27, 2023.

SEC source: 0001103021-22-000027 · wf-form4_164374953768049.xml · derivative · entry 3

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,369

Underlying: Common Stock · 15,369 shares

Expires 2023-01-27

F1 · kind: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2022, as compensation for service on the Issuer's board of directors, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan ("the Plan"). The award is subject to time-based vesting and vests in equal portions on: (i) January 27, 2022; and (ii) January 27, 2023.

F1 · derivative.exercise_date: The Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2022, as compensation for service on the Issuer's board of directors, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan ("the Plan"). The award is subject to time-based vesting and vests in equal portions on: (i) January 27, 2022; and (ii) January 27, 2023.

SEC source: 0001103021-22-000027 · wf-form4_164374953768049.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,760

Underlying: Common Stock · 85,760 shares

Expires 2032-01-26

F2 · derivative.exercise_price: The exercise price of the stock options issued to the Reporting Person is equal to the closing price of the Issuer's common stock on January 27, 2022.

F3 · kind: The stock options were issued to the Reporting Person on January 27, 2022, as compensation for service on the Issuer's board of directors, pursuant to a grant under the Plan. The award is subject to time-based vesting and vests in equal portions on: (i) January 27, 2022; and (ii) January 27, 2023.

F3 · derivative.exercise_date: The stock options were issued to the Reporting Person on January 27, 2022, as compensation for service on the Issuer's board of directors, pursuant to a grant under the Plan. The award is subject to time-based vesting and vests in equal portions on: (i) January 27, 2022; and (ii) January 27, 2023.

SEC source: 0001103021-22-000027 · wf-form4_164374953768049.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,207

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 Restricted Stock Units ("RSUs") were issued to the Reporting Person on January 27, 2022, as compensation for service on the Issuer's board of directors, pursuant to a grant under the Issuer's 2019 Stock Option Incentive Plan ("the Plan"). The award is subject to time-based vesting and vests in equal portions on: (i) January 27, 2022; and (ii) January 27, 2023.

SEC source: 0001437749-21-029223 · rdgdoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,530

F1 · security: This transaction represents a gift / charitable donation effective December 22, 2021. This is not a market transaction, thus no price has been reported. No value was received for the gifted shares.

SEC source: 0001103021-21-000068 · wf-form4_162863369796370.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 30,000 shares

Expires 2022-08-01

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

F1 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of Restricted Stock Units ("RSUs") granted to the Reporting Person on August 1, 2018 under the Issuer's 2011 Equity Incentive Plan, as amended. The remaining RSUs vest as follows: (i) 15,000 RSUs vest in the first open window following the Company's 2022 Annual Meeting of Stockholders.

SEC source: 0001103021-21-000068 · wf-form4_162863369796370.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,523

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

SEC source: 0001437749-21-015110 · rdgdoc.xml · derivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,097

Underlying: Common stock · 15,097 shares

Expires 2031-06-15

F1 · derivative.exercise_date: The shares subject to this option shall vest on the earlier of the date of the 2022 annual meeting of stockholders of the Issuer and June 16, 2022, the first anniversary of the date of the grant.

SEC source: 0000886163-21-000092 · edgardoc.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,269

Underlying: Common Stock · 3,269 shares

Expires 2031-06-04

F2 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 04, 2021. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-21-000092 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,782

F1 · shares: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 04, 2021. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-21-000035 · edgardoc.xml · derivative · entry 3

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,474 shares

Expires 2028-06-18

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

F2 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 19, 2018. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-21-000035 · edgardoc.xml · nonDerivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,152

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

SEC source: 0000886163-21-000035 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,678

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $209.84 to $214.58, inclusive. The reporting person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000886163-21-000012 · edgardoc.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,456 shares

Expires 2027-05-25

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: Acquired by a grant of the Board of Directors of the Company at their annual meeting on May 25, 2017. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-21-000012 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,761

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

SEC source: 0001103021-20-000140 · wf-form4_159795459193844.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,914

F1 · price: On August 18, 2020, the Reporting Person sold an aggregate of 50,000 shares of the Issuer's Common Stock at a weighted average price of $4.99 per share. The highest sale price for the Common Stock was $5.03 per share and the lowest sale price was $4.98 per share. The Reporting Person undertakes to provide the Company, any security holder of the Company 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 these footnotes.

SEC source: 0001103021-20-000121 · wf-form4_159717902434587.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 30,000 shares

Expires 2022-08-01

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

F1 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of Restricted Stock Units ("RSUs") granted to the Reporting Person on August 1, 2018 under the Issuer's 2011 Equity Incentive Plan, as amended. The remaining RSUs vest as follows: (i) 30,000 RSUs vest in the first open window following the Company's 2021 Annual Meeting of Stockholders and (iI) 15,000 RSUs vest in the first open window following the Company's 2022 Annual Meeting of Stockholders.

SEC source: 0001103021-20-000121 · wf-form4_159717902434587.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,914

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 shares of common stock were acquired by the Reporting Person as a result of the vesting of Restricted Stock Units ("RSUs") granted to the Reporting Person on August 1, 2018 under the Issuer's 2011 Equity Incentive Plan, as amended. The remaining RSUs vest as follows: (i) 30,000 RSUs vest in the first open window following the Company's 2021 Annual Meeting of Stockholders and (iI) 15,000 RSUs vest in the first open window following the Company's 2022 Annual Meeting of Stockholders.

SEC source: 0000886163-20-000078 · edgardoc.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,468

Underlying: Common Stock · 2,468 shares

Expires 2030-06-10

F2 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 10, 2020. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-20-000078 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,305

F1 · shares: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 10, 2020. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0001437749-20-012746 · rdgdoc.xml · derivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,700

Underlying: Common Stock · 65,700 shares

Expires 2030-06-07

F1 · derivative.exercise_date: The shares subject to this option shall vest on the first anniversary of the 2020 annual meeting of stockholders of the Issuer.

SEC source: 0001437749-20-009007 · rdgdoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,000

F1 · price: The price reported in Column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $3.26 to $3.29, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote (1) to this Form 4.

SEC source: 0001437749-19-023307 · rdgdoc.xml · derivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,720

Underlying: Common Stock · 54,720 shares

Expires 2029-10-24

F1 · derivative.exercise_date: The shares subject to this option shall vest annually over three years from the vesting commencement date of October 25, 2019, the date of the grantee's appointment as a director of Vaxart, Inc.

SEC source: 0001437749-21-014721 · rdgdoc.xml · derivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,720

Underlying: Common Stock · 54,720 shares

Expires 2029-11-17

F1 · derivative.exercise_date: The shares subject to this option shall vest annually over three years from the vesting commencement date of October 25, 2019, the date of the grantee's appointment as a director of Vaxart, Inc.

F2 · derivative.expiration_date: This amendment is being filed solely to correct the expiration date of the stock option which was erroneously reported as October 24, 2029, in the original filing on November 20, 2019.

SEC source: 0001103021-19-000038 · wf-form4_157419947661243.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,914

F1 · price: On November 15, 2019, the Reporting Person sold an aggregate of 200,000 shares of the Issuer's Common Stock at a weighted average price of $6.11 per share. The highest sale price for the Common Stock was $6.30 per share and the lowest sale price was $6.01 per share. The Reporting Person undertakes to provide the Company, any security holder of the Company 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 these footnotes.

SEC source: 0001103021-19-000007 · wf-form4_156590080736819.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 18,123 shares

Expires 2022-08-01

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

F1 · derivative.exercise_date: The shares of common stock were acquired by the Reporting Person as a result of the vesting of Restricted Stock Units ("RSUs") granted to the Reporting Person on August 1, 2018 under the Issuer's 2011 Equity Incentive Plan, as amended. The remaining RSUs vest as follows: (i) 30,000 RSUs vest in the first open window following the Company's 2020 Annual Meeting of Stockholders, (ii) 30,000 RSUs vest in the first open window following the Company's 2021 Annual Meeting of Stockholders and (iii) 15,000 RSUs vest in the first open window following the Company's 2022 Annual Meeting of Stockholders.

SEC source: 0001103021-19-000007 · wf-form4_156590080736819.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 437,914

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 shares of common stock were acquired by the Reporting Person as a result of the vesting of Restricted Stock Units ("RSUs") granted to the Reporting Person on August 1, 2018 under the Issuer's 2011 Equity Incentive Plan, as amended. The remaining RSUs vest as follows: (i) 30,000 RSUs vest in the first open window following the Company's 2020 Annual Meeting of Stockholders, (ii) 30,000 RSUs vest in the first open window following the Company's 2021 Annual Meeting of Stockholders and (iii) 15,000 RSUs vest in the first open window following the Company's 2022 Annual Meeting of Stockholders.

SEC source: 0000886163-19-000140 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,474

SEC source: 0000886163-19-000107 · edgardoc.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,071

Underlying: Common Stock · 4,071 shares

Expires 2029-06-06

F2 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-19-000107 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,474

F1 · shares: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0001103021-21-000022 · wf-form5_161350934150439.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,523

F1 · shares: On December 26, 2018, the Reporting Person donated 3,391 shares of the Company's common stock to a foundation. The Reporting Person disclaims beneficial ownership of common stock held by this foundation.

SEC source: 0000886163-18-000152 · edgardoc.xml · derivative · entry 4

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,329 shares

Expires 2026-05-23

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

F2 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on May 23, 2016. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-18-000152 · edgardoc.xml · derivative · entry 3

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,754 shares

Expires 2025-04-24

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

F1 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on April 24, 2015. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-18-000152 · edgardoc.xml · nonDerivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,639

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

SEC source: 0000886163-18-000152 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,310

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.