Carolin Roger Anthony

SEC source: 0001209191-23-020610 · doc4.xml · derivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,809.4075

Underlying: Common Stock · 26.1076 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on March 20, 2023. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · shares: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on March 20, 2023. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · derivative.exercise_date: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on March 20, 2023. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · derivative.expiration_date: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on March 20, 2023. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · derivative.underlying_shares: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on March 20, 2023. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

SEC source: 0001104659-23-001450 · tm232195-1_4seq1.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,180

F1 · security: Stock based compensation for the year ended December 31, 2022. In connection with this issuance, the Issuer's Board of Directors determined to make the annual issuance of stock-based compensation to its independent directors in April rather than in January for future periods.

SEC source: 0001209191-22-062930 · doc4.xml · derivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,783.2999

Underlying: Common Stock · 26.7602 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on December 27, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · shares: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on December 27, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · derivative.exercise_date: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on December 27, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · derivative.expiration_date: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on December 27, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · derivative.underlying_shares: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on December 27, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

SEC source: 0001209191-22-051477 · doc4.xml · derivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,756.5397

Underlying: Common Stock · 25.9881 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on September 26, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · shares: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on September 26, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · derivative.exercise_date: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on September 26, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · derivative.expiration_date: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on September 26, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · derivative.underlying_shares: Represents dividend equivalent units ("DEUs") accrued with respect to time-vested restricted stock units ("RSUs") of Amkor Technology, Inc. (the "Issuer") upon the Issuer's payment of a dividend on September 26, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

SEC source: 0001209191-22-039864 · doc4.xml · derivative · entry 3

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,730.5516

Underlying: Common Stock · 24.5516 shares

Expires not disclosed

F2 · derivative.exercise_price: Represents DEUs accrued with respect to the RSUs upon the Issuer's payment of a dividend on June 27, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F2 · shares: Represents DEUs accrued with respect to the RSUs upon the Issuer's payment of a dividend on June 27, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F2 · derivative.exercise_date: Represents DEUs accrued with respect to the RSUs upon the Issuer's payment of a dividend on June 27, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F2 · derivative.expiration_date: Represents DEUs accrued with respect to the RSUs upon the Issuer's payment of a dividend on June 27, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F2 · derivative.underlying_shares: Represents DEUs accrued with respect to the RSUs upon the Issuer's payment of a dividend on June 27, 2022. Each DEU represents an additional RSU subject to the same provisions as the RSU with respect to which the DEU was accrued.

F1 · balance_after: As previously reported in a Form 4 filed by the Reporting Person on May 19, 2022 (the "Original Form 4"), 8,706 shares of Amkor Technology, Inc. (the "Issuer") common stock underlying time-vested restricted stock units (the "RSUs") were granted to the Reporting Person on May 17, 2022. Pursuant to the award agreement for the RSUs, dividend equivalent units ("DEUs") accrue with respect to the RSUs when and as dividends are paid on the Issuer's common stock. In the Original Form 4, the RSUs were incorrectly reported in Table I. Table II, Column 9 of this Form 4 has been adjusted to include the RSUs and reflects the proper number of RSUs beneficially owned by the Reporting Person as of the filing date of this Form 4.

SEC source: 0001209191-22-030650 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,289

F1 · shares: Represents shares of Amkor Technology, Inc. (the "Issuer") common stock underlying time-vested restricted stock units granted on May 17, 2022 (the "Grant Date") pursuant to the Issuer's Equity Incentive Plan (the "RSUs"). Subject to the terms and conditions of the applicable award agreement, the RSUs will vest in full on the earlier of the first anniversary of the Grant Date or the date of the Issuer's first annual meeting of the stockholders immediately following the Grant Date. The RSUs were awarded for no consideration other than the Reporting Person's service as a director of the Issuer.

SEC source: 0001104659-22-001049 · tm221460-2_4seq1.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,092

F1 · security: Stock based compensation for the year ended December 31, 2021.

SEC source: 0001209191-21-050224 · doc4.xml · derivative · entry 3

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2023-05-08

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

SEC source: 0001209191-21-050224 · doc4.xml · nonDerivative · entry 2

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,583

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $26.72 to $27.32.The Reporting Person hereby undertakes to provide, upon request, to the staff of the Securities and Exchange Commission, Amkor Technology, Inc. (the "Issuer"), or any security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (1) to this Form 4.

SEC source: 0001209191-21-050224 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,583

SEC source: 0001209191-21-034060 · doc4.xml · derivative · entry 2

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2031-05-18

F2 · derivative.exercise_date: These options vest 100% on the earlier of the first anniversary of the grant date or the date of the first annual meeting of stockholders following the grant date.

SEC source: 0001209191-21-034060 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,583

F1 · shares: These are restricted shares which vest 100% on the earlier of the first anniversary of the grant date or the date of the first annual meeting of stockholders following the grant date.

SEC source: 0001104659-21-001540 · tm211837-1_4seq1.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,743

F1 · security: Stock based compensation for the year ended December 31, 2020.

SEC source: 0001104659-20-136345 · tm2038651-1_4seq1.xml · nonDerivative · entry 2

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,871

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $8.00 to $8.05, inclusive.

SEC source: 0001104659-20-136345 · tm2038651-1_4seq1.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,050

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.66 to $8.20, inclusive. The reporting person undertakes to provide to Innovative Solutions & Support Inc. ("ISSC"), any security holder of ISSC or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote or the following footnote to this Form 4.

SEC source: 0001209191-20-061052 · doc4.xml · derivative · entry 3

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2022-05-08

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

F2 · derivative.exercise_date: These options were granted May 8, 2012 and vest 100% on the earlier of the first anniversary of the grant date or the date of the first annual meeting of stockholders following the grant date.

SEC source: 0001209191-20-061052 · doc4.xml · nonDerivative · entry 2

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,489

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 15.11 to 15.22.

SEC source: 0001209191-20-061052 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,489

SEC source: 0001209191-20-030848 · doc4.xml · derivative · entry 2

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2030-05-19

F2 · derivative.exercise_date: These options vest 100% on the earlier of the first anniversary of the grant date or the date of the first annual meeting of stockholders following the grant date.

SEC source: 0001209191-20-030848 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,489

F1 · shares: These are restricted shares which vest 100% on the earlier of the first anniversary of the grant date or the date of the first annual meeting of stockholders following the grant date.

SEC source: 0001104659-20-001724 · a4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,314

F1 · security: Stock based compensation for the year ended December 31, 2019.

SEC source: 0001209191-19-057422 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held in Trust with Spouse

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 12.85 to 12.97, inclusive. The reporting person undertakes to provide Amkor Technology, Inc. ("Amkor"), any security holder of Amkor, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote to this Form 4.

SEC source: 0001209191-19-055934 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,383

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 12.73 to 12.81.

SEC source: 0001209191-19-054940 · doc4.xml · derivative · entry 7

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Amkor Technology, Inc., Common Stock · 20,000 shares

Expires 2021-05-03

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: These options vest over three years: 1/3 of the option shares become exercisable on each of the first three anniversaries of the grant date.

SEC source: 0001209191-19-054940 · doc4.xml · derivative · entry 6

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Amkor Technology, Inc., Common Stock · 20,000 shares

Expires 2020-05-03

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: These options vest over three years: 1/3 of the option shares become exercisable on each of the first three anniversaries of the grant date.

SEC source: 0001209191-19-054940 · doc4.xml · nonDerivative · entry 4

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,383

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 12.90 to 12.92.

SEC source: 0001209191-19-054940 · doc4.xml · nonDerivative · entry 3

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,383

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: 0001209191-19-054940 · doc4.xml · nonDerivative · entry 2

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,383

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 12.90 to 12.92.

SEC source: 0001209191-19-054940 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,383

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: 0001209191-19-031081 · doc4.xml · derivative · entry 3

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Amkor Technology, Inc. Common Stock · 20,000 shares

Expires 2029-05-15

F2 · derivative.exercise_date: These options vest 100% on the earlier of the first anniversary of the grant date, or the date of the first annual meeting of stockholders following the grant date.

SEC source: 0001209191-19-031081 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,383

F1 · shares: These are restricted shares which vest 100% on the earlier of the first anniversary of the grant date, or the date of the first annual meeting of stockholders following the grant date.

SEC source: 0001209191-19-010932 · doc4.xml · derivative · entry 4

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Amkor Technology, Inc. Common Stock · 20,000 shares

Expires 2019-05-04

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: These options vest 100% on the earlier of the first anniversary of the grant date, or the date of the first annual meeting of stockholders following the grant date

SEC source: 0001209191-19-010932 · doc4.xml · nonDerivative · entry 2

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,176

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 9.39 to 9.36.

SEC source: 0001209191-19-010932 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,176

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: 0001179110-19-000403 · edgar.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,050

F1 · security: Stock based compensation for the year ended December 31, 2018.

SEC source: 0001209191-18-027798 · doc4.xml · derivative · entry 3

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Amkor Technology, Inc. Common Stock · 20,000 shares

Expires 2028-05-01

F2 · derivative.exercise_date: These options vest 100% on the earlier of the first anniversary of the grant date, or the date of the first annual meeting of stockholders following the grant date

SEC source: 0001209191-18-027798 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,176

F1 · shares: These are restricted shares which vest 100% on the earlier of the first anniversary of the grant date, or the date of the first annual meeting of stockholders following the grant date

SEC source: 0001179110-18-000378 · edgar.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,673

F1 · security: Stock based compensation for the year ended December 31, 2017.

SEC source: 0001209191-17-038795 · doc4.xml · derivative · entry 4

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Amkor Technology, Inc. Common Stock · 10,000 shares

Expires 2017-08-06

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: 0001209191-17-038795 · doc4.xml · nonDerivative · entry 2

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,476

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from 12.05 to 12.08.

SEC source: 0001209191-17-038795 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,476

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: 0001209191-17-030102 · doc4.xml · derivative · entry 3

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Amkor Technology, Inc. Common Stock · 20,000 shares

Expires 2027-05-02

F2 · derivative.exercise_date: These options vest 100% on the earlier of the first anniversary of the grant date, or the date of the first annual meeting of stockholders following the grant date

SEC source: 0001209191-17-030102 · doc4.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,476

F1 · shares: These are restricted shares which vest 100% on the earlier of the first anniversary of the grant date, or the date of the first annual meeting of stockholders following the grant date

SEC source: 0001179110-17-000066 · edgar.xml · derivative · entry 2

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,179 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represented a contingent right to receive one share of the Issuer's common stock.

F2 · derivative.exercise_date: The restricted stock units were granted on September 26, 2016 as compensation for service on the Issuer's board of directors during the year ended December 31, 2016 and vested in full on January 2, 2017.

F2 · derivative.expiration_date: The restricted stock units were granted on September 26, 2016 as compensation for service on the Issuer's board of directors during the year ended December 31, 2016 and vested in full on January 2, 2017.

SEC source: 0001179110-17-000066 · edgar.xml · nonDerivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,179

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: Each restricted stock unit represented a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001179110-16-030181 · edgar.xml · derivative · entry 1

Carolin Roger Anthony · CIK 0001351909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,179

Underlying: Common Stock · 10,179 shares

Expires not disclosed

F1 · security: Stock-based compensation for the year ending December 31, 2016.

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F3 · derivative.exercise_date: The restricted stock units will vest in full on January 2, 2017, provided that if the Reporting Person resigns from the Issuer's board of directors prior to January 1, 2017 he will receive a pro rated number of shares based on the number of days served as a director during 2016.

F3 · derivative.expiration_date: The restricted stock units will vest in full on January 2, 2017, provided that if the Reporting Person resigns from the Issuer's board of directors prior to January 1, 2017 he will receive a pro rated number of shares based on the number of days served as a director during 2016.