Gregoire Sylvie

SEC source: 0001437749-26-020212 · rdgdoc.xml · derivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,150

Underlying: Common Stock · 8,150 shares

Expires 2036-06-08

F1 · derivative.exercise_date: On June 8, 2026, in connection with the Reporting Person's election to the Issuer's board of directors at its 2026 Annual Meeting of Stockholders, the Reporting Person was granted an option to purchase 8,150 shares of the Issuer's common stock under the Issuer's 2025 Equity Incentive Plan in accordance with the terms of the Issuer's non-employee director compensation policy. The shares of common stock underlying the award will vest on a monthly basis over a one-year period in substantially equal 1/12th increments on the last day of each month beginning on June 30, 2026, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001437749-26-004167 · rdgdoc.xml · derivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2036-02-11

F1 · security: Consists of an option to purchase shares of common stock granted to John Alam, M.D., the Reporting Person's spouse and the President & Chief Executive Officer of the Issuer and a member of its Board of Directors. The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · derivative.exercise_date: The shares of common stock underlying the award will vest in 36 equal (or as near equal as possible) monthly installments on the last calendar day of each month over a 36-month period commencing February 28, 2026.

SEC source: 0001437749-25-035654 · rdgdoc.xml · nonDerivative · entry 2

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Spouse's IRA

Disclosed balance after: 12,500

F1 · shares: Shares purchased in open-market transactions.

F4 · shares: Shares held by the John J. Alam Roth IRA.

F5 · price: The price reported is a weighted average price. The shares were purchased in open-market transactions at prices ranging from $8.39 to $8.46, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full detail regarding the number of shares purchased at each separate price within such range.

F4 · balance_after: Shares held by the John J. Alam Roth IRA.

F4 · ownership.nature: Shares held by the John J. Alam Roth IRA.

SEC source: 0001437749-25-035654 · rdgdoc.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,484,078

F1 · shares: Shares purchased in open-market transactions.

F2 · price: The price reported is a weighted average price. The shares were purchased in open-market transactions at prices ranging from $8.38 to $8.50, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full detail regarding the number of shares purchased at each separate price within such range.

F3 · balance_after: Includes (i) 1,471,578 hares held jointly by the Reporting Person and her spouse, Dr. John Alam, M.D., the Issuer's President & Chief Executive Officer and a member of the Issuer's Board of Directors and (ii) 12,500 shares held by the Sylvie Gregoire Roth IRA.

SEC source: 0001437749-25-035310 · rdgdoc.xml · nonDerivative · entry 3

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · Spouse's IRA

Disclosed balance after: 1,693

F1 · shares: Shares purchased in open-market transactions.

F4 · shares: Includes 1,693 shares held by the John J. Alam Roth IRA. The price reported is a weighted average price. The shares were purchased in open-market transactions at prices ranging from $7.41 to $7.57, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full detail regarding the number of shares purchased at each separate price within such range.

F4 · price: Includes 1,693 shares held by the John J. Alam Roth IRA. The price reported is a weighted average price. The shares were purchased in open-market transactions at prices ranging from $7.41 to $7.57, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full detail regarding the number of shares purchased at each separate price within such range.

F4 · balance_after: Includes 1,693 shares held by the John J. Alam Roth IRA. The price reported is a weighted average price. The shares were purchased in open-market transactions at prices ranging from $7.41 to $7.57, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full detail regarding the number of shares purchased at each separate price within such range.

F4 · ownership.nature: Includes 1,693 shares held by the John J. Alam Roth IRA. The price reported is a weighted average price. The shares were purchased in open-market transactions at prices ranging from $7.41 to $7.57, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full detail regarding the number of shares purchased at each separate price within such range.

SEC source: 0001437749-25-035310 · rdgdoc.xml · nonDerivative · entry 2

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,473,285

F1 · shares: Shares purchased in open-market transactions.

F3 · shares: Includes 1,707 shares held by the Sylvie Gregoire Roth IRA. The price reported is a weighted average price. The shares were purchased in open-market transactions at prices ranging from $7.44 to $7.58, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full detail regarding the number of shares purchased at each separate price within such range.

F3 · price: Includes 1,707 shares held by the Sylvie Gregoire Roth IRA. The price reported is a weighted average price. The shares were purchased in open-market transactions at prices ranging from $7.44 to $7.58, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full detail regarding the number of shares purchased at each separate price within such range.

F2 · balance_after: Shares held jointly by the Reporting Person and his spouse, Dr. John Alam, M.D., the Issuer's President & Chief Executive Officer and a member of the Issuer's Board of Directors.

F3 · balance_after: Includes 1,707 shares held by the Sylvie Gregoire Roth IRA. The price reported is a weighted average price. The shares were purchased in open-market transactions at prices ranging from $7.44 to $7.58, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full detail regarding the number of shares purchased at each separate price within such range.

SEC source: 0001437749-25-035310 · rdgdoc.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,471,578

F1 · shares: Shares purchased in open-market transactions.

F2 · balance_after: Shares held jointly by the Reporting Person and his spouse, Dr. John Alam, M.D., the Issuer's President & Chief Executive Officer and a member of the Issuer's Board of Directors.

SEC source: 0001437749-25-034640 · rdgdoc.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,467,131

F1 · shares: Shares purchased in open-market transactions.

F2 · balance_after: Shares held jointly by the Reporting Person and her spouse, Dr. John Alam, M.D., the Issuer's President & Chief Executive Officer and a member of the Issuer's Board of Directors.

SEC source: 0001437749-25-021269 · rdgdoc.xml · derivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,100

Underlying: Common Stock · 8,100 shares

Expires 2035-06-23

F1 · derivative.exercise_date: On June 23, 2025, in connection with the Reporting Person's election to the Issuer's board of directors at its 2025 Annual Meeting of Stockholders, the Reporting Person was granted an option to purchase 8,100 shares of the Issuer's common stock under the Issuer's 2025 Equity Incentive Plan in accordance with the terms of the Issuer's non-employee director compensation policy. The shares of common stock underlying the award will vest on a monthly basis over a one-year period in substantially equal 1/12th increments on the last day of each month beginning on June 30, 2025, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001437749-25-004076 · rdgdoc.xml · derivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2035-02-04

F1 · security: Consists of an option to purchase shares of common stock granted to John Alam, M.D., the Reporting Person's spouse and the Chief Executive Officer of the Issuer. The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · derivative.exercise_date: The shares of common stock underlying the award will vest in 36 equal (or as near equal as possible) monthly installments on the last calendar day of each month over a 36-month period commencing February 28, 2025.

SEC source: 0001437749-24-020412 · rdgdoc.xml · derivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,750

Underlying: Common Stock · 5,750 shares

Expires 2034-06-14

F1 · derivative.exercise_date: On June 14, 2024, in connection with the Reporting Person's election to the Issuer's board of directors at its 2024 Annual Meeting of Stockholders, the Reporting Person was granted an option to purchase 5,750 shares of the Issuer's common stock under the Issuer's 2015 Equity Incentive Plan, as amended, in accordance with the terms of the Issuer's non-employee director compensation policy. The shares of common stock underlying the award will vest on a monthly basis over a one-year period in substantially equal 1/12th increments on the last day of each month beginning on June 30, 2024, subject to the Reporting Person's continued service through the applicable vesting date.

SEC source: 0001437749-24-002345 · rdgdoc.xml · derivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 35,500

Underlying: Common Stock · 35,500 shares

Expires 2034-01-26

F1 · security: Consists of an option to purchase shares of common stock granted to John Alam, M.D., the Reporting Person's spouse and the Chief Executive Officer of the Issuer. The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · derivative.exercise_date: The shares of common stock underlying the award will vest in 36 equal (or as near equal as possible) monthly installments on the last calendar day of each month over a 36-month period commencing January 31, 2024.

SEC source: 0001437749-23-031330 · rdgdoc.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 732,039

F1 · balance_after: Represents one or more bona fide gifts of the Issuer's Common Stock by the Reporting Person (such shares, the "Gift Shares") to certain friends and/or family members who are not immediate family members sharing the same household. In accordance with the terms of the lock-up agreement, dated March 30, 2023, by and between the Reporting Person and the Issuer (the "Lock-Up Agreement"), in connection with the transfer(s) of the Gift Shares, each transferee will be subject to an agreement pursuant to which the transferee agrees not to further transfer the Gift Shares prior to August 16, 2024, subject to certain exceptions, on terms substantially similar to those set forth in the Lock-Up Agreement. Following the transaction, the Reporting Person has neither investment control over nor a pecuniary interest in the Gift Shares.

SEC source: 0001437749-23-026071 · rdgdoc.xml · derivative · entry 2

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 35,500

Underlying: Common Stock · 35,500 shares

Expires 2033-09-15

F2 · security: Consists of an option to purchase shares of common stock granted to John Alam, M.D., the Reporting Person's spouse and the Chief Executive Officer of the Issuer. The Reporting Person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F1 · derivative.exercise_date: The shares of common stock underlying the award will vest in 36 equal (or as near equal as possible) monthly installments on the last calendar day of each month over a 36-month period commencing September 30, 2023.

SEC source: 0001437749-23-026071 · rdgdoc.xml · derivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,450

Underlying: Common Stock · 6,450 shares

Expires 2033-09-15

F1 · derivative.exercise_date: The shares of common stock underlying the award will vest in 36 equal (or as near equal as possible) monthly installments on the last calendar day of each month over a 36-month period commencing September 30, 2023.

SEC source: 0000950170-23-022716 · ownership.xml · nonDerivative · entry 2

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,482

SEC source: 0000950170-23-022716 · ownership.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,527

F1 · shares: The reporting person was granted restricted stock units, with each unit representing a contingent right to receive one share of the issuer's common stock. The grant of restricted stock units will fully vest on April 23, 2024, the scheduled date for the issuer's next annual meeting of shareholders, subject to the reporting person''s continued service through such date or, if earlier, upon the reporting person's death, disability or qualifying retirement, or the termination of the reporting person's service within 12 months following a change in control.

SEC source: 0000899243-22-017247 · doc4.xml · nonDerivative · entry 2

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,744

SEC source: 0000899243-22-017247 · doc4.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

F1 · shares: The reporting person was granted restricted stock units, with each unit representing a contingent right to receive one share of the issuer's common stock. The grant of restricted stock units will fully vest on April 25, 2023, the scheduled date for the issuer's next annual meeting of shareholders, subject to the reporting person's continued service through such date or, if earlier, upon the reporting person's death, disability or qualifying retirement, or the termination of the reporting person's service within 12 months following a change in control.

SEC source: 0000899243-21-027779 · doc4.xml · derivative · entry 3

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2022-02-06

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.

F2 · derivative.exercise_date: This option became exercisable in three equal annual installments beginning on February 6, 2016, which was the first anniversary of the date on which the option was granted.

SEC source: 0000899243-21-027779 · doc4.xml · nonDerivative · entry 2

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,390

F1 · kind: The sale reported in this Form 4 was effected pursuant to a 10b5-1 trading plan adopted by Ms. Gregoire on June 4, 2021.

SEC source: 0000899243-21-027779 · doc4.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,390

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: 0000899243-21-019499 · doc4.xml · derivative · entry 3

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2022-02-06

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.

F1 · derivative.exercise_date: This option became exercisable in three equal annual installments beginning on February 6, 2016, which was the first anniversary of the date on which the option was granted.

SEC source: 0000899243-21-019499 · doc4.xml · nonDerivative · entry 2

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,390

SEC source: 0000899243-21-019499 · doc4.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,390

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: 0000899243-21-018967 · doc4.xml · nonDerivative · entry 2

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,390

SEC source: 0000899243-21-018967 · doc4.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,681

F1 · shares: The reporting person was granted restricted stock units, with each unit representing a contingent right to receive one share of the issuer's common stock. The grant of restricted stock units will fully vest on April 26, 2022, the scheduled date for the issuer's next annual meeting of shareholders, subject to the reporting person's continued service through such date or, if earlier, upon the reporting person's death, disability or qualifying retirement, or the termination of the reporting person's service within 12 months following a change in control.

SEC source: 0000899243-20-012807 · doc4.xml · nonDerivative · entry 3

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,077

SEC source: 0000899243-20-012807 · doc4.xml · nonDerivative · entry 2

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,996

F1 · shares: The reporting person was granted restricted stock units, with each unit representing a contingent right to receive one share of the issuer's common stock. The grant of restricted stock units will fully vest on April 27, 2021, the scheduled date for the issuer's next annual meeting of shareholders, subject to the reporting person's continued service through such date or, if earlier, upon the reporting person's death, disability or qualifying retirement, or the termination of the reporting person's service within 12 months following a change in control.

F2 · price: Restricted stock units were awarded in lieu of the reporting person's first 2020 quarterly cash retainer payment, with the number of restricted stock units determined by dividing the amount of the cash retainer payment by the Black-Scholes value of a restricted stock unit on the date the grant was made.

SEC source: 0000899243-20-012807 · doc4.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,752

F1 · shares: The reporting person was granted restricted stock units, with each unit representing a contingent right to receive one share of the issuer's common stock. The grant of restricted stock units will fully vest on April 27, 2021, the scheduled date for the issuer's next annual meeting of shareholders, subject to the reporting person's continued service through such date or, if earlier, upon the reporting person's death, disability or qualifying retirement, or the termination of the reporting person's service within 12 months following a change in control.

SEC source: 0000899243-19-011592 · doc4.xml · nonDerivative · entry 2

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,830

SEC source: 0000899243-19-011592 · doc4.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,787

F1 · shares: The reporting person was granted restricted stock units, with each unit representing a contingent right to receive one share of the issuer's common stock. The grant of restricted stock units will fully vest on April 30, 2020, which is the first anniversary of the date on which the grant was made.

SEC source: 0000899243-18-011503 · doc4.xml · nonDerivative · entry 2

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,002

SEC source: 0000899243-18-011503 · doc4.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,616

F1 · shares: The reporting person was granted restricted stock units, with each unit representing a contingent right to receive one share of the issuer's common stock. The grant of restricted stock units will fully vest on May 3, 2019, which is the first anniversary of the date on which the grant was made.

SEC source: 0000899243-17-012623 · doc4.xml · nonDerivative · entry 2

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,573

SEC source: 0000899243-17-012623 · doc4.xml · nonDerivative · entry 1

Gregoire Sylvie · CIK 0001335822 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,975

F1 · shares: The reporting person was granted restricted stock units, with each unit representing a contingent right to receive one share of the issuer's common stock. The grant of restricted stock units will fully vest on May 9, 2018, which is the first anniversary of the date on which the grant was made.