Heerma Peter

SEC source: 0001415889-24-002282 · form4-02022024_040211.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,698

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Common Stock of the Issuer.

SEC source: 0001415889-24-001797 · form4-01252024_040105.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · CHIEF COMMERCIAL OFFICER

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 78,698

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

SEC source: 0001209191-23-051885 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,257

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

F2 · balance_after: Includes 1,279 shares of the Issuer's common stock acquired by the reporting person on May 31, 2023 pursuant to an employee stock purchase program.

SEC source: 0001209191-23-006425 · doc4.xml · nonDerivative · entry 2

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,069

F2 · kind: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

SEC source: 0001209191-23-006425 · doc4.xml · derivative · entry 4

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,750

Underlying: Common Stock · 6,750 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Common Stock of the Issuer.

F4 · derivative.exercise_date: This grant will vest upon the achievement of a specified clinical/regulatory milestone, provided, however, if the vesting event occurs before the date that is 12 months after the date of grant, then the award will instead vest on the date that is 12 months after the date of grant, and provided further that the Performance RSU will expire on January 31, 2027 if the specified performance based milestone is not achieved by such date.

F4 · derivative.expiration_date: This grant will vest upon the achievement of a specified clinical/regulatory milestone, provided, however, if the vesting event occurs before the date that is 12 months after the date of grant, then the award will instead vest on the date that is 12 months after the date of grant, and provided further that the Performance RSU will expire on January 31, 2027 if the specified performance based milestone is not achieved by such date.

SEC source: 0001209191-23-006425 · doc4.xml · derivative · entry 3

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,500

Underlying: Common Stock · 54,500 shares

Expires 2033-01-30

F3 · derivative.exercise_date: One-fourth of the shares subject to the stock option vest and become exercisable on the first anniversary of the date of grant, and the remaining shares vest in 36 equal monthly installments thereafter.

SEC source: 0001209191-23-006425 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,848

F1 · kind: Each restricted stock unit represents a contingent right to receive one share of the Common Stock of the Issuer.

SEC source: 0001209191-23-005031 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,598

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

SEC source: 0001209191-22-053018 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,148

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

F2 · balance_after: Includes 893 shares of the Issuer's common stock acquired by the reporting person on May 31, 2022 pursuant to an employee stock purchase program.

SEC source: 0001209191-22-006363 · doc4.xml · derivative · entry 5

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,000

Underlying: Common Stock · 8,000 shares

Expires not disclosed

F4 · derivative.exercise_price: Each performance-based restricted stock unit represents a contingent right to receive one share of the Common Stock of the Issuer.

F6 · derivative.exercise_date: This grant will vest upon the achievement of specified clinical/regulatory milestones, provided, however, if the vesting events occur before the date that is 24 months after the date of grant, then the award will instead vest on the date that is 24 months after the date of grant, and provided further that the Performance RSU will expire on January 31, 2026 if the specified performance based milestones are not achieved by such date.

F6 · derivative.expiration_date: This grant will vest upon the achievement of specified clinical/regulatory milestones, provided, however, if the vesting events occur before the date that is 24 months after the date of grant, then the award will instead vest on the date that is 24 months after the date of grant, and provided further that the Performance RSU will expire on January 31, 2026 if the specified performance based milestones are not achieved by such date.

SEC source: 0001209191-22-006363 · doc4.xml · derivative · entry 4

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,840

Underlying: Common Stock · 9,840 shares

Expires not disclosed

F4 · derivative.exercise_price: Each performance-based restricted stock unit represents a contingent right to receive one share of the Common Stock of the Issuer.

F5 · derivative.exercise_date: This grant will vest upon the achievement of specified clinical/regulatory and commercial milestones, provided, however, if either vesting event occurs before the date that is 12 months after the date of grant, then the portion of the award that would have vested upon such event will instead vest on the date that is 12 months after the date of grant, and provided further that the Performance RSU will expire on January 31, 2027 to the extent the specified performance based milestones are not achieved by such date.

F5 · derivative.expiration_date: This grant will vest upon the achievement of specified clinical/regulatory and commercial milestones, provided, however, if either vesting event occurs before the date that is 12 months after the date of grant, then the portion of the award that would have vested upon such event will instead vest on the date that is 12 months after the date of grant, and provided further that the Performance RSU will expire on January 31, 2027 to the extent the specified performance based milestones are not achieved by such date.

SEC source: 0001209191-22-006363 · doc4.xml · derivative · entry 3

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,360

Underlying: Common Stock · 39,360 shares

Expires 2032-01-30

F3 · derivative.exercise_date: One-fourth of the shares subject to the stock option vest and become exercisable on the first anniversary of the date of grant, and the remaining shares vest in 36 equal monthly installments thereafter.

SEC source: 0001209191-22-006363 · doc4.xml · nonDerivative · entry 2

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,297

F2 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

SEC source: 0001209191-22-006363 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,422

F1 · kind: Acquisition of restricted stock units pursuant to the Issuer's Equity Incentive Plan that are scheduled to vest over four years.

SEC source: 0001209191-22-005082 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,582

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

SEC source: 0001209191-21-059353 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,457

F1 · kind: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

SEC source: 0001209191-21-052085 · doc4.xml · nonDerivative · entry 2

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,515

F3 · kind: Represents the number of shares required to be sold by the Reporting Person to cover the tax withholding obligation in connection with the settlement of vested performance restricted stock units. This sale is mandated by the Issuer's election under its equity incentive plans to require the Reporting Person to fund this tax withholding obligation by completing a "sell to cover" transaction with a brokerage firm designated by the Issuer. This sale does not represent a discretionary trade by the Reporting Person.

SEC source: 0001209191-21-052085 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,922

F1 · kind: On January 31, 2020, the reporting person was granted a performance restricted stock unit (PRSU) grant covering 9,000 shares of the Issuer's common stock, which vest upon the later of (i) 12 months from the date of grant and (ii) the achievement of specified clinical and regulatory development milestones. On August 13, 2021, a portion of the PRSUs vested upon the Issuer's confirmation of the satisfaction of a performance criterion related to the interim data read-out from the PROTECT study.

F2 · balance_after: Includes 1,078 shares of the Issuer's common stock acquired by the reporting person on May 31, 2021 pursuant to an employee stock purchase program.

SEC source: 0001209191-21-008814 · doc4.xml · nonDerivative · entry 2

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,344

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of performance restricted stock units that was reported on February 5, 2021.

SEC source: 0001209191-21-008814 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,469

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of performance restricted stock units that was reported on February 5, 2021.

SEC source: 0001209191-21-007636 · doc4.xml · nonDerivative · entry 2

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,094

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

SEC source: 0001209191-21-008119 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,594

F1 · kind: (1) On January 31, 2020, the reporting person was granted a performance restricted stock unit (PRSU) grant covering 9,000 shares of the Issuer's common stock, which vest upon the later of (i) 12 months from the date of grant and (ii) the achievement of specified clinical and regulatory development milestones. On February 3, 2021, a portion of the PRSUs vested upon the Issuer's confirmation of the satisfaction of a performance criterion related to the interim data read-out from the DUPLEX study.

SEC source: 0001209191-21-007636 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,657

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

SEC source: 0001209191-21-005251 · doc4.xml · derivative · entry 2

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,500

Underlying: Common Stock · 57,500 shares

Expires 2031-01-20

F3 · derivative.exercise_date: One-fourth of the shares subject to the stock option vest and become exercisable on the first anniversary of the date of grant, and the remaining shares vest in 36 equal monthly installments thereafter.

SEC source: 0001209191-21-005251 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,220

F1 · kind: Acquisition of restricted stock units pursuant to the Issuer's Equity Incentive Plan that are scheduled to vest over four years.

F2 · balance_after: Includes 891 shares of the Issuer's common stock acquired by the reporting person on November 30, 2020 pursuant to an employee stock purchase program.

SEC source: 0001209191-20-053925 · doc4.xml · nonDerivative · entry 2

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,329

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

SEC source: 0001209191-20-053925 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,517

F1 · kind: The sales reported in this Form 4 were made pursuant to a written plan meeting the requirements of Rule 10b5-1(c) of the Securities Exchange Act of 1934, as amended, and includes the sale of shares to cover the tax obligation that occurred upon the vesting of restricted stock units.

F2 · balance_after: Includes 2,705 shares of the Issuer's common stock acquired by the reporting person on May 31, 2020 pursuant to an employee stock purchase program.

SEC source: 0001209191-20-005901 · doc4.xml · derivative · entry 3

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,000

Underlying: Common Stock · 9,000 shares

Expires not disclosed

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

F3 · derivative.exercise_date: This grant will vest upon the later of (i) 12 months from the date of grant and (ii) the achievement of specified clinical and regulatory development milestones, provided that the grant will expire on January 31, 2024 to the extent the specified clinical and regulatory milestones are not achieved by such date.

F3 · derivative.expiration_date: This grant will vest upon the later of (i) 12 months from the date of grant and (ii) the achievement of specified clinical and regulatory development milestones, provided that the grant will expire on January 31, 2024 to the extent the specified clinical and regulatory milestones are not achieved by such date.

SEC source: 0001209191-20-005901 · doc4.xml · derivative · entry 2

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2030-01-30

F1 · derivative.exercise_date: One-fourth of the shares subject to the stock option vest and become exercisable on the first anniversary of the date of grant, and the remaining shares vest in 36 equal monthly installments thereafter.

SEC source: 0001209191-20-005901 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,000

SEC source: 0001209191-19-051975 · doc4.xml · derivative · entry 2

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2029-09-30

F1 · derivative.exercise_date: One-fourth of the shares subject to the stock option vest and become exercisable on the first anniversary of the date of grant, and the remaining shares vest in 36 equal monthly installments thereafter.

SEC source: 0001209191-19-051975 · doc4.xml · nonDerivative · entry 1

Heerma Peter · CIK 0001789617 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000