ASADORIAN RAFFI

SEC source: 0001628970-26-000003 · form4-04032026_100414.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 85,879

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001628970-26-000002 · form4-02212026_010217.xml · nonDerivative · entry 3

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 88,323

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001628970-26-000002 · form4-02212026_010217.xml · derivative · entry 4

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 260,000

Underlying: Common Stock · 260,000 shares

Expires 2036-02-11

F3 · derivative.exercise_date: On February 12, 2026, the reporting person was granted an option to purchase 260,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001628970-26-000002 · form4-02212026_010217.xml · nonDerivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,256

F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 12, 2027, February 12, 2028 and February 12, 2029.

SEC source: 0001628970-26-000002 · form4-02212026_010217.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,256

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001415889-25-009948 · form4-04032025_080413.xml · derivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2035-04-01

F2 · derivative.exercise_date: On April 2, 2025, the reporting person was granted an option to purchase 80,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001415889-25-009948 · form4-04032025_080413.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,214

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on April 2, 2026, April 2, 2027 and April 2, 2028.

SEC source: 0001415889-25-004442 · form4-02182025_090200.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,214

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001415889-25-003722 · form4-02122025_090221.xml · nonDerivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,459

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001415889-25-003722 · form4-02122025_090221.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,519

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001415889-24-027990 · form4-12022024_091252.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,578

F1 · price: The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $0.767 to $0.7671 per share. 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 information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001209191-24-004244 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,733

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-24-004043 · doc4.xml · derivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,000

Underlying: Common Stock · 108,000 shares

Expires 2034-02-13

F2 · derivative.exercise_date: On February 14, 2024, the reporting person was granted an option to purchase 108,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-24-004043 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,291

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 14, 2025, February 14, 2026 and February 14, 2027.

SEC source: 0001209191-24-003306 · doc4.xml · nonDerivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,291

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-24-003306 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,186

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-016316 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,081

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-009123 · doc4.xml · nonDerivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,591

F3 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-23-009123 · doc4.xml · derivative · entry 3

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,250

Underlying: Common Stock · 35,250 shares

Expires 2033-02-09

F4 · derivative.exercise_date: On February 10, 2023, the reporting person was granted an option to purchase 35,250 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-23-009123 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,464

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 10, 2024, February 10, 2025 and February 10, 2026.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-23-007817 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,589

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

F3 · balance_after: Reflects a 1-20 reverse stock split which became effective on October 25, 2022.

SEC source: 0001209191-22-016242 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 364,205

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

F3 · balance_after: Balance includes non-reportable acquisition of 4,040 shares of Common Stock through the Company's Employee Stock Purchase Plan.

F4 · balance_after: On February 14, 2022, the reporting person filed a Form 4 which inadvertently under-reported his holdings in the Issuer by 8 shares. In addition to reporting the current transactions, this Form 4 serves to correct the reporting person's holdings in the Issuer.

SEC source: 0001209191-22-009346 · doc4.xml · derivative · entry 3

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 235,000

Underlying: Common Stock · 235,000 shares

Expires 2032-02-11

F4 · derivative.exercise_date: On February 11, 2022, the reporting person was granted an option to purchase 235,000 shares of common stock. One fourth (1/4th) of the option shares shall vest on the one year anniversary of the grant date, and the remaining balance of the option shares shall vest in 36 equal consecutive monthly installments thereafter until fully vested so long as the reporting person remains in continuous service through such applicable vesting periods.

SEC source: 0001209191-22-009346 · doc4.xml · nonDerivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,080

F3 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

SEC source: 0001209191-22-009346 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 376,015

F1 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 11, 2023, February 11, 2024 and February 11, 2025.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-22-007623 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 258,515

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

F3 · balance_after: Balance includes non-reportable acquisition of 7,309 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-21-018152 · doc4.xml · derivative · entry 3

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,750

Underlying: Common Stock · 68,750 shares

Expires 2031-03-03

F5 · derivative.exercise_date: On March 3, 2021, the Reporting Person was granted performance options subject to the satisfaction of share price targets over a performance period from March 3, 2021 to December 31, 2024 (the "Performance Period"), as determined by the Compensation Committee (the "Committee") of the Company's Board of Directors.

F6 · derivative.exercise_date: The performance options shall be earned as follows: (i) 33% of the performance options if the Company's average closing stock price measured over a period of thirty consecutive trading days within the Performance Period equals or exceeds $4.00, (ii) an additional 33% of the performance option if the Company's average closing stock price measured over a period of thirty consecutive trading days within the Performance Period equals or exceeds $5.00, and (iii) 34% of the performance options if the Company's average closing stock price measured over a period of thirty consecutive trading days within the Performance Period equals or exceeds $6.00. Once earned, the performance options will vest on the one-year anniversary of the date on which the Committee certified achievement of an applicable price target, so long as the reporting person remains in continuous service through such applicable vesting date.

SEC source: 0001209191-21-018152 · doc4.xml · derivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common Stock · 137,500 shares

Expires 2031-03-03

F4 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the date of grant and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

SEC source: 0001209191-21-018152 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260,597

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

F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on March 3, 2022, March 3, 2023 and March 3, 2024.

F3 · balance_after: Balance includes acquisition of 8,548 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-21-010358 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,299

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-21-008820 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,323

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Balance includes acquisition of 7,717 and 5,255 shares of Common Stock through the Company's Employee Stock Purchase Plan.

F3 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-20-009162 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,765

F1 · shares: Represents shares surrendered to the Issuer by the Reporting Person to pay required tax withholdings due to the vesting of RSUs.

F2 · balance_after: Includes previously reported shares of common stock underlying RSUs granted to the Reporting Person, which are subject to certain vesting conditions.

SEC source: 0001209191-20-007739 · doc4.xml · derivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common Stock · 137,500 shares

Expires 2030-02-06

F3 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the grant date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

SEC source: 0001209191-20-007739 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,689

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

F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 6, 2021, February 6, 2022 and February 6, 2023.

SEC source: 0000899243-19-026512 · doc4.xml · derivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,125

Underlying: Common Stock · 40,563 shares

Expires 2028-11-02

F2 · derivative.exercise_date: On April 7, 2018, the reporting person was granted a performance-based option to purchase 81,125 shares of common stock, subject to the Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019. Once the performance criteria is achieved, the option vests in two equal installments with 50% of the option vesting upon the Company's achievement of the performance criteria and the remaining 50% of the option vesting on the one-year anniversary of the date of such achievement, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 40,562 shares on that date. On November 2, 2019, the remaining balance of the option vested.

SEC source: 0001209191-19-015634 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,397

F1 · balance_after: Balance includes non-reportable acquisition of 3,647 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001209191-19-009816 · doc4.xml · derivative · entry 2

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,500

Underlying: Common Stock · 137,500 shares

Expires 2029-02-11

F3 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

SEC source: 0001209191-19-009816 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,750

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

F2 · shares: The restricted stock units shall vest in three equal consecutive annual installments on February 11, 2020, February 11, 2021 and February 11, 2022.

SEC source: 0001209191-18-062870 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,000

F1 · price: The price reported on Column 4 is a weighted average price. These shares were purchased in multiple transactions ranging from $2.7732 to $2,779 on December 14, 2018. The reporting person will provide upon request to the SEC, the issuer or security holder of Issuer, full information regarding the number of shares purchased at each separate price.

SEC source: 0001209191-18-058155 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,000

SEC source: 0001209191-18-057251 · doc4.xml · derivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,562

Underlying: Common Stock · 40,562 shares

Expires 2028-11-02

F1 · balance_after: On April 7, 2018, the reporting person was granted an option to purchase 81,125 shares of common stock. The option vests in two equal annual installments based on Company's achievement of commercial approval by the U.S. Food and Drug Administration ("FDA") of its new drug application for "DSUVIA" on or before February 15, 2019; and the remaining 50% of the award shall vest on the one-year anniversary of the date of such FDA approval, in all cases subject to continuous service to the Company. The performance criteria for commercial approval by the FDA for DSUVIA was met on November 2, 2018, resulting in vesting of the option as to 40,562 shares.

SEC source: 0000899243-18-023789 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

F1 · kind: These shares were acquired under the Company's Employee Stock Purchase Plan in transactions that were exempt under both Rule 16b-3(d)and Rule 16b-3(c).

SEC source: 0001209191-18-045578 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

SEC source: 0000899243-18-014190 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,000

F1 · balance_after: Balance includes non-reportable acquisition of 10,000 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001437749-18-001231 · rdgdoc.xml · derivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,500

Underlying: Common Stock · 147,500 shares

Expires 2028-01-21

F2 · security: Issued pursuant to the 2011 Equity Incentive Plan.

F1 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

SEC source: 0000899243-17-026161 · doc4.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

SEC source: 0001437749-17-015834 · rdgdoc.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000

SEC source: 0001437749-17-014929 · rdgdoc.xml · derivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,000

Underlying: Common Stock · 220,000 shares

Expires 2027-08-15

F1 · security: Issued pursuant to the 2011 Equity Incentive Plan.

F2 · derivative.exercise_date: The shares subject to the option vest as follows: 25% of the shares subject to the option vest on the 12 month anniversary of the Vesting Commencement Date (August 16, 2018) and the remaining shares subject to the option vest on an equal monthly basis over the following 36 months.

F3 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001365916-17-000002 · edgar.xml · nonDerivative · entry 1

ASADORIAN RAFFI · CIK 0001628970 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 241,648

F1 · shares: Shares withheld to satisfy the Reporting Person's tax withholding obligation upon settlement of restricted stock units (RSUs) under RSU award granted on January 20, 2015.