Rosen Howard B

SEC source: 0001415889-25-017616 · form4-06172025_080614.xml · derivative · entry 3

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,450

Underlying: Common Stock · 5,450 shares

Expires 2035-06-14

F4 · derivative.exercise_date: This option was granted on June 15, 2025 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 15, 2026 or (ii) the date of the first annual meeting of stockholders occurring in 2026.

SEC source: 0001415889-25-017616 · form4-06172025_080614.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,240

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 15, 2026 or (ii) the date of the first annual meeting of stockholders occurring in 2026.

F2 · balance_after: Includes 7,776 unvested RSUs.

SEC source: 0001415889-24-016574 · form4-06122024_080614.xml · derivative · entry 3

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,150

Underlying: Common Stock · 3,150 shares

Expires 2034-06-10

F4 · derivative.exercise_date: This option was granted on June 11, 2024 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 11, 2025 or (ii) the date of the first annual meeting following June 11, 2024.

SEC source: 0001415889-24-016574 · form4-06122024_080614.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,887

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 11, 2025 or (ii) the date of the first annual meeting following June 11, 2024.

F2 · balance_after: Includes 11,040 unvested RSUs.

SEC source: 0001209191-23-058477 · doc4.xml · derivative · entry 2

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,487

Underlying: Common Stock · 3,487 shares

Expires 2033-10-10

F4 · derivative.exercise_date: 100% of the option shares subject to the option shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001209191-23-058477 · doc4.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,293

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

F2 · shares: 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

F3 · balance_after: Effective on October 25, 2022, the issuer effected a 20 to 1 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

SEC source: 0001415889-23-010291 · form4-06232023_080624.xml · derivative · entry 5

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2033-06-21

F7 · derivative.exercise_date: This option was granted on June 22, 2023 and vests as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

SEC source: 0001415889-23-010291 · form4-06232023_080624.xml · derivative · entry 4

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,651

Underlying: Common Stock · 10,651 shares

Expires 2033-06-21

F6 · derivative.exercise_date: This option was granted on June 22, 2023 and vests over four years beginning on the vesting commencement date of June 22, 2023, with 25% of the shares underlying the option vesting on June 22, 2024, and an additional 1/48th the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001415889-23-010291 · form4-06232023_080624.xml · nonDerivative · entry 2

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,487

F3 · security: Grant of RSUs under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 100% of the shares underlying the grant on the earlier of (i) June 22, 2024 or (ii) the date of the first annual meeting following June 22, 2023.

F4 · balance_after: Includes 12,390 unvested RSUs.

SEC source: 0001415889-23-010291 · form4-06232023_080624.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,387

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's Amended and Restated 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service, the RSUs will vest as to 1/3 of the shares underlying the RSUs on June 22, 2024, as to 1/3 of the shares underlying the RSUs on June 22, 2025 and as to the final 1/3 of shares underlying the RSUs on June 22, 2026.

F2 · balance_after: Includes 11,290 unvested RSUs.

SEC source: 0001415889-23-009144 · form4-06022023_080649.xml · derivative · entry 7

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 800 shares

Expires 2032-06-15

F4 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F4 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 1,702 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 800 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F9 · derivative.exercise_date: The cancelled option was granted on June 16, 2022 and provided for vesting as to 100% of the shares underlying the option on the earlier of (i) June 16, 2023 or (ii) the date of the first annual meeting following June 16, 2022.

F4 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009144 · form4-06022023_080649.xml · derivative · entry 6

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 420 shares

Expires 2029-06-04

F4 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F4 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 1,702 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 800 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F8 · derivative.exercise_date: The cancelled option was granted on June 5, 2019 and provided for vesting with respect to 1/12th of the shares underlying the option at the end of each successive one-month period thereafter.

F4 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009144 · form4-06022023_080649.xml · derivative · entry 5

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 259 shares

Expires 2028-06-11

F4 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F4 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 1,702 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 800 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F7 · derivative.exercise_date: The cancelled option was granted on June 12, 2018 and provided for vesting in equal monthly installments until the one-year anniversary of the date of grant and provided for vesting automatically as to 100% of the unvested portion of such option upon specified change in control events.

F4 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009144 · form4-06022023_080649.xml · derivative · entry 4

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 259 shares

Expires 2027-07-18

F4 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F4 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 1,702 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 800 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F6 · derivative.exercise_date: The cancelled option was granted on July 19, 2017 and provided for vesting over one year, with 8.33% of the shares underlying the option vesting on August 19, 2017, and an additional 8.33% of the shares underlying the option vesting at the end of each successive one-month period thereafter.

F4 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009144 · form4-06022023_080649.xml · derivative · entry 3

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 764 shares

Expires 2024-10-02

F4 · derivative.exercise_price: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F4 · shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 1,702 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 800 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F5 · derivative.exercise_date: The cancelled option was granted on October 2, 2014 and provided for vesting over four years, with 1/48th of the shares underlying the option vested on February 28, 2014 and an additional 1/48th vesting at the end of each successive one-month period thereafter.

F4 · derivative.underlying_shares: The number of shares and exercise price reflect a 1-for-50 reverse stock split effected by the Issuer on October 20, 2022.

SEC source: 0001415889-23-009144 · form4-06022023_080649.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,399

F1 · price: On May 31, 2023, the issuer canceled, pursuant to the issuer's option exchange program, all outstanding unexercised options granted to the reporting person. In exchange, the reporting person received (i) in the case of the canceled options that were fully vested, a grant of 1,702 restricted stock units (the "RSUs") that vest over two years, with 50% of such RSUs vesting on May 31, 2024 and 50% of such RSUs vesting on May 31, 2025 and (ii) in the case of the canceled options that were unvested, a grant of 800 RSUs that vest 100% on May 31, 2025, in each case, subject to the reporting person's continued service with the issuer. Each RSU represents a contingent right to receive one share of the issuer's common stock.

F2 · balance_after: Includes 3,302 unvested or deferred RSUs.

SEC source: 0001209191-22-042306 · doc4.xml · derivative · entry 2

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

Underlying: Common Stock · 31,000 shares

Expires 2032-07-14

F3 · derivative.exercise_date: 100% of the option shares subject to the option shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001209191-22-042306 · doc4.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,250

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

F2 · shares: 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001415889-22-006752 · form4-06172022_040618.xml · derivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: This option was granted on June 16, 2022 and will vest as to 100% of the shares underlying the option on the earlier of (i) June 16, 2023 or (ii) the date of the first annual meeting following June 16, 2022.

SEC source: 0001209191-21-041575 · doc4.xml · derivative · entry 2

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2031-06-16

F3 · derivative.exercise_date: 100% of the option shares subject to the option shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001209191-21-041575 · doc4.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,750

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

F2 · shares: 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001415889-21-003124 · form4-06212021_050637.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,824

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service with the Issuer, the RSUs will vest as to 100% of the shares underlying the RSUs on the earlier of (i) June 17, 2022 or (ii) the date of the first annual meeting following June 17, 2021.

F2 · balance_after: Includes 20,000 unvested RSUs.

SEC source: 0001104659-20-078326 · a4.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,824

F1 · security: Grant of restricted stock units ("RSUs") under the Issuer's 2017 Equity Incentive Plan. Each RSU represents a contingent right to receive one share of the Issuer's common stock. Subject to the reporting person's continued service with the Issuer, the RSUs will vest as to 100% of the shares underlying the RSUs on the earlier of (i) June 25, 2021 or (ii) the date of the first annual meeting following June 25, 2020.

F2 · balance_after: Includes 20,000 unvested RSUs.

SEC source: 0001209191-20-037078 · doc4.xml · derivative · entry 2

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2030-06-15

F3 · derivative.exercise_date: 100% of the option shares subject to the option shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001209191-20-037078 · doc4.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,750

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

F2 · shares: 100% of the restricted stock units shall vest on the first anniversary of the grant date, subject to Reporting Person's continuous service to the Company.

SEC source: 0001104659-20-078325 · a4.xml · derivative · entry 5

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,944 shares

Expires 2021-06-16

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.

F3 · derivative.exercise_date: The option was fully vested.

SEC source: 0001104659-20-078325 · a4.xml · derivative · entry 4

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,880 shares

Expires 2023-05-10

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: The option was fully vested.

SEC source: 0001104659-20-078325 · a4.xml · nonDerivative · entry 2

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,824

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: 0001104659-20-078325 · a4.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,880

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: 0001209191-19-039022 · doc4.xml · derivative · entry 2

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 7,500 shares

Expires 2029-06-25

F4 · derivative.exercise_date: The shares subject to the option vest as follows: 1/24th of the shares subject to the option vest in equal monthly installments over 24 months, subject to Reporting Person's continuous service to the Company.

SEC source: 0001209191-19-039022 · doc4.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,250

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 two equal consecutive annual installments on June 25, 2020 and June 25, 2021, subject to Reporting Person's continuous service to the Company.

F3 · balance_after: Balance includes non-reportable acquisition of 7,500 shares of Common Stock through the Company's Employee Stock Purchase Plan.

SEC source: 0001104659-19-034526 · a4.xml · derivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,000

Underlying: Common Stock · 21,000 shares

Expires 2029-06-04

F1 · derivative.exercise_date: This option was granted on June 5, 2019 and vests with respect to 1/12th of the shares underlying the option at the end of each successive one-month period thereafter.

SEC source: 0001104659-19-033349 · a4.xml · nonDerivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,240

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $5.38 to $5.49, inclusive. The reporting person undertakes to provide to Kala Pharmaceuticals, Inc., any security holder of Kala Pharmaceuticals, Inc., 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 ranges set forth in this footnote to this Form 4.

SEC source: 0001209191-18-037844 · doc4.xml · derivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-14

F1 · derivative.exercise_date: The shares subject to the option vest as follows: 1/24th of the shares subject to the option vest in equal monthly installments over 24 months, subject to Optionee's Continuous Service to the Company.

F2 · derivative.exercise_date: 100% Acceleration upon Change of Control.

SEC source: 0001179110-18-008522 · edgar.xml · derivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,960

Underlying: Common Stock · 12,960 shares

Expires 2028-06-11

F1 · derivative.exercise_date: This option was granted on June 12, 2018 and vests in equal monthly installments until the one-year anniversary of the date of grant and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001179110-17-010596 · edgar.xml · derivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,960

Underlying: Common Stock · 12,960 shares

Expires 2027-07-18

F1 · derivative.exercise_date: This option was granted, effective on July 19, 2017 and vests over one year, with 8.33% of the shares underlying the option vesting on August 19, 2017, and an addition 8.33% of the shares underlying the option vesting at the end of each successive one-month period thereafter.

SEC source: 0001437749-17-011355 · rdgdoc.xml · derivative · entry 1

Rosen Howard B · CIK 0001307068 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2027-06-14

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

F2 · derivative.exercise_date: The shares subject to the option vest as follows: 1/24th of the shares subject to the option vest in equal monthly installments over 24 months, subject to Optionee's Continuous Service on the Company's Board of Directors.

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

SEC source: 0001437749-17-002807 · rdgdoc.xml · derivative · entry 1

Rosen Howard B · CIK 0001307068 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 366,000

Underlying: Common Stock · 366,000 shares

Expires 2028-02-06

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 (February 7, 2016) 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.