Patterson Matthew R

SEC source: 0001415889-25-014527 · form4-05232025_050504.xml · derivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2035-05-21

F1 · derivative.exercise_date: This option was granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. The shares underlying the option vest and become exercisable on the earlier of (i) May 22, 2026 or (ii) the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.

SEC source: 0001415889-24-014647 · form4-05282024_040511.xml · derivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-05-22

F1 · derivative.exercise_date: This option was granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. The shares underlying the option vest and become exercisable on the earlier of (i) May 23, 2025 or (ii) the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.

SEC source: 0000950170-23-028411 · ownership.xml · derivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,000

Underlying: Common Stock · 23,000 shares

Expires 2033-06-14

F1 · derivative.exercise_date: This option shall vest and become exercisable on the earlier of June 14, 2024 or the day immediately prior to the date of the Issuer's next annual meeting of stockholders occurring after the date of grant, in either case subject to the Reporting Person continuing in service on the Board as a Non-Employee Director through such vesting date.

SEC source: 0001209191-23-033818 · doc4.xml · derivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-05-25

F1 · derivative.exercise_date: This option was granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. The shares underlying the option vest and become exercisable on the earlier of (i) May 26, 2024 or (ii) the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.

SEC source: 0000899243-22-023069 · doc4.xml · derivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2032-06-15

F1 · derivative.exercise_date: This option shall vest and become exercisable on the earlier of June 15, 2023 or the day immediately prior to the date of the Issuer's next annual meeting of stockholders occurring after the date of grant, in either case subject to the Reporting Person continuing in service on the Board as a Non-Employee Director through such vesting date.

SEC source: 0001209191-22-037519 · doc4.xml · derivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,911

Underlying: Common Stock · 16,911 shares

Expires 2032-06-13

F1 · derivative.exercise_date: This option was granted to the Reporting Person pursuant to the Issuer's non-employee director compensation policy. The shares underlying the option vest and become exercisable on the earlier of (i) June 14, 2023 or (ii) the Issuer's next annual meeting of stockholders following the grant date, in each case, subject to the Reporting Person's continued service as a director through such date.

SEC source: 0000899243-21-025333 · doc4.xml · derivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2031-06-17

F1 · derivative.exercise_date: This option shall vest and become exercisable on the earlier of June 17, 2022 or the day immediately prior to the date of the Issuer's next annual meeting of stockholders occurring after the date of grant, in either case subject to the Reporting Person continuing in service on the Board as a Non-Employee Director through such vesting date.

SEC source: 0001209191-21-008891 · doc4.xml · derivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,900

Underlying: Common Stock · 16,900 shares

Expires 2031-02-04

F1 · derivative.exercise_date: 1/36th of the shares underlying the option vest in equal monthly installments commencing on March 5, 2021, provided that the Reporting Person remains continuously engaged by the Issuer on each such vesting date.

SEC source: 0001209191-20-055443 · doc4.xml · derivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Class A Common Stock · 30,000 shares

Expires not disclosed

F1 · derivative.exercise_price: The shares of Class B common stock are automatically convertible into the issuer's shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date. The shares of Class B common stock are subject to forfeiture under certain circumstances relating to the Reporting Person's service on the issuer's Board of Directors.

F2 · kind: In connection with the issuer's initial public offering and the Reporting Person's appointment to the issuer's Board of Directors, 5:01 Acquisition LLC transferred 30,000 shares of Class B common stock to the Reporting Person.

F1 · derivative.exercise_date: The shares of Class B common stock are automatically convertible into the issuer's shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date. The shares of Class B common stock are subject to forfeiture under certain circumstances relating to the Reporting Person's service on the issuer's Board of Directors.

F1 · derivative.expiration_date: The shares of Class B common stock are automatically convertible into the issuer's shares of Class A common stock at the time of the issuer's initial business combination on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date. The shares of Class B common stock are subject to forfeiture under certain circumstances relating to the Reporting Person's service on the issuer's Board of Directors.

SEC source: 0000899243-20-016390 · doc4.xml · derivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

Underlying: Common Stock · 18,000 shares

Expires 2030-06-10

F1 · derivative.exercise_date: This option shall vest and become exercisable on the earlier of June 10, 2021 or the day immediately prior to the date of the next annual meeting of the Company's stockholders occurring after the date of grant, in either case subject to the Non-Employee Director continuing in service on the Board as a Non-Employee Director through such vesting date.

SEC source: 0001209191-20-003434 · doc4.xml · derivative · entry 6

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 177,450 shares

Expires 2029-02-06

F5 · price: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company stock options, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company stock option was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such stock option immediately prior to such cancellation by (ii) the excess, if any, of an amount in cash equal to the Offer Price, without any interest, over the exercise price per share of Company common stock subject to such stock option, less any applicable tax withholding. Any such option that had an exercise price that equaled or exceeded the Offer Price was cancelled for no consideration.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company stock options, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company stock option was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such stock option immediately prior to such cancellation by (ii) the excess, if any, of an amount in cash equal to the Offer Price, without any interest, over the exercise price per share of Company common stock subject to such stock option, less any applicable tax withholding. Any such option that had an exercise price that equaled or exceeded the Offer Price was cancelled for no consideration.

SEC source: 0001209191-20-003434 · doc4.xml · derivative · entry 5

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 225,000 shares

Expires 2027-11-16

F5 · price: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company stock options, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company stock option was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such stock option immediately prior to such cancellation by (ii) the excess, if any, of an amount in cash equal to the Offer Price, without any interest, over the exercise price per share of Company common stock subject to such stock option, less any applicable tax withholding. Any such option that had an exercise price that equaled or exceeded the Offer Price was cancelled for no consideration.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company stock options, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company stock option was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such stock option immediately prior to such cancellation by (ii) the excess, if any, of an amount in cash equal to the Offer Price, without any interest, over the exercise price per share of Company common stock subject to such stock option, less any applicable tax withholding. Any such option that had an exercise price that equaled or exceeded the Offer Price was cancelled for no consideration.

SEC source: 0001209191-20-003434 · doc4.xml · derivative · entry 4

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 188,334 shares

Expires 2027-01-25

F5 · price: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company stock options, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company stock option was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such stock option immediately prior to such cancellation by (ii) the excess, if any, of an amount in cash equal to the Offer Price, without any interest, over the exercise price per share of Company common stock subject to such stock option, less any applicable tax withholding. Any such option that had an exercise price that equaled or exceeded the Offer Price was cancelled for no consideration.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company stock options, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company stock option was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such stock option immediately prior to such cancellation by (ii) the excess, if any, of an amount in cash equal to the Offer Price, without any interest, over the exercise price per share of Company common stock subject to such stock option, less any applicable tax withholding. Any such option that had an exercise price that equaled or exceeded the Offer Price was cancelled for no consideration.

SEC source: 0001209191-20-003434 · doc4.xml · derivative · entry 3

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 143,569 shares

Expires 2025-12-18

F5 · price: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company stock options, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company stock option was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such stock option immediately prior to such cancellation by (ii) the excess, if any, of an amount in cash equal to the Offer Price, without any interest, over the exercise price per share of Company common stock subject to such stock option, less any applicable tax withholding. Any such option that had an exercise price that equaled or exceeded the Offer Price was cancelled for no consideration.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company stock options, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company stock option was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such stock option immediately prior to such cancellation by (ii) the excess, if any, of an amount in cash equal to the Offer Price, without any interest, over the exercise price per share of Company common stock subject to such stock option, less any applicable tax withholding. Any such option that had an exercise price that equaled or exceeded the Offer Price was cancelled for no consideration.

SEC source: 0001209191-20-003434 · doc4.xml · nonDerivative · entry 2

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Matthew R. Patterson Revocable Trust

Disclosed balance after: 0

F1 · kind: On December 2, 2019, Audentes Therapeutics, Inc. (the "Company") entered into an Agreement and Plan of Merger (as it may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Astellas Pharma Inc. ("Astellas") and Asilomar Acquisition Corp., a wholly-owned subsidiary of Astellas ("Merger Sub"), pursuant to which Astellas acquired the Company by a tender offer for all shares of Company common stock (the "Offer") and a subsequent merger (the "Merger"), each of which became effective on January 15, 2020. Pursuant to the Merger Agreement, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to $60.00 per share (the "Offer Price") and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were canceled and converted automatically into the right to receive the Offer Price.

F4 · ownership.nature: The reporting person is the trustee of the Matthew R. Patterson Revocable Trust.

SEC source: 0001209191-20-003434 · doc4.xml · nonDerivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: On December 2, 2019, Audentes Therapeutics, Inc. (the "Company") entered into an Agreement and Plan of Merger (as it may be amended, supplemented or otherwise modified from time to time, the "Merger Agreement") with Astellas Pharma Inc. ("Astellas") and Asilomar Acquisition Corp., a wholly-owned subsidiary of Astellas ("Merger Sub"), pursuant to which Astellas acquired the Company by a tender offer for all shares of Company common stock (the "Offer") and a subsequent merger (the "Merger"), each of which became effective on January 15, 2020. Pursuant to the Merger Agreement, (i) Merger Sub purchased all shares of Company common stock that were validly tendered pursuant to the Offer for a cash payment equal to $60.00 per share (the "Offer Price") and (ii) all shares of Company common stock outstanding immediately prior to the effective time of the Merger (the "Effective Time"), were canceled and converted automatically into the right to receive the Offer Price.

F2 · kind: Pursuant to the Merger Agreement, immediately prior to the Effective Time, all outstanding Company restricted stock units, to the extent unvested, became fully vested, and at the Effective Time, each outstanding Company restricted stock unit was cancelled and converted into the right to receive an amount of cash (subject to any applicable withholding or other taxes required by applicable law) determined by multiplying (i) the number of shares of Company common stock subject to such Company restricted stock unit immediately prior to such cancellation by (ii) an amount in cash equal to the Offer Price, without any interest.

F3 · shares: Includes 47,776 shares of Company common stock issuable upon the settlement of restricted stock units.

SEC source: 0001209191-20-003110 · doc4.xml · derivative · entry 10

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,334

Underlying: Common Stock · 11,666 shares

Expires 2027-01-25

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.

F5 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning February 25, 2017, with 100% of the total shares vested and exercisable on January 25, 2021, subject to the reporting person's provision of service to the issuer on each vesting date.

SEC source: 0001209191-20-003110 · doc4.xml · derivative · entry 9

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,569

Underlying: Common Stock · 11,824 shares

Expires 2025-12-18

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.

F4 · derivative.exercise_date: The option vested as to 6.25% of the total shares quarterly, beginning March 18, 2016, with 100% of the total shares vested and exercisable on December 18, 2019.

SEC source: 0001209191-20-003110 · doc4.xml · derivative · entry 8

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 74,297 shares

Expires 2025-02-04

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

F3 · derivative.exercise_date: The option vested as to 25% of the total shares on February 4, 2016, and then 6.25% of the total shares vest quarterly thereafter, with 100% of the total shares vested and exercisable on February 4, 2019.

SEC source: 0001209191-20-003110 · doc4.xml · derivative · entry 7

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 64,751 shares

Expires 2023-09-25

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 vested as to 25% of the total shares on January 1, 2014, and then 6.25% of the total shares quarterly thereafter, with 100% of the total shares vested and exercisable on January 1, 2017.

SEC source: 0001209191-20-003110 · doc4.xml · nonDerivative · entry 5

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,458

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: 0001209191-20-003110 · doc4.xml · nonDerivative · entry 4

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,792

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: 0001209191-20-003110 · doc4.xml · nonDerivative · entry 3

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,968

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: 0001209191-20-003110 · doc4.xml · nonDerivative · entry 2

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,671

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: 0001209191-20-003110 · doc4.xml · nonDerivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,920

SEC source: 0001209191-19-059742 · doc4.xml · nonDerivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,420

F1 · kind: Shares relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of restricted stock units. The Reporting Person did not sell or otherwise dispose of the shares for any reason other than to cover required taxes.

SEC source: 0001209191-19-056113 · doc4.xml · derivative · entry 4

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,393

Underlying: Common Stock · 14,426 shares

Expires 2025-12-18

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 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

F3 · derivative.exercise_date: The option vests as to 6.25% of the total shares quarterly, beginning March 18, 2016, with 100% of the total shares vested and exercisable on December 18, 2019, subject to the reporting person's provision of service to the issuer on each vesting date and to accelerated vesting upon the occurrence of certain events.

SEC source: 0001209191-19-056113 · doc4.xml · nonDerivative · entry 2

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,394

F1 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-19-056113 · doc4.xml · nonDerivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,820

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 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-19-048879 · doc4.xml · nonDerivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,394

F1 · kind: Shares relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of restricted stock units. The Reporting Person did not sell or otherwise dispose of the shares for any reason other than to cover required taxes.

SEC source: 0001209191-19-046001 · doc4.xml · derivative · entry 5

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,819

Underlying: Common Stock · 20,000 shares

Expires 2025-12-18

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 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

F5 · derivative.exercise_date: The option vests as to 6.25% of the total shares quarterly, beginning March 18, 2016, with 100% of the total shares vested and exercisable on December 18, 2019, subject to the reporting person's provision of service to the issuer on each vesting date and to accelerated vesting upon the occurrence of certain events.

SEC source: 0001209191-19-046001 · doc4.xml · nonDerivative · entry 3

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,368

F1 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

F3 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $34.35 and the highest price at which shares were sold was $34.98.

SEC source: 0001209191-19-046001 · doc4.xml · nonDerivative · entry 2

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,368

F1 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

F2 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $33.32 and the highest price at which shares were sold was $34.30. The reporting person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the ranges set forth in footnotes 2 and 3 to this Form 4.

SEC source: 0001209191-19-046001 · doc4.xml · nonDerivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,368

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 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

SEC source: 0000899243-19-016224 · doc4.xml · derivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,580

Underlying: Common Stock · 15,580 shares

Expires 2029-06-06

F1 · derivative.exercise_date: This option shall vest and become exercisable on the earlier of June 6, 2020 or the day immediately prior to the date of the next annual meeting of the Company's stockholders occurring after the date of grant, in either case subject to the Non-Employee Director continuing in service on the Board as a Non-Employee Director through each such vesting date.

SEC source: 0001209191-19-035586 · doc4.xml · nonDerivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,368

F1 · kind: Shares relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of restricted stock units. The Reporting Person did not sell or otherwise dispose of the shares for any reason other than to cover required taxes.

SEC source: 0001209191-19-014072 · doc4.xml · derivative · entry 7

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,297

Underlying: Common Stock · 4,000 shares

Expires 2025-02-04

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

F1 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

F5 · derivative.exercise_date: The option vested as to 25% of the total shares on February 4, 2016, and then 6.25% of the total shares vest quarterly thereafter, with 100% of the total shares vested and exercisable on February 4, 2019, subject to the reporting person's provision of service to the issuer on each vesting date.

F4 · balance_after: The exercise of 26,901 options on July 3, 2018 and 23,147 options on July 5, 2018, each having an exercise price of $2.19 per share, were previously reported on Form 4 filed on July 5, 2018 as having an exercise price of $0.78. This Form 4 reflects the correct number of options attributed to each grant and beneficially owned following the transactions reported in this Form 4.

SEC source: 0001209191-19-014072 · doc4.xml · derivative · entry 6

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,751

Underlying: Common Stock · 17,000 shares

Expires 2023-09-25

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 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

F3 · derivative.exercise_date: The option vested as to 25% of the total shares on January 1, 2014, and then 6.25% of the total shares vest quarterly thereafter, with 100% of the total shares vested and exercisable on January 1, 2017, subject to the reporting person's provision of service to the issuer on each vesting date and to accelerated vesting in the event of the occurrence of certain events.

F4 · balance_after: The exercise of 26,901 options on July 3, 2018 and 23,147 options on July 5, 2018, each having an exercise price of $2.19 per share, were previously reported on Form 4 filed on July 5, 2018 as having an exercise price of $0.78. This Form 4 reflects the correct number of options attributed to each grant and beneficially owned following the transactions reported in this Form 4.

SEC source: 0001209191-19-014072 · doc4.xml · nonDerivative · entry 4

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,700

F1 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-19-014072 · doc4.xml · nonDerivative · entry 3

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,700

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 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-19-014072 · doc4.xml · nonDerivative · entry 2

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,700

F1 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-19-014072 · doc4.xml · nonDerivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,700

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 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-19-008709 · doc4.xml · derivative · entry 3

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,450

Underlying: Common Stock · 177,450 shares

Expires 2029-02-06

F3 · derivative.exercise_date: The option vests as to 2.0833% of the total shares monthly, beginning February 1, 2019, with 100% of the total shares vested and exercisable on January 1, 2023, subject to the reporting person's provision of service to the issuer on each vesting date.

SEC source: 0001209191-19-008709 · doc4.xml · nonDerivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,700

F1 · shares: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the issuer's Common Stock upon settlement for no consideration. The RSUs will vest as to 2/16ths of the award on June 5, 2019, and then 1/16th of the RSUs will vest on each of September 5, December 5, March 5 and June 5 thereafter until the RSUs are fully vested, subject to the Reporting Person's provision of services to the issuer on each vesting date. Shares of the issuer's Common Stock will be delivered to the Reporting Person following vesting.

SEC source: 0001209191-18-061791 · doc4.xml · derivative · entry 3

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,702

Underlying: Common Stock · 40,000 shares

Expires 2023-09-25

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 vested as to 25% of the total shares on January 1, 2014, and then 6.25% of the total shares quarterly thereafter, with 100% of the total shares vested and exercisable on January 1, 2017.

SEC source: 0001209191-18-061791 · doc4.xml · nonDerivative · entry 1

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,000

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: 0001209191-18-053466 · doc4.xml · derivative · entry 10

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,702

Underlying: Common Stock · 21,000 shares

Expires 2023-09-25

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 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

F7 · derivative.exercise_date: The option vested as to 25% of the total shares on January 1, 2014, and then 6.25% of the total shares vest quarterly thereafter, with 100% of the total shares vested and exercisable on January 1, 2017, subject to the reporting person's provision of service to the issuer on each vesting date and to accelerated vesting in the event of the occurrence of certain events.

SEC source: 0001209191-18-053466 · doc4.xml · nonDerivative · entry 8

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

F5 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $37.41 and the highest price at which shares were sold was $37.875.

SEC source: 0001209191-18-053466 · doc4.xml · nonDerivative · entry 7

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,078

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 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

SEC source: 0001209191-18-053466 · doc4.xml · nonDerivative · entry 6

Patterson Matthew R · CIK 0001401018 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

F1 · kind: This transaction was effected pursuant to a 10b5-1 trading plan adopted by the reporting person.

F4 · price: Represents the weighted average sale price. The lowest price at which shares were sold was $38.22 and the highest price at which shares were sold was $38.81.