Gardiner Nathaniel S.

SEC source: 0001062993-24-004659 · form4.xml · derivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 77,813

Underlying: Common Stock · 5,187 shares

Expires 2033-11-22

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: Such option became or will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 22, 2023).

SEC source: 0001062993-24-004659 · form4.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 75,688

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: 0001062993-24-003233 · form4.xml · nonDerivative · entry 2

Gardiner Nathaniel S. · CIK 0001607643 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,501

F2 · shares: Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU awards.

SEC source: 0001062993-24-003233 · form4.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Chief Legal Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,474

F1 · shares: Represents shares of Enanta common stock issued under performance share units ("PSUs") that vested as a result of performance against two-year research and development milestones in the calendar 2022-2023 period as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 12, 2024.

SEC source: 0001062993-23-022053 · form4.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,154

F1 · shares: Represents shares sold by the reporting person to cover withholding taxes due as a result of settlement of a portion of the restricted stock unit award granted on November 23, 2022, as required pursuant to the terms of the award. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the reporting person.

F2 · price: The price reported in Column 4 is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $9.47 to $9.63, inclusive. The reporting person undertakes to provide to Enanta Pharmaceuticals, Inc., any security holder of Enanta 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 set forth in this footnote of this Form 4.

SEC source: 0001062993-23-021987 · form4.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,566

F1 · shares: Represents the number of shares of ENTA common stock forfeited by the reporting person to cover withholding taxes due as a result of settlement of a portion of the restricted stock unit awards granted on November 20, 2020 and November 19, 2021.

SEC source: 0001062993-23-021382 · form4.xml · derivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 83,000

Underlying: Common Stock · 83,000 shares

Expires 2033-11-22

F1 · derivative.exercise_date: Such option will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 22, 2023).

SEC source: 0001062993-23-009374 · form4.xml · derivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,000

Underlying: Common Stock · 6,667 shares

Expires 2026-11-18

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.

F2 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001062993-23-009374 · form4.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,980

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: 0001062993-23-003717 · form4.xml · nonDerivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,313

F3 · shares: Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU and rTSRU awards.

SEC source: 0001062993-23-003717 · form4.xml · nonDerivative · entry 2

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,048

F2 · shares: Represents shares of Enanta common stock issued under a relative total stockholder return unit ("rTSRU") award granted to the reporting person on December 18, 2020 that was subject to performance-vesting restrictions based on the relative total stockholder return of Enanta's common stock in relation to the total stockholder return of the component companies in the Nasdaq Biotech Index over a two-year period. The performance level was determined by the Compensation Committee of Enanta's Board of Directors and the rTSRU settled with the issuance of the shares of Enanta common stock on February 13, 2023.

SEC source: 0001062993-23-003717 · form4.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,301

F1 · shares: Represents shares of Enanta common stock issued under a performance share unit ("PSU") award granted on December 18, 2020 that vested as a result of the achievement of a research and development milestone in calendar 2022 as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 13, 2023.

SEC source: 0001062993-22-023365 · form4.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,051

F1 · shares: Represents the number of shares of ENTA common stock forfeited by the reporting person to cover withholding taxes due as a result of settlement of a portion of the restricted stock unit awards granted on November 20, 2020 and November 19, 2021.

SEC source: 0001062993-22-022857 · form4.xml · derivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,000

Underlying: Common Stock · 45,000 shares

Expires 2032-11-23

F3 · derivative.exercise_date: Such option will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 23, 2022).

SEC source: 0001062993-22-022857 · form4.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,106

F1 · kind: Represents a grant of restricted stock units ("RSUs") under the Enanta Pharmaceuticals, Inc. ("Enanta") 2019 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of Enanta common stock. The RSUs will vest and settle with respect to 25% of the award on December 4, 2023 and in substantially equal annual installments over the next three anniversaries thereafter.

SEC source: 0001062993-22-004518 · form4.xml · nonDerivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,239

F3 · shares: Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU and rTSRU awards.

SEC source: 0001062993-22-004518 · form4.xml · nonDerivative · entry 2

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,196

F2 · shares: Represents shares of Enanta common stock issued under a relative total stockholder return unit ("rTSRU") award granted to the reporting person on December 20, 2019 that was subject to performance-vesting restrictions based on the relative total stockholder return of Enanta's common stock in relation to the total stockholder return of the component companies in the Nasdaq Biotech Index over a two-year period. The performance level was determined by the Compensation Committee of Enanta's Board of Directors and the rTSRU settled with the issuance of the shares of Enanta common stock on February 14, 2022.

SEC source: 0001062993-22-004518 · form4.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,777

F1 · shares: Represents shares of Enanta common stock issued under a performance share unit ("PSU") award granted on December 20, 2019 that vested as a result of the achievement of a research and development milestone in calendar 2021 as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 14, 2022.

SEC source: 0001062993-21-012216 · form4.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,226

F1 · shares: Represents the number of shares of ENTA common stock forfeited by the reporting person to cover withholding taxes due as a result of settlement of a portion of the restricted stock unit award granted on November 20, 2020.

SEC source: 0001062993-21-011512 · form4.xml · derivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,400

Underlying: Common Stock · 28,400 shares

Expires 2031-11-19

F3 · derivative.exercise_date: Such option will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 19, 2021).

SEC source: 0001062993-21-011512 · form4.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,783

F1 · kind: Represents a grant of restricted stock units ("RSUs") under the Enanta Pharmaceuticals, Inc. ("Enanta") 2019 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of Enanta common stock. The RSUs vest in equal annual installments over four years from the date of grant (November 19, 2021). The restricted stock unit shares that vest will be issued on the first December 1 after the applicable vesting date, subject to withholding of a portion of the vested shares to satisfy tax withholding requirements.

SEC source: 0001177648-20-000059 · edgar.xml · derivative · entry 4

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,250 shares

Expires not disclosed

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_price: Restricted stock units convert into ENTA common stock on a one-for-one basis.

F5 · derivative.exercise_date: On November 18, 2016, the reporting person was granted 10,500 restricted stock units. 5,250 restricted stock units have previously vested and the remainder vested on November 18, 2020.

F5 · derivative.expiration_date: On November 18, 2016, the reporting person was granted 10,500 restricted stock units. 5,250 restricted stock units have previously vested and the remainder vested on November 18, 2020.

SEC source: 0001177648-20-000059 · edgar.xml · nonDerivative · entry 2

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,248

F3 · shares: Represents the number of shares of ENTA common stock forfeited by the reporting person to cover withholding taxes due as a result of settlement of the restricted stock unit award.

SEC source: 0001177648-20-000059 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,788

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 · shares: Represents shares of ENTA common stock subject to a restricted stock unit award granted on November 18, 2016 that vested on November 18, 2020. The settlement and issuance of the shares was subject to continued employment and occurred on December 15, 2020.

F2 · price: Restricted stock units convert into ENTA common stock on a one-for-one basis.

SEC source: 0001177648-20-000045 · edgar.xml · derivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,667

Underlying: Common Stock · 1,667 shares

Expires 2026-11-18

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.

F2 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-20-000045 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,538

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: 0001177648-20-000043 · edgar.xml · derivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,800

Underlying: Common Stock · 30,800 shares

Expires 2030-11-20

F3 · derivative.exercise_date: Such option will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 20, 2020).

SEC source: 0001177648-20-000043 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,871

F1 · kind: Represents a grant of restricted stock units ("RSUs") under the Enanta Pharmaceuticals, Inc. ("Enanta") 2019 Equity Incentive Plan. Each RSU represents the contingent right to receive, upon vesting of the unit, one share of Enanta common stock. The RSUs vest in equal annual installments over four years from the date of grant (November 20, 2020). The restricted stock unit shares that vest will be issued on the first December 1 after the applicable vesting date, subject to withholding of a portion of the vested shares to satisfy tax withholding requirements.

SEC source: 0001177648-20-000031 · edgar.xml · derivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,334

Underlying: Common Stock · 1,666 shares

Expires 2026-11-18

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.

F2 · derivative.exercise_date: This option to purchase a total of 25,000 shares of common stock became or will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 18, 2016).

SEC source: 0001177648-20-000031 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,271

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: 0001177648-20-000022 · edgar.xml · derivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 3,000 shares

Expires 2026-11-18

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.

F2 · derivative.exercise_date: This option to purchase a total of 25,000 shares of common stock became or will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 18, 2016).

SEC source: 0001177648-20-000022 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,605

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: 0001177648-20-000010 · edgar.xml · nonDerivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,605

F3 · shares: Represents the number of shares of common stock automatically forfeited by the reporting person to cover withholding taxes due as a result of settlement of the PSU and rTSRU awards.

SEC source: 0001177648-20-000010 · edgar.xml · nonDerivative · entry 2

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,545

F2 · shares: Represents shares of Enanta common stock issued under a relative total stockholder return unit ("rTSRU") award granted to the reporting person on March 1, 2018 that was subject to performance-vesting restrictions based on the relative total stockholder return of Enanta's common stock in relation to the total stockholder return of the component companies in the Nasdaq Biotech Index over a two-year period. The performance level was determined by the Compensation Committee of Enanta's Board of Directors and the rTSRU settled with the issuance of the shares of Enanta common stock on February 12, 2020.

SEC source: 0001177648-20-000010 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,070

F1 · shares: Represents shares of Enanta common stock issued under a performance share unit ("PSU") award granted on March 1, 2018 that vested as a result of the achievement of a research and development milestone in calendar 2019 as determined by the Compensation Committee of Enanta's Board of Directors, and then settled with the issuance of the shares of Enanta common stock on February 12, 2020.

SEC source: 0001177648-20-000005 · edgar.xml · derivative · entry 4

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,250

Underlying: Common Stock · 5,250 shares

Expires not disclosed

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_price: Restricted stock units convert into ENTA common stock on a one-for-one basis.

F5 · derivative.exercise_date: On November 18, 2016, the reporting person was granted 10,500 restricted stock units. 5,250 restricted stock units vested on November 18, 2019 and the remainder will vest on November 18, 2020, subject to the reporting person's continued employment.

F5 · derivative.expiration_date: On November 18, 2016, the reporting person was granted 10,500 restricted stock units. 5,250 restricted stock units vested on November 18, 2019 and the remainder will vest on November 18, 2020, subject to the reporting person's continued employment.

SEC source: 0001177648-20-000005 · edgar.xml · nonDerivative · entry 2

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,658

F3 · shares: Represents the number of shares of ENTA common stock forfeited by the reporting person to cover withholding taxes due as a result of settlement of the restricted stock unit award.

SEC source: 0001177648-20-000005 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,989

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 · shares: Represents shares of ENTA common stock subject to a restricted stock unit award granted on November 18, 2016 that vested on November 18, 2019. The settlement and issuance of the shares was subject to continued employment and occurred on December 16, 2019.

F2 · price: Restricted stock units convert into ENTA common stock on a one-for-one basis.

SEC source: 0001177648-19-000042 · edgar.xml · derivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,818

Underlying: Common Stock · 1,592 shares

Expires 2025-11-20

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

F1 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000042 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,739

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: 0001177648-19-000037 · edgar.xml · derivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2029-11-18

F1 · derivative.exercise_date: Such option will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 18, 2019).

SEC source: 0001177648-19-000034 · edgar.xml · derivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 5,000 shares

Expires 2026-11-18

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.

F2 · derivative.exercise_date: This option to purchase a total of 25,000 shares of common stock became or will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 18, 2016).

SEC source: 0001177648-19-000034 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,871

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: 0001177648-19-000033 · edgar.xml · derivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,410

Underlying: Common Stock · 3,295 shares

Expires 2025-11-20

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

F2 · derivative.exercise_date: This option to purchase a total of 25,500 shares of common stock became or will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 20, 2015).

SEC source: 0001177648-19-000033 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,871

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: 0001177648-19-000041 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,147

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 · balance_after: The reporting person's original Form 4 filing incorrectly excluded 1,724 shares of common stock from the figure reported in column 5 as indirectly held by the reporting person through a grantor retained annuity trust and incorrectly included such shares in the figure reported in column 5 as directly held by the reporting person. This error was repeated in the Form 4 filed by the reporting person on September 30, 2019.

SEC source: 0001177648-19-000030 · edgar.xml · derivative · entry 4

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,705

Underlying: Common Stock · 795 shares

Expires 2025-11-20

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

F2 · derivative.exercise_date: This option to purchase a total of 25,500 shares of common stock became or will become exercisable (subject to the optionholder's continued employment) quarterly in substantially equal installments (any fractional shares to be cumulated and to become exercisable at the end of the earliest succeeding quarterly period in which a whole share equivalent is accumulated) over four years from the date of grant (November 20, 2015).

SEC source: 0001177648-19-000030 · edgar.xml · derivative · entry 3

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,976

Underlying: Common Stock · 1,724 shares

Expires 2024-05-09

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

F1 · derivative.exercise_date: 100% of the shares subject to the option are fully vested and exercisable.

SEC source: 0001177648-19-000030 · edgar.xml · nonDerivative · entry 2

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,497

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: 0001177648-19-000030 · edgar.xml · nonDerivative · entry 1

Gardiner Nathaniel S. · CIK 0001607643 · Sr. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,702

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.