ATRC

SEC source: 0001209191-21-017211 · doc4.xml · nonDerivative · entry 2

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 554,531

F2 · price: The Reporting Person acquired these shares pursuant to a Restricted Stock Award under the AtriCure, Inc. 2014 Stock Incentive Plan. One third of the shares will vest annually upon the respective one, two, and three year anniversaries of the date of grant.

SEC source: 0001209191-21-017211 · doc4.xml · nonDerivative · entry 1

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 534,173

F1 · price: The Reporting person acquired these shares pursuant to the vesting and release of a Performance Share Award under the AtriCure, Inc. 2014 Equity Incentive Plan. The award had both a Company performance goal and a service period requirement, which were both met.

SEC source: 0001209191-21-017247 · doc4.xml · nonDerivative · entry 3

Seith Douglas J · CIK 0001565823 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,220

F3 · shares: The Reporting Person has elected to transfer these shares to the Company to satisfy the tax withholding obligation incurred upon the vesting and release of shares previously acquired pursuant to a Restricted Stock Award or Performance Share Award.

SEC source: 0001209191-21-017247 · doc4.xml · nonDerivative · entry 2

Seith Douglas J · CIK 0001565823 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,732

F2 · price: The Reporting Person acquired these shares pursuant to a Restricted Stock Award under the AtriCure, Inc. 2014 Stock Incentive Plan. One third of the shares will vest annually upon the respective one, two, and three year anniversaries of the date of grant.

SEC source: 0001209191-21-017247 · doc4.xml · nonDerivative · entry 1

Seith Douglas J · CIK 0001565823 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,537

F1 · price: The Reporting person acquired these shares pursuant to the vesting and release of a Performance Share Award under the AtriCure, Inc. 2014 Equity Incentive Plan. The award had both a Company performance goal and a service period requirement, which were both met.

SEC source: 0001209191-21-017223 · doc4.xml · nonDerivative · entry 3

Privitera Salvatore · CIK 0001336063 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,056

F3 · shares: The Reporting Person has elected to transfer these shares to the Company to satisfy the tax withholding obligation incurred upon the vesting and release of shares previously acquired pursuant to a Restricted Stock Award or Performance Share Award.

SEC source: 0001209191-21-017223 · doc4.xml · nonDerivative · entry 2

Privitera Salvatore · CIK 0001336063 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,875

F2 · price: The Reporting Person acquired these shares pursuant to a Restricted Stock Award under the AtriCure, Inc. 2014 Stock Incentive Plan. One third of the shares will vest annually upon the respective one, two, and three year anniversaries of the date of grant.

SEC source: 0001209191-21-017223 · doc4.xml · nonDerivative · entry 1

Privitera Salvatore · CIK 0001336063 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,974

F1 · price: The Reporting person acquired these shares pursuant to the vesting and release of a Performance Share Award under the AtriCure, Inc. 2014 Equity Incentive Plan. The award had both a Company performance goal and a service period requirement, which were both met.

SEC source: 0001209191-21-010164 · doc4.xml · derivative · entry 9

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2024-01-24

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: These shares were exercised pursuant to a 10b5-1 trading plan.

F4 · derivative.exercise_date: Options to purchase shares in 25,000 increments were granted on January 24, 2014 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of common stock of the Company as reported by NASDAQ (or any other exchange on which the common stock of the Company is listed) for 30 consecutive days equals or exceeds each of $10.00 per share, $12.50 per share, $15.00 per share, $17.50 per share, $20.00 per share, $25.00 per share, $30.00 per share, $35.00 per share and $40.00 per share.

SEC source: 0001209191-21-010164 · doc4.xml · nonDerivative · entry 6

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,795

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-010164 · doc4.xml · nonDerivative · entry 5

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,795

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: These shares were exercised pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-010164 · doc4.xml · derivative · entry 8

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2024-01-24

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: These shares were exercised pursuant to a 10b5-1 trading plan.

F4 · derivative.exercise_date: Options to purchase shares in 25,000 increments were granted on January 24, 2014 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of common stock of the Company as reported by NASDAQ (or any other exchange on which the common stock of the Company is listed) for 30 consecutive days equals or exceeds each of $10.00 per share, $12.50 per share, $15.00 per share, $17.50 per share, $20.00 per share, $25.00 per share, $30.00 per share, $35.00 per share and $40.00 per share.

SEC source: 0001209191-21-010164 · doc4.xml · nonDerivative · entry 4

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,795

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-010164 · doc4.xml · nonDerivative · entry 3

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,795

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: These shares were exercised pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-010164 · doc4.xml · derivative · entry 7

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 25,000 shares

Expires 2024-01-24

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: These shares were exercised pursuant to a 10b5-1 trading plan.

F4 · derivative.exercise_date: Options to purchase shares in 25,000 increments were granted on January 24, 2014 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of common stock of the Company as reported by NASDAQ (or any other exchange on which the common stock of the Company is listed) for 30 consecutive days equals or exceeds each of $10.00 per share, $12.50 per share, $15.00 per share, $17.50 per share, $20.00 per share, $25.00 per share, $30.00 per share, $35.00 per share and $40.00 per share.

SEC source: 0001209191-21-010164 · doc4.xml · nonDerivative · entry 2

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,795

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

F3 · price: This transaction was executed in multiple trades at prices ranging from $63.00 to $63.05 per share. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001209191-21-010164 · doc4.xml · nonDerivative · entry 1

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,795

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: These shares were exercised pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-009141 · doc4.xml · derivative · entry 6

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 25,000 shares

Expires 2024-01-24

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: These shares were exercised pursuant to a 10b5-1 trading plan.

F3 · derivative.exercise_date: Options to purchase shares in 25,000 increments were granted on January 24, 2014 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of common stock of the Company as reported by NASDAQ (or any other exchange on which the common stock of the Company is listed) for 30 consecutive days equals or exceeds each of $10.00 per share, $12.50 per share, $15.00 per share, $17.50 per share, $20.00 per share, $25.00 per share, $30.00 per share, $35.00 per share and $40.00 per share.

SEC source: 0001209191-21-009141 · doc4.xml · nonDerivative · entry 4

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,795

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-009141 · doc4.xml · nonDerivative · entry 3

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,795

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: These shares were exercised pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-009141 · doc4.xml · derivative · entry 5

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 25,000 shares

Expires 2024-01-24

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: These shares were exercised pursuant to a 10b5-1 trading plan.

F3 · derivative.exercise_date: Options to purchase shares in 25,000 increments were granted on January 24, 2014 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of common stock of the Company as reported by NASDAQ (or any other exchange on which the common stock of the Company is listed) for 30 consecutive days equals or exceeds each of $10.00 per share, $12.50 per share, $15.00 per share, $17.50 per share, $20.00 per share, $25.00 per share, $30.00 per share, $35.00 per share and $40.00 per share.

SEC source: 0001209191-21-009141 · doc4.xml · nonDerivative · entry 2

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,795

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-009141 · doc4.xml · nonDerivative · entry 1

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,795

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: These shares were exercised pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-007651 · doc4.xml · derivative · entry 3

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 25,000 shares

Expires 2024-01-24

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: These shares were exercised pursuant to a 10b5-1 trading plan.

F3 · derivative.exercise_date: Options to purchase shares in 25,000 increments were granted on January 24, 2014 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of common stock of the Company as reported by NASDAQ (or any other exchange on which the common stock of the Company is listed) for 30 consecutive days equals or exceeds each of $10.00 per share, $12.50 per share, $15.00 per share, $17.50 per share, $20.00 per share, $25.00 per share, $30.00 per share, $35.00 per share and $40.00 per share.

SEC source: 0001209191-21-007651 · doc4.xml · nonDerivative · entry 2

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,795

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-007651 · doc4.xml · nonDerivative · entry 1

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,795

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: These shares were exercised pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-007656 · doc4.xml · nonDerivative · entry 1

Seith Douglas J · CIK 0001565823 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,939

F1 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-003426 · doc4.xml · derivative · entry 3

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 25,000 shares

Expires 2024-01-24

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: These shares were exercised pursuant to a 10b5-1 trading plan.

F3 · derivative.exercise_date: Options to purchase shares in 25,000 increments were granted on January 24, 2014 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of common stock of the Company as reported by NASDAQ (or any other exchange on which the common stock of the Company is listed) for 30 consecutive days equals or exceeds each of $10.00 per share, $12.50 per share, $15.00 per share, $17.50 per share, $20.00 per share, $25.00 per share, $30.00 per share, $35.00 per share and $40.00 per share.

SEC source: 0001209191-21-003426 · doc4.xml · nonDerivative · entry 2

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,795

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-003426 · doc4.xml · nonDerivative · entry 1

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,795

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: These shares were exercised pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-001759 · doc4.xml · derivative · entry 4

Noznesky Justin J · CIK 0001666600 · SVP, Mktg & Business Develop

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2024-01-06

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: These shares were exercised pursuant to a 10b5-1 trading plan.

F5 · derivative.exercise_date: These options were granted on January 6, 2014. The options vest and are exercisable as to 25% of the shares one year from the date of grant and the remaining 75% thereafter vests and are exercisable in equal monthly installments on the same day of the month over the following three years.

SEC source: 0001209191-21-001759 · doc4.xml · nonDerivative · entry 3

Noznesky Justin J · CIK 0001666600 · SVP, Mktg & Business Develop

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,608

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

F4 · price: This transaction was executed in multiple trades at prices ranging from $52.83 to $55.65 per share. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001209191-21-001759 · doc4.xml · nonDerivative · entry 2

Noznesky Justin J · CIK 0001666600 · SVP, Mktg & Business Develop

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,005

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

F3 · price: This transaction was executed in multiple trades at prices ranging from $52.67 to $55.65 per share. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001209191-21-001759 · doc4.xml · nonDerivative · entry 1

Noznesky Justin J · CIK 0001666600 · SVP, Mktg & Business Develop

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,005

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: These shares were exercised pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-21-001761 · doc4.xml · nonDerivative · entry 1

Collar Mark A · CIK 0001426353 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,558

F1 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

F2 · price: This transaction was executed in multiple trades at prices ranging from $54.72 to $55.78 per share. The price reported above reflects the weighted average purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001209191-21-000009 · doc4.xml · nonDerivative · entry 1

Wirick Angela L · CIK 0001819885 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,055

F1 · shares: Shares acquired pursuant to the AtriCure, Inc. 2018 Employee Stock Purchase Plan for the period ended December 31, 2020.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on July 1, 2020, which was the first trading day of the applicable offering period. The closing price on July 1, 2020 was $45.27.

SEC source: 0001209191-21-000007 · doc4.xml · nonDerivative · entry 1

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,795

F1 · shares: Shares acquired pursuant to the AtriCure, Inc. 2018 Employee Stock Purchase Plan for the period ended December 31, 2020.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on July 1, 2020, which was the first trading day of the applicable offering period. The closing price on July 1, 2020 was $45.27.

SEC source: 0001209191-21-000011 · doc4.xml · nonDerivative · entry 1

Privitera Salvatore · CIK 0001336063 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,446

F1 · shares: Shares acquired pursuant to the AtriCure, Inc. 2018 Employee Stock Purchase Plan for the period ended December 31, 2020.

F2 · price: In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on July 1, 2020, which was the first trading day of the applicable offering period. The closing price on July 1, 2020 was $45.27.

SEC source: 0001209191-20-065274 · doc4.xml · derivative · entry 6

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,000

Underlying: Common Stock · 24,953 shares

Expires 2024-01-24

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: These shares were exercised pursuant to a 10b5-1 trading plan.

F3 · derivative.exercise_date: Options to purchase shares in 25,000 increments were granted on January 24, 2014 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of common stock of the Company as reported by NASDAQ (or any other exchange on which the common stock of the Company is listed) for 30 consecutive days equals or exceeds each of $10.00 per share, $12.50 per share, $15.00 per share, $17.50 per share, $20.00 per share, $25.00 per share, $30.00 per share, $35.00 per share and $40.00 per share.

SEC source: 0001209191-20-065274 · doc4.xml · nonDerivative · entry 4

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,504

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-20-065274 · doc4.xml · nonDerivative · entry 3

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,457

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: These shares were exercised pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-20-065274 · doc4.xml · derivative · entry 5

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,953

Underlying: Common Stock · 47 shares

Expires 2024-01-24

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: These shares were exercised pursuant to a 10b5-1 trading plan.

F3 · derivative.exercise_date: Options to purchase shares in 25,000 increments were granted on January 24, 2014 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of common stock of the Company as reported by NASDAQ (or any other exchange on which the common stock of the Company is listed) for 30 consecutive days equals or exceeds each of $10.00 per share, $12.50 per share, $15.00 per share, $17.50 per share, $20.00 per share, $25.00 per share, $30.00 per share, $35.00 per share and $40.00 per share.

SEC source: 0001209191-20-065274 · doc4.xml · nonDerivative · entry 2

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,504

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-20-065274 · doc4.xml · nonDerivative · entry 1

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,551

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: These shares were exercised pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-20-065015 · doc4.xml · derivative · entry 9

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 25,000 shares

Expires 2024-01-24

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: These shares were exercised pursuant to a 10b5-1 trading plan.

F4 · derivative.exercise_date: Options to purchase shares in 25,000 increments were granted on January 24, 2014 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of common stock of the Company as reported by NASDAQ (or any other exchange on which the common stock of the Company is listed) for 30 consecutive days equals or exceeds each of $10.00 per share, $12.50 per share, $15.00 per share, $17.50 per share, $20.00 per share, $25.00 per share, $30.00 per share, $35.00 per share and $40.00 per share.

SEC source: 0001209191-20-065015 · doc4.xml · derivative · entry 8

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2024-01-24

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: These shares were exercised pursuant to a 10b5-1 trading plan.

F3 · derivative.exercise_date: These options were granted on January 24, 2014. The options vest and are exercisable as to 25% of the shares one year from the date of grant and the remaining 75% thereafter vests and are exercisable in equal monthly installments on the same day of the month over the following three years.

SEC source: 0001209191-20-065015 · doc4.xml · nonDerivative · entry 6

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,504

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-20-065015 · doc4.xml · nonDerivative · entry 5

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,504

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: These shares were exercised pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-20-065015 · doc4.xml · nonDerivative · entry 4

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,504

F2 · shares: These shares were sold pursuant to a 10b5-1 trading plan.

SEC source: 0001209191-20-065015 · doc4.xml · nonDerivative · entry 3

CARREL MICHAEL H · CIK 0001230584 · Director · President, CEO, & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,594

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: These shares were exercised pursuant to a 10b5-1 trading plan.