ATRC

SEC source: 0001209191-20-065015 · doc4.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 24,751 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 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: 0001209191-20-065015 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,255

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: 0001209191-20-064677 · doc4.xml · derivative · entry 12

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,751

Underlying: Common Stock · 50,249 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.

F5 · 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: 0001209191-20-064677 · doc4.xml · nonDerivative · entry 8

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.

F3 · price: This transaction was executed in multiple trades at prices ranging from $53.00 to $55.00 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: 0001209191-20-064677 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 554,753

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: 0001209191-20-064677 · doc4.xml · derivative · entry 11

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.

F5 · 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: 0001209191-20-064677 · doc4.xml · derivative · entry 10

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 2022-11-01

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 November 1, 2012 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of the 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: 0001209191-20-064677 · 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 2022-11-01

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 November 1, 2012 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of the 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: 0001209191-20-064677 · 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: 0001209191-20-064677 · 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: 0001209191-20-064677 · 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: 0001209191-20-064677 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,504

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: 0001209191-20-064677 · 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: 0001209191-20-064677 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 529,504

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: 0001209191-20-064673 · doc4.xml · nonDerivative · entry 1

Privitera Salvatore · CIK 0001336063 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,262

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 $50.00 to $52.50 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: 0001209191-20-064669 · doc4.xml · nonDerivative · entry 1

Seith Douglas J · CIK 0001565823 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,880

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

SEC source: 0001209191-20-062842 · doc4.xml · nonDerivative · entry 1

Privitera Salvatore · CIK 0001336063 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,916

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

SEC source: 0001209191-20-059309 · doc4.xml · nonDerivative · entry 1

Drake Scott William · CIK 0001527909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,036

F1 · price: This transaction was executed in multiple trades at prices ranging from $40.48 to $40.61 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: 0001209191-20-057822 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,005

F1 · price: No consideration was received in connection with this gift to charity.

SEC source: 0001209191-20-054589 · doc4.xml · nonDerivative · entry 1

Seith Douglas J · CIK 0001565823 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,497

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 $40.00 to $40.31 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: 0001209191-20-054258 · doc4.xml · nonDerivative · entry 1

Collar Mark A · CIK 0001426353 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,558

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 $40.00 to $40.05 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: 0001209191-20-053445 · doc4.xml · nonDerivative · entry 1

Collar Mark A · CIK 0001426353 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,888

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 $40.08 to $40.36 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: 0001209191-20-050690 · doc4.xml · nonDerivative · entry 1

GROVES REGINA E · CIK 0001653877 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,809

F1 · price: This transaction was executed in multiple trades at prices ranging from $41.61 to $42.26 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: 0001209191-20-050289 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 504,504

F1 · price: No consideration was received in connection with this gift to charity.

SEC source: 0001209191-20-045969 · doc4.xml · nonDerivative · entry 1

Wirick Angela L · CIK 0001819885 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,815

F1 · 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: 0001209191-20-043799 · doc4.xml · nonDerivative · entry 1

Privitera Salvatore · CIK 0001336063 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,762

F1 · 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.

SEC source: 0001209191-20-040853 · doc4.xml · nonDerivative · entry 1

Collar Mark A · CIK 0001426353 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,558

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 $44.00 to $45.10 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: 0001209191-20-040352 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 514,504

F1 · shares: Shares acquired pursuant to the AtriCure, Inc. 2018 Employee Stock Purchase Plan for the period ended June 30, 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 January 1, 2020, which was the first trading day of the applicable offering period. The closing price on January 1, 2020 was $33.07.

SEC source: 0001209191-20-040404 · doc4.xml · nonDerivative · entry 1

Wade M. Andrew · CIK 0001560591 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,537

F1 · shares: Shares acquired pursuant to the AtriCure, Inc. 2018 Employee Stock Purchase Plan for the period ended June 30, 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 January 1, 2020, which was the first trading day of the applicable offering period. The closing price on January 1, 2020 was $33.07.

SEC source: 0001209191-20-040372 · doc4.xml · nonDerivative · entry 1

Privitera Salvatore · CIK 0001336063 · Chief Technical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,358

F1 · shares: Shares acquired pursuant to the AtriCure, Inc. 2018 Employee Stock Purchase Plan for the period ended June 30, 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 January 1, 2020, which was the first trading day of the applicable offering period. The closing price on January 1, 2020 was $33.07.

SEC source: 0001209191-20-031550 · doc4.xml · nonDerivative · entry 1

Collar Mark A · CIK 0001426353 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,558

F1 · shares: The Reporting Person acquired these shares pursuant to a Restricted Stock Award under the AtriCure, Inc. 2014 Stock Incentive Plan. The shares will vest upon the one-year anniversary of the grant date.

SEC source: 0001209191-20-031554 · doc4.xml · nonDerivative · entry 1

Florin Daniel P · CIK 0001402459 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,354

F1 · shares: The Reporting Person acquired these shares pursuant to a Restricted Stock Award under the AtriCure, Inc. 2014 Stock Incentive Plan. The shares will vest upon the one-year anniversary of the grant date.

SEC source: 0001209191-20-031560 · doc4.xml · nonDerivative · entry 1

Lanning Mark R · CIK 0001353679 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,886

F1 · shares: The Reporting Person acquired these shares pursuant to a Restricted Stock Award under the AtriCure, Inc. 2014 Stock Incentive Plan. The shares will vest upon the one-year anniversary of the grant date.

SEC source: 0001209191-20-031558 · doc4.xml · nonDerivative · entry 1

JOHNSON B KRISTINE · CIK 0001231984 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,122

F1 · shares: The Reporting Person acquired these shares pursuant to a Restricted Stock Award under the AtriCure, Inc. 2014 Stock Incentive Plan. The shares will vest upon the one-year anniversary of the grant date.

SEC source: 0001209191-20-031564 · doc4.xml · nonDerivative · entry 1

WEHRWEIN SVEN · CIK 0001205069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,686

F1 · shares: The Reporting Person acquired these shares pursuant to a Restricted Stock Award under the AtriCure, Inc. 2014 Stock Incentive Plan. The shares will vest upon the one-year anniversary of the grant date.

SEC source: 0001209191-20-031566 · doc4.xml · nonDerivative · entry 1

WHITE ROBERT S. · CIK 0001571208 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,486

F1 · shares: The Reporting Person acquired these shares pursuant to a Restricted Stock Award under the AtriCure, Inc. 2014 Stock Incentive Plan. The shares will vest upon the one-year anniversary of the grant date.

SEC source: 0001209191-20-031562 · doc4.xml · nonDerivative · entry 1

Prange Karen · CIK 0001566083 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,354

F1 · shares: The Reporting Person acquired these shares pursuant to a Restricted Stock Award under the AtriCure, Inc. 2014 Stock Incentive Plan. The shares will vest upon the one-year anniversary of the grant date.

SEC source: 0001209191-20-031556 · doc4.xml · nonDerivative · entry 1

GROVES REGINA E · CIK 0001653877 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,122

F1 · shares: The Reporting Person acquired these shares pursuant to a Restricted Stock Award under the AtriCure, Inc. 2014 Stock Incentive Plan. The shares will vest upon the one-year anniversary of the grant date.

SEC source: 0001209191-20-031552 · doc4.xml · nonDerivative · entry 1

Drake Scott William · CIK 0001527909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,686

F1 · shares: The Reporting Person acquired these shares pursuant to a Restricted Stock Award under the AtriCure, Inc. 2014 Stock Incentive Plan. The shares will vest upon the one-year anniversary of the grant date.

SEC source: 0001209191-20-028847 · doc4.xml · derivative · entry 6

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 2022-11-01

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 November 1, 2012 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of the 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: 0001209191-20-028847 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 514,147

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

SEC source: 0001209191-20-028847 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 539,147

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

SEC source: 0001209191-20-029027 · doc4.xml · derivative · entry 3

Collar Mark A · CIK 0001426353 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2020-05-19

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: These options were granted on May 19, 2010 and are exercisable cumulatively at a rate of 33% per annum beginning one year from date of grant.

SEC source: 0001209191-20-029027 · doc4.xml · nonDerivative · entry 1

Collar Mark A · CIK 0001426353 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,106

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: 0001209191-20-028847 · doc4.xml · derivative · entry 5

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 2022-11-01

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 November 1, 2012 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of the 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: 0001209191-20-028847 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 514,147

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 $46.00 to $46.02 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: 0001209191-20-028847 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 539,147

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

SEC source: 0001209191-20-027973 · doc4.xml · derivative · entry 3

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 2022-11-01

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 November 1, 2012 and vest at each Option Trigger Event. "Option Trigger Event" shall mean the volume adjusted weighted average closing price of the 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: 0001209191-20-027973 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 514,147

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