AXON

SEC source: 0001415889-23-005537 · form4-03292023_010328.xml · nonDerivative · entry 10

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,806,525

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2022.

F2 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F10 · price: The transaction was executed in multiple trades at prices ranging from $215.78 to $216.67. The price reported above reflects the weighted average sales 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: 0001415889-23-005537 · form4-03292023_010328.xml · nonDerivative · entry 9

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,809,857

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2022.

F2 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F9 · price: The transaction was executed in multiple trades at prices ranging from $214.78 to $215.77. The price reported above reflects the weighted average sales 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: 0001415889-23-005537 · form4-03292023_010328.xml · nonDerivative · entry 8

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,837,820

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: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2022.

SEC source: 0001415889-23-005537 · form4-03292023_010328.xml · derivative · entry 16

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 478,684

Underlying: Common Stock · 51,804 shares

Expires 2028-02-28

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: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2022.

SEC source: 0001415889-23-005537 · form4-03292023_010328.xml · derivative · entry 15

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 530,488

Underlying: Common Stock · 6,059 shares

Expires 2028-02-28

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: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2022.

SEC source: 0001415889-23-005537 · form4-03292023_010328.xml · nonDerivative · entry 7

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,771,744

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2022.

F6 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

F8 · price: The transaction was executed in multiple trades at prices ranging from $219.93 to $220.36. The price reported above reflects the weighted average sales 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: 0001415889-23-005537 · form4-03292023_010328.xml · nonDerivative · entry 6

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,772,172

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2022.

F6 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

F7 · price: The transaction was executed in multiple trades at prices ranging from $218.90 to $219.68. The price reported above reflects the weighted average sales 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: 0001415889-23-005537 · form4-03292023_010328.xml · nonDerivative · entry 5

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,774,442

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2022.

F6 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

F5 · price: The transaction was executed in multiple trades at prices ranging from $217.90 to $218.89. The price reported above reflects the weighted average sales 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: 0001415889-23-005537 · form4-03292023_010328.xml · nonDerivative · entry 4

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,778,599

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2022.

F2 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F5 · price: The transaction was executed in multiple trades at prices ranging from $217.90 to $218.89. The price reported above reflects the weighted average sales 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: 0001415889-23-005537 · form4-03292023_010328.xml · nonDerivative · entry 3

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,783,618

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2022.

F2 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F4 · price: The transaction was executed in multiple trades at prices ranging from $216.90 to $217.89. The price reported above reflects the weighted average sales 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: 0001415889-23-005537 · form4-03292023_010328.xml · nonDerivative · entry 2

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,800,611

F1 · kind: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2022.

F2 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F3 · price: The transaction was executed in multiple trades at prices ranging from $215.90 to $216.89. The price reported above reflects the weighted average sales 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: 0001415889-23-005537 · form4-03292023_010328.xml · nonDerivative · entry 1

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 2,806,019

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: The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 28, 2022.

SEC source: 0001415889-23-005537 · form4-03292023_010328.xml · derivative · entry 14

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 536,547

Underlying: Common Stock · 530,488 shares

Expires 2028-02-28

F13 · kind: The transaction consists of performance-based restricted stock options granted on February 26, 2018 (which was approved by shareholders and became effective on May 24, 2018) for the achievement of the eleventh tranche of the CEO Performance Award for which the performance conditions were determined to have been certified by the Compensation Committee on the transaction date. The options for this tranche vested on March 24, 2023. Once the options are exercised, the shares are subject to a 2.5 year minimum holding period, excluding shares sold or made available to sell to cover taxes.

SEC source: 0001415889-23-005231 · form4-03202023_090356.xml · nonDerivative · entry 1

SMITH GRAHAM · CIK 0001219883 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 922

F1 · shares: Time-vested restricted stock units granted to the reporting person pursuant to the Axon Enterprise, Inc. 2022 Stock Incentive Plan. The grant is scheduled to vest in three equal installments beginning on March 16, 2024.

SEC source: 0001415889-23-005229 · form4-03202023_090356.xml · nonDerivative · entry 1

Williams Jeri · CIK 0001969784 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 922

F1 · shares: Time-vested restricted stock units granted to the reporting person pursuant to the Axon Enterprise, Inc. 2022 Stock Incentive Plan. The grant is scheduled to vest in three equal installments beginning on March 16, 2024.

SEC source: 0001415889-23-004772 · form4-03132023_080356.xml · nonDerivative · entry 2

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,748,156

F2 · kind: Securities disposed represent securities withheld to settle the reporting person's tax liability incident to the vesting of tranche ten of the XSPP (eXponential Stock Performance Plan). The remainder of the shares are subject to a 2.5 year minimum holding period.

SEC source: 0001415889-23-004772 · form4-03132023_080356.xml · nonDerivative · entry 1

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,748,158

F1 · kind: The transaction consists of performance-based restricted stock units granted on January 2, 2019, for the achievement of tranche ten of the XSPP (eXponential Stock Performance Program) which was approved by shareholders and became effective on February 12, 2019, for which the performance conditions were determined to have been certified by the Compensation Committee on the transaction date. The units for this tranche vested on March 9, 2023. The shares are subject to a 2.5 year minimum holding period from the goal attainment date, excluding shares that are withheld to cover taxes.

SEC source: 0001415889-23-004768 · form4-03132023_080345.xml · nonDerivative · entry 2

Kunins Jeffrey C · CIK 0001788888 · CHIEF PRODUCT OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,308

F2 · kind: Securities disposed represent securities withheld to settle the reporting person's tax liability incident to the vesting of tranche ten of the XSPP (eXponential Stock Performance Plan). The remainder of the shares are subject to a 2.5 year minimum holding period.

SEC source: 0001415889-23-004768 · form4-03132023_080345.xml · nonDerivative · entry 1

Kunins Jeffrey C · CIK 0001788888 · CHIEF PRODUCT OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 234,474

F1 · kind: The transaction consists of performance-based restricted stock units granted on September 23, 2019, for the achievement of tranche ten of the XSPP (eXponential Stock Performance Program) which was approved by shareholders and became effective on February 12, 2019, for which the performance conditions were determined to have been certified by the Compensation Committee on the transaction date. The units for this tranche vested on March 9, 2023. The shares are subject to a 2.5 year minimum holding period from the goal attainment date, excluding shares that are withheld to cover taxes.

SEC source: 0001415889-23-004764 · form4-03132023_080353.xml · nonDerivative · entry 2

Isner Joshua · CIK 0001648518 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 264,271

F2 · kind: Securities disposed represent securities withheld to settle the reporting person's tax liability incident to the vesting of tranche ten of the XSPP (eXponential Stock Performance Plan). The remainder of the shares are subject to a 2.5 year minimum holding period.

SEC source: 0001415889-23-004764 · form4-03132023_080353.xml · nonDerivative · entry 1

Isner Joshua · CIK 0001648518 · CHIEF OPERATING OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,647

F1 · kind: The transaction consists of performance-based restricted stock units granted on January 2, 2019, for the achievement of tranche ten of the XSPP (eXponential Stock Performance Program) which was approved by shareholders and became effective on February 12, 2019, for which the performance conditions were determined to have been certified by the Compensation Committee on the transaction date. The units for this tranche vested on March 9, 2023. The shares are subject to a 2.5 year minimum holding period from the goal attainment date, excluding shares that are withheld to cover taxes.

SEC source: 0001415889-23-004760 · form4-03132023_080312.xml · nonDerivative · entry 1

Bagley Brittany · CIK 0001743490 · CFO & CBO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,924

F1 · kind: The transaction consists of performance-based restricted stock units granted on September 26, 2022, for the achievement of tranche ten of the XSPP (eXponential Stock Performance Program) which was approved by shareholders and became effective on February 12, 2019, for which the performance conditions were determined to have been certified by the Compensation Committee on the transaction date. The units for this tranche will vest on September 26, 2023. The shares are subject to a 2.5 year minimum holding period from the goal attainment date, excluding shares that are withheld to cover taxes.

SEC source: 0001415889-23-004519 · form4-03082023_110339.xml · nonDerivative · entry 2

KROLL MARK W · CIK 0001259254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,142

SEC source: 0001415889-23-004519 · form4-03082023_110339.xml · nonDerivative · entry 1

KROLL MARK W · CIK 0001259254 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,599

SEC source: 0001415889-23-004359 · form4-03072023_120347.xml · nonDerivative · entry 1

Kalinowski Caitlin Elizabeth · CIK 0001786512 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,179

SEC source: 0001415889-23-001987 · form4-02062023_090248.xml · nonDerivative · entry 2

GARNREITER MICHAEL · CIK 0001207669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,443

F1 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

SEC source: 0001415889-23-001987 · form4-02062023_090248.xml · nonDerivative · entry 1

GARNREITER MICHAEL · CIK 0001207669 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,443

F1 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

SEC source: 0001415889-23-001515 · form4-01272023_110100.xml · derivative · entry 31

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,059

Underlying: Common Stock · 159,074 shares

Expires 2028-02-28

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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 27

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,748,153

F10 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

F23 · price: The transaction was executed in multiple trades at prices ranging from $192.82 to $193.69. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 26

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,755,337

F10 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

F22 · price: The transaction was executed in multiple trades at prices ranging from $191.82 to $192.76. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 25

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,763,398

F10 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

F21 · price: The transaction was executed in multiple trades at prices ranging from $190.78 to $191.70. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 24

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,767,468

F1 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F21 · price: The transaction was executed in multiple trades at prices ranging from $190.78 to $191.70. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 23

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,776,316

F1 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F20 · price: The transaction was executed in multiple trades at prices ranging from $189.78 to $190.77. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 22

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,822,402

F1 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F19 · price: The transaction was executed in multiple trades at prices ranging from $188.74 to $189.73. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 21

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,844,728

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: 0001415889-23-001515 · form4-01272023_110100.xml · derivative · entry 30

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,133

Underlying: Common Stock · 219,829 shares

Expires 2028-02-28

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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 20

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,685,654

F10 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

F18 · price: The transaction was executed in multiple trades at prices ranging from $194.07 to $194.50. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 19

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,686,944

F10 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

F17 · price: The transaction was executed in multiple trades at prices ranging from $193.00 to $193.98. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 18

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,689,808

F10 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

F16 · price: The transaction was executed in multiple trades at prices ranging from $191.83 to $192.80. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 17

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,712,114

F10 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

F15 · price: The transaction was executed in multiple trades at prices ranging from $190.80 to $191.79. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 16

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,712,391

F1 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F15 · price: The transaction was executed in multiple trades at prices ranging from $190.80 to $191.79. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 15

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750,648

F1 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F14 · price: The transaction was executed in multiple trades at prices ranging from $189.80 to $190.79. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 14

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,781,292

F1 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F13 · price: The transaction was executed in multiple trades at prices ranging from $188.80 to $189.79. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 13

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,796,211

F1 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F12 · price: The transaction was executed in multiple trades at prices ranging from $187.80 to $188.79. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 12

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,808,317

F1 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F11 · price: The transaction was executed in multiple trades at prices ranging from $186.70 to $187.66. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 11

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,819,338

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: 0001415889-23-001515 · form4-01272023_110100.xml · derivative · entry 29

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 384,962

Underlying: Common Stock · 145,526 shares

Expires 2028-02-28

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: 0001415889-23-001515 · form4-01272023_110100.xml · derivative · entry 28

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 530,488

Underlying: Common Stock · 12,429 shares

Expires 2028-02-28

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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 10

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,599,509

F10 · kind: This sale of vested restricted stock units was executed pursuant to a filed Rule 10b5-1 plan.

F9 · price: The transaction was executed in multiple trades at prices ranging from $192.15 to $193.02. The price reported above reflects the weighted average sales 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: 0001415889-23-001515 · form4-01272023_110100.xml · nonDerivative · entry 9

SMITH PATRICK W · CIK 0001167028 · Director · CHIEF EXECUTIVE OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,618,737

F1 · kind: Securities disposed represent securities sold to settle the reporting person's tax liability and exercise price pursuant to a filed Rule 10b5-1 plan. The remainder of the shares, with the exception of those reported on this Form 4, are subject to a 2.5 year holding period.

F9 · price: The transaction was executed in multiple trades at prices ranging from $192.15 to $193.02. The price reported above reflects the weighted average sales 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.