AZTA

SEC source: 0001209191-19-008945 · doc4.xml · nonDerivative · entry 1

Zane Ellen M · CIK 0001369850 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,783

F1 · price: Grant of unrestricted shares under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the shares.

SEC source: 0001209191-19-008942 · doc4.xml · nonDerivative · entry 1

WRIGHTON MARK S · CIK 0001021584 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,755

F1 · price: Grant of unrestricted shares under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the shares.

SEC source: 0001209191-19-008938 · doc4.xml · nonDerivative · entry 1

WOOLLACOTT ALFRED III · CIK 0001225004 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,091

F1 · price: Grant of unrestricted shares under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the shares.

SEC source: 0001209191-19-008936 · doc4.xml · nonDerivative · entry 1

Rosenblatt Michael · CIK 0001478797 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,051

F1 · price: Grant of unrestricted shares under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the shares.

SEC source: 0001209191-19-008918 · doc4.xml · derivative · entry 1

POND KIRK P · CIK 0001195847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,801

Underlying: Common Stock · 4,033 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

F2 · price: Grant of Restricted Stock Units under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.

F1 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

F1 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

SEC source: 0001209191-19-008916 · doc4.xml · nonDerivative · entry 1

Palepu Krishna G. · CIK 0001345098 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,276

F1 · price: Grant of unrestricted shares under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the shares.

SEC source: 0001209191-19-008913 · doc4.xml · nonDerivative · entry 1

MARTIN JOSEPH R · CIK 0001195846 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,501

F1 · price: Grant of unrestricted shares under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the shares.

SEC source: 0001209191-19-008910 · doc4.xml · derivative · entry 1

Davis Robyn C · CIK 0001580601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,689

Underlying: Common Stock · 4,033 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the earlier of her attainment of age 65 or her separation from service from the company.

F2 · price: Grant of Restricted Stock Units under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.

F1 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the earlier of her attainment of age 65 or her separation from service from the company.

F1 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the earlier of her attainment of age 65 or her separation from service from the company.

SEC source: 0001209191-19-008909 · doc4.xml · nonDerivative · entry 1

ALLEN A CLINTON · CIK 0001041888 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,296

F1 · price: Grant of unrestricted shares under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the shares.

SEC source: 0001209191-19-008055 · doc4.xml · nonDerivative · entry 1

Montone William T. · CIK 0001542288 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,040

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 7, 2018.

SEC source: 0001209191-19-007357 · doc4.xml · derivative · entry 2

Davis Robyn C · CIK 0001580601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,656

Underlying: Common Stock · 8,164 shares

Expires not disclosed

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

F4 · derivative.exercise_date: Each restricted stock unit represented the right to receive one share of Brooks common stock. The units were fully vested upon grant but the Reporting Person elected to have the settlement deferred until February 1, 2019.

F4 · derivative.expiration_date: Each restricted stock unit represented the right to receive one share of Brooks common stock. The units were fully vested upon grant but the Reporting Person elected to have the settlement deferred until February 1, 2019.

SEC source: 0001209191-19-007357 · doc4.xml · nonDerivative · entry 1

Davis Robyn C · CIK 0001580601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,836

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

F1 · shares: Represents 8,164 shares acquired with respect to restricted stock units granted on February 11, 2014 previously deferred until February 1, 2019.

F2 · price: No amount was paid upon acquisition of previously deferred restricted stock units.

F3 · balance_after: Corrects total of securities beneficially owned to correct a mathematical error made on 2/15/2015.

SEC source: 0001209191-19-012047 · doc4.xml · nonDerivative · entry 1

Robertson Lindon G · CIK 0001525267 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,382

F1 · kind: Purchase by Reporting Person under the Brooks Automation, Inc. 2017 Employee Stock Purchase Plan. The purchase of shares was exempt from Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act") pursuant to Rule 16b-3(c) under the Exchange Act.

SEC source: 0001209191-19-012043 · doc4.xml · nonDerivative · entry 1

Joseph Jason · CIK 0001485448 · SVP, General Counsel, Secy.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,661

F1 · kind: Purchase by Reporting Person under the Brooks Automation, Inc. 2017 Employee Stock Purchase Plan. The purchase of shares was exempt from Section 16(b) of the Securities Exchange Act of 1934 (the "Exchange Act") pursuant to Rule 16b-3(c) under the Exchange Act.

SEC source: 0001209191-19-006196 · doc4.xml · derivative · entry 1

POND KIRK P · CIK 0001195847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,768

Underlying: Common Stock · 48 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

F2 · kind: Grant of Restricted Stock Units (RSUs) based on the conversion of accumulated cash dividend equivalents on previously granted RSUs that vested on January 29, 2019 determined using the closing price of the Company's common stock on the vesting date. Grant of Restricted Stock Units under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.

F2 · price: Grant of Restricted Stock Units (RSUs) based on the conversion of accumulated cash dividend equivalents on previously granted RSUs that vested on January 29, 2019 determined using the closing price of the Company's common stock on the vesting date. Grant of Restricted Stock Units under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.

F1 · derivative.exercise_date: Each Restricted Stock Unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

F1 · derivative.expiration_date: Each Restricted Stock Unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

SEC source: 0001209191-19-005518 · doc4.xml · nonDerivative · entry 1

Montone William T. · CIK 0001542288 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,540

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 7, 2018.

SEC source: 0001209191-18-063818 · doc4.xml · derivative · entry 1

MCGILLICUDDY JOHN K · CIK 0001235639 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,005

Underlying: Common Stock · 285 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

F2 · kind: Grant of Restricted Stock Units (RSUs) based on the conversion of accumulated cash dividend equivalents on previously granted RSUs determined using the closing price of the Company's common stock on the dividend record date of December 7, 2018. Grant of Restricted Stock Units under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.

F2 · price: Grant of Restricted Stock Units (RSUs) based on the conversion of accumulated cash dividend equivalents on previously granted RSUs determined using the closing price of the Company's common stock on the dividend record date of December 7, 2018. Grant of Restricted Stock Units under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.

F1 · derivative.exercise_date: Each Restricted Stock Unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

F1 · derivative.expiration_date: Each Restricted Stock Unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

SEC source: 0001209191-18-063817 · doc4.xml · derivative · entry 1

POND KIRK P · CIK 0001195847 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,720

Underlying: Common Stock · 151 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

F2 · kind: Grant of Restricted Stock Units (RSUs) based on the conversion of accumulated cash dividend equivalents on previously granted RSUs determined using the closing price of the Company's common stock on the dividend record date of December 7, 2018. Grant of Restricted Stock Units under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.

F2 · price: Grant of Restricted Stock Units (RSUs) based on the conversion of accumulated cash dividend equivalents on previously granted RSUs determined using the closing price of the Company's common stock on the dividend record date of December 7, 2018. Grant of Restricted Stock Units under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.

F1 · derivative.exercise_date: Each Restricted Stock Unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

F1 · derivative.expiration_date: Each Restricted Stock Unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

SEC source: 0001209191-18-063815 · doc4.xml · derivative · entry 1

ALLEN A CLINTON · CIK 0001041888 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,956

Underlying: Common Stock · 30 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

F2 · kind: Grant of Restricted Stock Units (RSUs) based on the conversion of accumulated cash dividend equivalents on previously granted RSUs determined using the closing price of the Company's common stock on the dividend record date of December 7, 2018. Grant of Restricted Stock Units under the Company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.

F2 · price: Grant of Restricted Stock Units (RSUs) based on the conversion of accumulated cash dividend equivalents on previously granted RSUs determined using the closing price of the Company's common stock on the dividend record date of December 7, 2018. Grant of Restricted Stock Units under the Company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.

F1 · derivative.exercise_date: Each restricted stock unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

F1 · derivative.expiration_date: Each restricted stock unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement deferred until the later of his attainment of age 65 or his separation from service from the company.

SEC source: 0001209191-18-063816 · doc4.xml · derivative · entry 1

Davis Robyn C · CIK 0001580601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,820

Underlying: Common Stock · 86 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement of her grant deferred to a later date corresponding to the deferral election applicable to the underlying RSU grant.

F2 · kind: Grant of Restricted Stock Units (RSUs) based on the conversion of accumulated cash dividend equivalents on previously granted RSUs determined using the closing price of the Company's common stock on the dividend record date of December 7, 2018. Grant of Restricted Stock Units under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.

F2 · price: Grant of Restricted Stock Units (RSUs) based on the conversion of accumulated cash dividend equivalents on previously granted RSUs determined using the closing price of the Company's common stock on the dividend record date of December 7, 2018. Grant of Restricted Stock Units under the company's 2015 Equity Incentive Plan. No amount was paid upon grant of the units.

F1 · derivative.exercise_date: Each Restricted Stock Unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement of her grant deferred to a later date corresponding to the deferral election applicable to the underlying RSU grant.

F1 · derivative.expiration_date: Each Restricted Stock Unit represents the right to receive one share of Brooks common stock. The units are fully vested upon grant but the Reporting Person elected to have the settlement of her grant deferred to a later date corresponding to the deferral election applicable to the underlying RSU grant.

SEC source: 0001209191-18-060613 · doc4.xml · nonDerivative · entry 1

Tenney Maurice H. · CIK 0001539741 · President-Brooks Life Sciences

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,760

F1 · shares: Grant of restricted stock units to the Reporting Person under the Company's Long Term Incentive Plan. No amount was paid upon grant of the units. The units are subject to time-based vesting and will vest 33-1/3% per year, beginning on November 15, 2019.

SEC source: 0001209191-18-060611 · doc4.xml · nonDerivative · entry 1

SCHWARTZ STEPHEN S · CIK 0001247436 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 518,431

F1 · shares: Grant of restricted stock units to the Reporting Person under the Company's Long Term Incentive Plan. No amount was paid upon grant of the units. The units are subject to time-based vesting and will vest 33-1/3% per year, beginning on November 15, 2019.

SEC source: 0001209191-18-060609 · doc4.xml · nonDerivative · entry 1

Robertson Lindon G · CIK 0001525267 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,896

F1 · shares: Grant of restricted stock units to the Reporting Person under the Company's Long Term Incentive Plan. No amount was paid upon grant of the units. The units are subject to time-based vesting and will vest 33-1/3% per year, beginning on November 15, 2019.

SEC source: 0001209191-18-060605 · doc4.xml · nonDerivative · entry 1

Pietrantoni David · CIK 0001579290 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,101

F1 · shares: Grant of restricted stock units to the Reporting Person under the Company's Long Term Incentive Plan. No amount was paid upon grant of the units. The units are subject to time-based vesting and will vest 33-1/3% per year, beginning on November 15, 2019.

SEC source: 0001209191-18-060601 · doc4.xml · nonDerivative · entry 1

Joseph Jason · CIK 0001485448 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,014

F1 · shares: Grant of restricted stock units to the Reporting Person under the Company's Long Term Incentive Plan. No amount was paid upon grant of the units. The units are subject to time-based vesting and will vest 33-1/3% per year, beginning on November 15, 2019.

SEC source: 0001209191-18-060604 · doc4.xml · nonDerivative · entry 1

Montone William T. · CIK 0001542288 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,540

F1 · shares: Grant of restricted stock units to the Reporting Person under the Company's Long Term Incentive Plan. No amount was paid upon grant of the units. The units are subject to time-based vesting and will vest 50% on November 15, 2019 and 50% on November 15, 2020.

SEC source: 0001209191-18-060603 · doc4.xml · nonDerivative · entry 1

Liao Guojuan · CIK 0001759515 · President, GENEWIZ

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,791

F1 · shares: Grant of restricted stock units to the Reporting Person under the Company's Long Term Incentive Plan. No amount was paid upon grant of the units. The units are subject to time-based vesting and will vest 33-1/3% per year, beginning on November 15, 2019.

SEC source: 0001209191-18-060600 · doc4.xml · nonDerivative · entry 1

Jarzynka David · CIK 0001670527 · Sr. VP, General Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,471

F1 · shares: Grant of restricted stock units to the Reporting Person under the Company's Long Term Incentive Plan. No amount was paid upon grant of the units. The units are subject to time-based vesting and will vest 33-1/3% per year, beginning on November 15, 2019.

SEC source: 0001209191-18-060598 · doc4.xml · nonDerivative · entry 1

Gray David C · CIK 0001454514 · Chief Strategy & New Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,959

F1 · shares: Grant of restricted stock units to the Reporting Person under the Company's Long Term Incentive Plan. No amount was paid upon grant of the units. The units are subject to time-based vesting and will vest 33-1/3% per year, beginning on November 15, 2019.

SEC source: 0001209191-18-060596 · doc4.xml · nonDerivative · entry 1

ALLEN A CLINTON · CIK 0001041888 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,263

F1 · price: The reporting person gifted 300 shares of Brooks Automation, Inc. stock to various family members not residing with the reporting person for no consideration. The reporting person disclaims beneficial ownership of and pecuniary interest in such shares.

SEC source: 0001209191-18-060015 · doc4.xml · nonDerivative · entry 1

Pietrantoni David · CIK 0001579290 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,180

F1 · shares: Special incentive award of restricted stock units to the Reporting Person. No amount was paid upon grant of the units. The shares will vest 100% on November 15, 2019.

SEC source: 0001209191-18-060013 · doc4.xml · nonDerivative · entry 1

Montone William T. · CIK 0001542288 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,957

F1 · shares: Special incentive award of restricted stock units to the Reporting Person. No amount was paid upon grant of the units. The shares will vest 100% on November 15, 2019.

SEC source: 0001209191-18-060012 · doc4.xml · nonDerivative · entry 1

Joseph Jason · CIK 0001485448 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,658

F1 · shares: Special incentive award of restricted stock units to the Reporting Person. No amount was paid upon grant of the units. The shares will vest 100% on November 15, 2019.

SEC source: 0001209191-18-059444 · doc4.xml · nonDerivative · entry 2

Gray David C · CIK 0001454514 · Chief Strategy & New Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,846

F3 · kind: The sales reported on this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 9, 2018.

SEC source: 0001209191-18-059444 · doc4.xml · nonDerivative · entry 1

Gray David C · CIK 0001454514 · Chief Strategy & New Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,536

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 15, 2018 of 4,244 restricted stock units from two grants (1,328 and 2,916, respectively) held by the reporting person.

F2 · price: This represents the weighted average price for shares sold at a range between $28.58 and $28.94. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-059443 · doc4.xml · nonDerivative · entry 1

SCHWARTZ STEPHEN S · CIK 0001247436 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 494,084

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 15, 2018 of 17,725 restricted stock units from two grants (12,332 and 5,393, respectively) held by the reporting person.

F2 · price: This represents the weighted average price for shares sold at a range between $28.58 and $28.94. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-059442 · doc4.xml · nonDerivative · entry 1

Robertson Lindon G · CIK 0001525267 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,878

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 15, 2018 of 8,014 restricted stock units from two grants (5,433 and 2,581, respectively) held by the reporting person.

F2 · price: This represents the weighted average price for shares sold at a range between $28.58 and $28.94. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-059439 · doc4.xml · nonDerivative · entry 1

Joseph Jason · CIK 0001485448 · VP, General Counsel, Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,762

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 15, 2018 of 7,546 restricted stock units from two grants (5,333 and 2,213, respectively) held by the reporting person.

F2 · price: This represents the weighted average price for shares sold at a range between $28.58 and $28.94. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-059441 · doc4.xml · nonDerivative · entry 1

Tenney Maurice H. · CIK 0001539741 · President-Brooks Life Sciences

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,969

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 15, 2018 of 7,546 restricted stock units from two grants (5,333 and 2,213, respectively) held by the reporting person.

F2 · price: This represents the weighted average price for shares sold at a range between $28.58 and $28.94. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-059437 · doc4.xml · nonDerivative · entry 1

Montone William T. · CIK 0001542288 · SVP, Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,061

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 15, 2018 of 2,916 restricted stock units held by the reporting person.

F2 · price: This represents the weighted average price for shares sold at a range between $28.58 and $28.94. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-059436 · doc4.xml · nonDerivative · entry 1

Pietrantoni David · CIK 0001579290 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,284

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 15, 2018 of 2,284 restricted stock units from two grants (1,583 and 701, respectively) held by the reporting person.

F2 · price: This represents the weighted average price for shares sold at a range between $28.58 and $28.94. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-059426 · doc4.xml · nonDerivative · entry 2

Jarzynka David · CIK 0001670527 · Sr. VP, General Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,680

F2 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 15, 2018 of 5,373 restricted stock units from two grants (1,623 and 3,750, respectively) held by the reporting person.

F3 · price: This represents the weighted average price for shares sold at a range between $28.59 and $28.94. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

F4 · balance_after: This amount includes 73,258 previously vested but unreported performance-based RSUs.

SEC source: 0001209191-18-059426 · doc4.xml · nonDerivative · entry 1

Jarzynka David · CIK 0001670527 · Sr. VP, General Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,167

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 8, 2018 of 5,346 restricted stock units held by the reporting person.

SEC source: 0001209191-18-058546 · doc4.xml · nonDerivative · entry 2

Gray David C · CIK 0001454514 · Chief Strategy & New Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,482

F3 · kind: The sales reported on this line item were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 9, 2018.

F4 · price: This represents the weighted average price for shares sold at a range between $28.42 and $29.48. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-058549 · doc4.xml · nonDerivative · entry 1

Pietrantoni David · CIK 0001579290 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,332

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 6, 2018 of 29,007 restricted stock units held by the reporting person.

F2 · price: This represents the weighted average price for shares sold between November 7, 2018 and November 12, 2018 at a range between $28.00 and $32.35. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-058593 · doc4.xml · nonDerivative · entry 1

Jarzynka David · CIK 0001670527 · Sr. VP, General Manager

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,760

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 6, 2018 of 58,015 restricted stock units held by the reporting person.

F2 · price: This represents the weighted average price for shares sold between November 7, 2018 and November 12, 2018 at a range between $28.00 and $32.35. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-058552 · doc4.xml · nonDerivative · entry 1

Tenney Maurice H. · CIK 0001539741 · President-Brooks Life Sciences

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,430

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 6, 2018 of 103,140 restricted stock units held by the reporting person.

F2 · price: This represents the weighted average price for shares sold between November 7, 2018 and November 12, 2018 at a range between $28.00 and $32.35. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-058551 · doc4.xml · nonDerivative · entry 1

SCHWARTZ STEPHEN S · CIK 0001247436 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 502,211

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 6, 2018 of 199,832 restricted stock units held by the reporting person.

F2 · price: This represents the weighted average price for shares sold between November 7, 2018 and November 12, 2018 at a range between $28.00 and $32.35. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-058550 · doc4.xml · nonDerivative · entry 1

Robertson Lindon G · CIK 0001525267 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,553

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 6, 2018 of 90,247 restricted stock units held by the reporting person.

F2 · price: This represents the weighted average price for shares sold between November 7, 2018 and November 12, 2018 at a range between $28.00 and $32.35. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.

SEC source: 0001209191-18-058546 · doc4.xml · nonDerivative · entry 1

Gray David C · CIK 0001454514 · Chief Strategy & New Business

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,709

F1 · shares: The sale of shares by the reporting person to satisfy the reporting person's obligations with respect to withholding taxes in connection with the vesting on November 6, 2018 of 58,015 restricted stock units held by the reporting person.

F2 · price: This represents the weighted average price for shares sold between November 7, 2018 and November 12, 2018 at a range between $28.00 and $32.35. The reporting person will provide to the Securities and Exchange Commission, the issuer and any stockholder, upon request, full information regarding the number of shares purchased or sold at each separate price.