BLFS

SEC source: 0001437749-21-003513 · rdgdoc.xml · derivative · entry 6

Berard Todd · CIK 0001633186 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,610

Underlying: Common Stock · 3,610 shares

Expires not disclosed

F4 · shares: The restricted stock was granted pursuant to the Plan. The restricted stock will vest as to between 0% and 200% of the reported number of shares in column 5 based on the registrant's total shareholder return during the period beginning on January 1, 2021 through December 31, 2022 as compared to the total shareholder return of certain of the registrant's peers (such peers have been determined by the registrant's compensation committee with assistance of an outside consultant immediately prior to the grant date) and will vest on the date on which the registrant's board of directors determine the total shareholder return for the period.

F4 · derivative.exercise_date: The restricted stock was granted pursuant to the Plan. The restricted stock will vest as to between 0% and 200% of the reported number of shares in column 5 based on the registrant's total shareholder return during the period beginning on January 1, 2021 through December 31, 2022 as compared to the total shareholder return of certain of the registrant's peers (such peers have been determined by the registrant's compensation committee with assistance of an outside consultant immediately prior to the grant date) and will vest on the date on which the registrant's board of directors determine the total shareholder return for the period.

F4 · derivative.expiration_date: The restricted stock was granted pursuant to the Plan. The restricted stock will vest as to between 0% and 200% of the reported number of shares in column 5 based on the registrant's total shareholder return during the period beginning on January 1, 2021 through December 31, 2022 as compared to the total shareholder return of certain of the registrant's peers (such peers have been determined by the registrant's compensation committee with assistance of an outside consultant immediately prior to the grant date) and will vest on the date on which the registrant's board of directors determine the total shareholder return for the period.

SEC source: 0001437749-21-003513 · rdgdoc.xml · nonDerivative · entry 2

Berard Todd · CIK 0001633186 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,470

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 · kind: The reporting person was granted restricted stock pursuant to the Plan on February 25, 2019. In accordance with the terms of the grant, the restricted stock vested as to 200% of the reported number of shares reported in the reporting person's Form 4 reporting the grant based on the registrant's total shareholder return during the period beginning on January 1, 2019 through December 31, 2020 as compared to the total shareholder return of 20 of the registrant's peers (such peers have been determined by the registrant's compensation committee with assistance of an outside consultant immediately prior to the grant date).

F2 · price: The reporting person was granted restricted stock pursuant to the Plan on February 25, 2019. In accordance with the terms of the grant, the restricted stock vested as to 200% of the reported number of shares reported in the reporting person's Form 4 reporting the grant based on the registrant's total shareholder return during the period beginning on January 1, 2019 through December 31, 2020 as compared to the total shareholder return of 20 of the registrant's peers (such peers have been determined by the registrant's compensation committee with assistance of an outside consultant immediately prior to the grant date).

SEC source: 0001437749-21-003513 · rdgdoc.xml · nonDerivative · entry 1

Berard Todd · CIK 0001633186 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,488

F1 · price: The restricted stock was granted pursuant to the BioLife Solutions 2013 Performance Incentive Plan (the "Plan") and vests 25% on the first anniversary of the grant date and thereafter quarterly, in 12 equal quarterly installments. The restricted stock was granted to the reporting person as part of 2021 compensation.

SEC source: 0001437749-21-003512 · rdgdoc.xml · derivative · entry 6

DE GREEF RODERICK · CIK 0001241181 · CFO & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,740

Underlying: Common Stock · 4,740 shares

Expires not disclosed

F4 · shares: The restricted stock was granted pursuant to the Plan. The restricted stock will vest as to between 0% and 200% of the reported number of shares in column 5 based on the registrant's total shareholder return during the period beginning on January 1, 2021 through December 31, 2022 as compared to the total shareholder return of certain of the registrant's peers (such peers have been determined by the registrant's compensation committee with assistance of an outside consultant immediately prior to the grant date) and will vest on the date on which the registrant's board of directors determine the total shareholder return for the period.

F4 · derivative.exercise_date: The restricted stock was granted pursuant to the Plan. The restricted stock will vest as to between 0% and 200% of the reported number of shares in column 5 based on the registrant's total shareholder return during the period beginning on January 1, 2021 through December 31, 2022 as compared to the total shareholder return of certain of the registrant's peers (such peers have been determined by the registrant's compensation committee with assistance of an outside consultant immediately prior to the grant date) and will vest on the date on which the registrant's board of directors determine the total shareholder return for the period.

F4 · derivative.expiration_date: The restricted stock was granted pursuant to the Plan. The restricted stock will vest as to between 0% and 200% of the reported number of shares in column 5 based on the registrant's total shareholder return during the period beginning on January 1, 2021 through December 31, 2022 as compared to the total shareholder return of certain of the registrant's peers (such peers have been determined by the registrant's compensation committee with assistance of an outside consultant immediately prior to the grant date) and will vest on the date on which the registrant's board of directors determine the total shareholder return for the period.

SEC source: 0001437749-21-003512 · rdgdoc.xml · nonDerivative · entry 2

DE GREEF RODERICK · CIK 0001241181 · CFO & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,585

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 · kind: The reporting person was granted restricted stock pursuant to the Plan on February 25, 2019. In accordance with the terms of the grant, the restricted stock vested as to 200% of the reported number of shares reported in the reporting person's Form 4 reporting the grant based on the registrant's total shareholder return during the period beginning on January 1, 2019 through December 31, 2020 as compared to the total shareholder return of 20 of the registrant's peers (such peers have been determined by the registrant's compensation committee with assistance of an outside consultant immediately prior to the grant date).

F2 · price: The reporting person was granted restricted stock pursuant to the Plan on February 25, 2019. In accordance with the terms of the grant, the restricted stock vested as to 200% of the reported number of shares reported in the reporting person's Form 4 reporting the grant based on the registrant's total shareholder return during the period beginning on January 1, 2019 through December 31, 2020 as compared to the total shareholder return of 20 of the registrant's peers (such peers have been determined by the registrant's compensation committee with assistance of an outside consultant immediately prior to the grant date).

SEC source: 0001437749-21-003512 · rdgdoc.xml · nonDerivative · entry 1

DE GREEF RODERICK · CIK 0001241181 · CFO & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,033

F1 · price: The restricted stock was granted pursuant to the BioLife Solutions 2013 Performance Incentive Plan (the "Plan") and vests 25% on the first anniversary of the grant date and thereafter quarterly, in 12 equal quarterly installments. The restricted stock was granted to the reporting person as part of 2021 compensation.

SEC source: 0001437749-21-002264 · rdgdoc.xml · nonDerivative · entry 2

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,281,778

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-002263 · rdgdoc.xml · derivative · entry 3

Mathew Aby J. · CIK 0001556355 · Exec VP & Chief Scientific Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,483 shares

Expires 2021-02-11

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.

F3 · derivative.exercise_date: The employee stock option vested in four equal annual installments commencing on 02/11/2012.

SEC source: 0001437749-21-002263 · rdgdoc.xml · nonDerivative · entry 2

Mathew Aby J. · CIK 0001556355 · Exec VP & Chief Scientific Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,422

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person effective as of November 12, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.74 to $40.62, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001437749-21-002263 · rdgdoc.xml · nonDerivative · entry 1

Mathew Aby J. · CIK 0001556355 · Exec VP & Chief Scientific Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,905

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: 0001437749-21-002264 · rdgdoc.xml · nonDerivative · entry 1

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,321,778

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-001915 · rdgdoc.xml · derivative · entry 6

Mathew Aby J. · CIK 0001556355 · Exec VP & Chief Scientific Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,483

Underlying: Common Stock · 18,484 shares

Expires 2021-02-11

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: The employee stock option vested in four equal annual installments commencing on 02/11/2012.

SEC source: 0001437749-21-001915 · rdgdoc.xml · nonDerivative · entry 4

Mathew Aby J. · CIK 0001556355 · Exec VP & Chief Scientific Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,422

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person effective as of November 12, 2020.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $39.25 to $40.83 inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001437749-21-001915 · rdgdoc.xml · nonDerivative · entry 3

Mathew Aby J. · CIK 0001556355 · Exec VP & Chief Scientific Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,906

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: 0001437749-21-001915 · rdgdoc.xml · derivative · entry 5

Mathew Aby J. · CIK 0001556355 · Exec VP & Chief Scientific Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,967

Underlying: Common Stock · 18,484 shares

Expires 2021-02-11

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: The employee stock option vested in four equal annual installments commencing on 02/11/2012.

SEC source: 0001437749-21-001915 · rdgdoc.xml · nonDerivative · entry 2

Mathew Aby J. · CIK 0001556355 · Exec VP & Chief Scientific Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,422

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person effective as of November 12, 2020.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.50 to $39.70, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001437749-21-001915 · rdgdoc.xml · nonDerivative · entry 1

Mathew Aby J. · CIK 0001556355 · Exec VP & Chief Scientific Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,906

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: 0001437749-21-001310 · rdgdoc.xml · nonDerivative · entry 2

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,330,316

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-001310 · rdgdoc.xml · nonDerivative · entry 1

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,380,316

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-001039 · rdgdoc.xml · nonDerivative · entry 2

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,410,127

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-001039 · rdgdoc.xml · nonDerivative · entry 1

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,439,309

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-000907 · rdgdoc.xml · nonDerivative · entry 2

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,479,309

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-000907 · rdgdoc.xml · nonDerivative · entry 1

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,508,647

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-000682 · rdgdoc.xml · nonDerivative · entry 4

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,530,799

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-003035 · rdgdoc.xml · nonDerivative · entry 1

Schulz Marcus · CIK 0001812702 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,107

F1 · kind: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person effective as of November 12, 2020.

SEC source: 0001437749-21-000682 · rdgdoc.xml · nonDerivative · entry 3

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,539,234

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-000682 · rdgdoc.xml · nonDerivative · entry 2

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,551,957

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-000682 · rdgdoc.xml · nonDerivative · entry 1

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,579,234

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-000683 · rdgdoc.xml · nonDerivative · entry 1

Schulz Marcus · CIK 0001812702 · Vice President, Global Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,107

F1 · kind: The sale reported herein was made by the issuer to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock.

SEC source: 0001437749-21-000443 · rdgdoc.xml · nonDerivative · entry 3

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,619,234

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-000443 · rdgdoc.xml · nonDerivative · entry 2

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,649,234

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-21-000443 · rdgdoc.xml · nonDerivative · entry 1

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,664,309

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-20-024808 · rdgdoc.xml · nonDerivative · entry 1

Mathew Aby J. · CIK 0001556355 · Exec VP & Chief Scientific Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,422

F1 · kind: The sale reported herein was made by the issuer to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock.

SEC source: 0001437749-20-024807 · rdgdoc.xml · nonDerivative · entry 1

Foster Karen A. · CIK 0001683151 · Chief Quality Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,742

F1 · kind: The sale reported herein was made by the issuer to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock.

SEC source: 0001437749-20-024806 · rdgdoc.xml · nonDerivative · entry 1

Rice Michael · CIK 0001389512 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 202,843

F1 · kind: The sale reported herein was made by the issuer to satisfy tax withholding obligations in connection with the vesting of shares of restricted stock.

SEC source: 0000919574-20-007362 · ownership.xml · nonDerivative · entry 1

Casdin Partners Master Fund, L.P. · CIK 0001534265 · 10% owner

Casdin Capital, LLC · CIK 0001534261 · 10% owner

Casdin Partners GP, LLC · CIK 0001534260 · 10% owner

Casdin Eli · CIK 0001534264 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,440,107

F1 · kind: The reported securities will be purchased by Casdin Partners Master Fund, L.P. (the "Master Fund") in a private transaction (the "Transaction"). As of November 24, 2020, all material conditions precedent to closing the Transaction have been satisfied.

F2 · ownership.direct: The securities are owned directly by the Master Fund and may be deemed to be indirectly beneficially owned by (i) Casdin Capital, LLC, the investment adviser to the Master Fund, (ii) Casdin Partners GP, LLC, the general partner of the Master Fund, and (ii) Eli Casdin, the managing member of Casdin Capital, LLC and Casdin Partners GP, LLC.

SEC source: 0001437749-20-024588 · rdgdoc.xml · nonDerivative · entry 1

GIRSCHWEILER THOMAS · CIK 0001273547 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Taurus4757 GmbH

Disclosed balance after: 47,774

F1 · kind: The reported securities were sold to Casdin Partners Master Fund, L.P. in a private transaction (the "Transaction"). As of November 24, 2020, all material conditions precedent to closing the Transaction have been satisfied.

F2 · ownership.nature: The shares of common stock, par value $0.001 per share, are held directly by Taurus457 GmbH an entity wholly owned by Thomas Girschweiler, a director of Biolife Solutions, Inc.

SEC source: 0001437749-20-024297 · rdgdoc.xml · nonDerivative · entry 2

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,683,257

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-20-024297 · rdgdoc.xml · nonDerivative · entry 1

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,720,105

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-20-024182 · rdgdoc.xml · nonDerivative · entry 2

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,760,105

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-20-024045 · rdgdoc.xml · derivative · entry 9

Rice Michael · CIK 0001389512 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,843

Underlying: Common Stock · 11,461 shares

Expires 2021-12-20

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

F4 · derivative.exercise_date: The option vested in two equal annual installments based on the registrant's satisfaction of certain performance criteria for the fiscal year ending December 2017. The performance criteria for 2017 were met, resulting in vesting of the option as follows: 114,613 shares vested on March 8, 2018 and 114,613 shares vested on March 8, 2019.

SEC source: 0001437749-20-024045 · rdgdoc.xml · nonDerivative · entry 6

Rice Michael · CIK 0001389512 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 203,656

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.71 to $31.80, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001437749-20-024045 · rdgdoc.xml · nonDerivative · entry 5

Rice Michael · CIK 0001389512 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,117

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: 0001437749-20-024044 · rdgdoc.xml · derivative · entry 9

DE GREEF RODERICK · CIK 0001241181 · CFO & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2026-03-04

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: The options vested 25% on March 4, 2017 and thereafter, in 36 equal monthly installments.

SEC source: 0001437749-20-024044 · rdgdoc.xml · nonDerivative · entry 6

DE GREEF RODERICK · CIK 0001241181 · CFO & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,293

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.75 to $31.90, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001437749-20-024044 · rdgdoc.xml · nonDerivative · entry 5

DE GREEF RODERICK · CIK 0001241181 · CFO & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,293

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: 0001437749-20-024182 · rdgdoc.xml · nonDerivative · entry 1

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,800,105

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-20-024050 · rdgdoc.xml · nonDerivative · entry 2

VILLIGER WALTER · CIK 0001113655 · 10% owner

WAVI Holding AG · CIK 0001603260 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · By WAVI Holding AG

Disclosed balance after: 3,837,062

F1 · ownership.nature: The shares of common stock are held directly by WAVI Holding AG, which is an entity wholly owned and controlled by Walter Villiger.

SEC source: 0001437749-20-024049 · rdgdoc.xml · derivative · entry 6

Berard Todd · CIK 0001633186 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 5,000 shares

Expires 2025-05-04

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.

F3 · derivative.exercise_date: Exercisable to the extent of 1/4th thereof on 05/04/2016, and remaining balance exercisable to the extent of 1/36th thereof on the 4th day of each month commencing on 06/04/2016.

SEC source: 0001437749-20-024049 · rdgdoc.xml · nonDerivative · entry 4

Berard Todd · CIK 0001633186 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,878

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $31.78 to $32.30, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.