HCA

SEC source: 0000899243-19-021401 · doc4.xml · nonDerivative · entry 1

Elcan Patricia F · CIK 0001433376 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held indirectly through Hercules Holding II

Disclosed balance after: 797,414.6264

F1 · ownership.nature: Hercules Holding II ("Hercules") holds 68,912,077 shares of common stock of HCA Healthcare, Inc. Hercules is held by a private investor group, including affiliates of HCA Inc. founder Dr. Thomas F. Frist Jr. The Reporting Person may be deemed to be a member of a group exercising voting and investment control over the shares of common stock of HCA Healthcare, Inc. held by Hercules. However, the Reporting Person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein.

F2 · ownership.nature: The Reporting Person jointly owns with her spouse 41,052 shares of common stock of HCA Healthcare, Inc. and 776,573.9641 units of Hercules and therefore may be deemed to own indirectly the same number of shares of common stock of HCA Healthcare, Inc. by virtue of her ownership in Hercules. The Reporting Person owns 20,840.662342 units of Hercules and therefore may be deemed to own indirectly the same number of shares of common stock of HCA Healthcare, Inc. by virtue of her ownership in Hercules.

SEC source: 0001209191-20-005888 · doc4.xml · nonDerivative · entry 1

Morrow J William · CIK 0001696543 · SVP - Finance and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,195.1196

F1 · balance_after: Includes 1,180.1196 shares acquired under the HCA Holdings, Inc. Employee Stock Purchase Plan.

SEC source: 0001209191-20-009722 · doc5.xml · nonDerivative · entry 1

Frist William R · CIK 0001433377 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held indirectly through Hercules Holding II

Disclosed balance after: 398,941.4864

F1 · ownership.nature: Hercules Holding II ("Hercules") holds 68,912,077 shares of common stock of HCA Healthcare, Inc. Hercules is held by a private investor group, including affiliates of HCA Inc. founder Dr. Thomas F. Frist Jr. The Reporting Person may be deemed to be a member of a group exercising voting and investment control over the shares of common stock of HCA Healthcare, Inc. held by Hercules. However, the Reporting Person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

F2 · ownership.nature: The Reporting Person directly owns 399,256.72141 units of Hercules and therefore may be deemed to own indirectly the same number of shares of common stock of HCA Healthcare, Inc. by virtue of his ownership in Hercules. The Reporting Person may also be deemed to have indirect beneficial ownership in respect of 4,128 shares of common stock of HCA Healthcare, Inc. and 78,155.825 units of Hercules, through an indirect pecuniary interest in such shares and units held by his children and spouse, and therefore may be deemed to own indirectly the same number of shares of common stock of HCA Healthcare, Inc.

SEC source: 0001209191-20-009718 · doc5.xml · nonDerivative · entry 1

FRIST PATRICIA C · CIK 0001181963 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held indirectly through Hercules Holding II by Patricia Champion Frist 2017 GRAT

Disclosed balance after: 0

F1 · ownership.nature: Hercules Holding II ("Hercules") holds 68,912,077 shares of common stock of HCA Healthcare, Inc. Hercules is held by a private investor group, including affiliates of HCA Inc. founder Dr. Thomas F. Frist Jr. The Reporting Person may be deemed to be a member of a group exercising voting and investment control over the shares of common stock of HCA Healthcare, Inc. held by Hercules. However, the Reporting Person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of her pecuniary interest therein.

F2 · ownership.nature: The Reporting Person's spouse is trustee of (i) the Patricia Champion Frist 2017 Grantor Retained Annuity Trust, (ii) the Thomas F. Frist GST Tax Exempt Trust, (iii) the Patricia Champion Frist May 2018 Grantor Retained Annuity Trust, (iv) the Patricia Champion Frist May 2019 Grantor Retained Annuity Trust and (v) the Patricia Champion Frist August 2019 Grantor Retained Annuity Trust and may be deemed to be the beneficial owner of the units of Hercules held by these trusts and therefore may be deemed to own indirectly the same number of shares of common stock of HCA Healthcare, Inc.

SEC source: 0001209191-20-009709 · doc5.xml · nonDerivative · entry 1

FRIST THOMAS F JR · CIK 0000900596 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held indirectly through Hercules Holding II by Patricia Champion Frist 2017 GRAT

Disclosed balance after: 0

F1 · ownership.nature: The Reporting Person is trustee of (i) the Patricia Champion Frist 2017 Grantor Retained Annuity Trust, (ii) the Thomas F. Frist GST Tax Exempt Trust, (iii) the Patricia Champion Frist May 2018 Grantor Retained Annuity Trust, (iv) the Patricia Champion Frist May 2019 Grantor Retained Annuity Trust and (v) the Patricia Champion Frist August 2019 Grantor Retained Annuity Trust and may be deemed to be the beneficial owner of the units of Hercules held by these trusts and therefore may be deemed to own indirectly the same number of shares of common stock of HCA Healthcare, Inc.

F2 · ownership.nature: Hercules Holding II ("Hercules") holds 68,912,077 shares of common stock of HCA Healthcare, Inc. Hercules is held by a private investor group, including affiliates of HCA Inc. founder Dr. Thomas F. Frist Jr. The Reporting Person may be deemed to be a member of a group exercising voting and investment control over the shares of common stock of HCA Healthcare, Inc. held by Hercules. However, the Reporting Person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

SEC source: 0001209191-20-009703 · doc5.xml · nonDerivative · entry 1

FRIST THOMAS F III · CIK 0001223892 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Held indirectly through Hercules Holding II by Thomas F. Frist III 2019 Annuity Trust I

Disclosed balance after: 843,617.1889

F1 · ownership.nature: Hercules Holding II ("Hercules") holds 68,912,077 shares of common stock of HCA Healthcare, Inc. Hercules is held by a private investor group, including affiliates of HCA Inc. founder Dr. Thomas F. Frist Jr. The Reporting Person may be deemed to be a member of a group exercising voting and investment control over the shares of common stock of HCA Healthcare, Inc. held by Hercules. However, the Reporting Person disclaims membership in any such group and disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein.

F2 · ownership.nature: The Reporting Person received gifts of 13,593.168989 and 315.234983 units of Hercules on May 21, 2019 and August 20, 2019, respectively, which were subsequently transferred to the Thomas F. Frist III 2019 Annuity Trust I, of which he serves as trustee. Following receipt of these gifts, the Reporting Person may be deemed the beneficial owner of the units of Hercules held by this trust and therefore may be deemed to own indirectly the same number of shares of common stock of HCA Healthcare, Inc.

SEC source: 0001209191-19-061980 · doc4.xml · nonDerivative · entry 2

Sowell Joseph A III · CIK 0001478415 · SVP; Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust (Reporting Person and Spouse, Trustees)

Disclosed balance after: 21,320

SEC source: 0001209191-19-061980 · doc4.xml · nonDerivative · entry 1

Sowell Joseph A III · CIK 0001478415 · SVP; Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 646

SEC source: 0001209191-19-029116 · doc4.xml · nonDerivative · entry 5

Foster Jon M · CIK 0001513235 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,344

SEC source: 0001209191-19-029116 · doc4.xml · nonDerivative · entry 4

Foster Jon M · CIK 0001513235 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,344

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $122.82 to $123.06, inclusive. The reporting person undertakes to provide to HCA Healthcare, Inc., any security holder of HCA Healthcare, Inc., 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 set forth in this footnote.

SEC source: 0001209191-19-029116 · doc4.xml · nonDerivative · entry 3

Foster Jon M · CIK 0001513235 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,802

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $121.79 to $122.73, inclusive. The reporting person undertakes to provide to HCA Healthcare, Inc., any security holder of HCA Healthcare, Inc., 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 set forth in this footnote.

SEC source: 0001209191-19-029116 · doc4.xml · derivative · entry 10

Foster Jon M · CIK 0001513235 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 60,000 shares

Expires 2023-02-06

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

F3 · derivative.exercise_date: The stock appreciation rights vested in four equal annual installments beginning on February 6, 2014.

SEC source: 0001209191-19-029116 · doc4.xml · nonDerivative · entry 2

Foster Jon M · CIK 0001513235 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,625

SEC source: 0001209191-19-029116 · doc4.xml · nonDerivative · entry 1

Foster Jon M · CIK 0001513235 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,052

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

SEC source: 0001209191-19-027449 · doc4.xml · nonDerivative · entry 1

MICHELSON MICHAEL W · CIK 0001182415 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,673

F1 · kind: Represents common stock underlying 1,410 restricted share units which shall vest on the sooner of the date of the Issuer's 2020 annual shareholders' meeting or the first anniversary of the grant date. Vested shares will be delivered to the reporting person on the date the reporting person ceases to be a member of the Board of Directors of the Issuer.

SEC source: 0001209191-19-027438 · doc4.xml · nonDerivative · entry 1

Dennis Robert J · CIK 0001295441 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,114

F1 · kind: Represents common stock underlying 1,410 restricted share units which shall vest on the sooner of the date of the Issuer's 2020 annual shareholders' meeting or the first anniversary of the grant date. Vested shares will be delivered to the reporting person on the date the reporting person ceases to be a member of the Board of Directors of the Issuer.

SEC source: 0001209191-19-027432 · doc4.xml · nonDerivative · entry 1

FRIST THOMAS F III · CIK 0001223892 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,312

F1 · kind: Represents common stock underlying 1,410 restricted share units which shall vest on the sooner of the date of the 2020 annual shareholders' meeting of HCA Healthcare, Inc. or the first anniversary of the grant date. Vested shares will be delivered to the Reporting Person on the date the Reporting Person ceases to be a member of the Board of Directors of HCA Healthcare, Inc.

SEC source: 0001209191-19-027452 · doc4.xml · nonDerivative · entry 1

ROWE JOHN W · CIK 0001181744 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,388

F1 · kind: Represents common stock underlying 1,410 restricted share units which shall vest on the sooner of the date of the Issuer's 2020 annual shareholders' meeting or the first anniversary of the grant date.

SEC source: 0001209191-19-027451 · doc4.xml · nonDerivative · entry 1

Riley Wayne Joseph · CIK 0001432895 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,101

F1 · kind: Represents common stock underlying 1,410 restricted share units which shall vest on the sooner of the date of the Issuer's 2020 annual shareholders' meeting or the first anniversary of the grant date.

SEC source: 0001209191-19-027448 · doc4.xml · nonDerivative · entry 1

MEYERS GEOFFREY G · CIK 0001197285 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,153

F1 · kind: Represents common stock underlying 1,410 restricted share units which shall vest on the sooner of the date of the Issuer's 2020 annual shareholders' meeting or the first anniversary of the grant date.

SEC source: 0001209191-19-027445 · doc4.xml · nonDerivative · entry 1

HOLLIDAY CHARLES O JR · CIK 0001127289 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,504

F1 · kind: Represents common stock underlying 1,410 restricted share units which shall vest on the sooner of the date of the Issuer's 2020 annual shareholders' meeting or the first anniversary of the grant date.

SEC source: 0001209191-19-027444 · doc4.xml · nonDerivative · entry 1

DEPARLE NANCY ANN · CIK 0001144511 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,032

F1 · kind: Represents common stock underlying 1,410 restricted share units which shall vest on the sooner of the date of the Issuer's 2020 annual shareholders' meeting or the first anniversary of the grant date.

F2 · balance_after: On May 4, 2018, a Form 4 was filed for the reporting person and due to a computational error, the cumulative amount in column 5 was incorrectly reported as 14,662 instead of 14,622. The amount of securities beneficially owned is corrected herein.

SEC source: 0001209191-19-027434 · doc4.xml · nonDerivative · entry 1

CROFTON MEG · CIK 0001665104 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,607

F1 · kind: Represents common stock underlying 1,410 restricted share units which shall vest on the sooner of the date of the Issuer's 2020 annual shareholders' meeting or the first anniversary of the grant date. Vested shares will be delivered to the reporting person on the date the reporting person ceases to be a member of the Board of Directors of the Issuer.

SEC source: 0001209191-19-027420 · doc4.xml · derivative · entry 1

CAMPBELL VICTOR L · CIK 0001216831 · SVP-Government Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 780

Underlying: Common Stock · 780 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units vest on February 1, 2020.

F2 · derivative.expiration_date: The restricted stock units vest on February 1, 2020.

SEC source: 0001209191-19-027409 · doc4.xml · nonDerivative · entry 1

Frist William R · CIK 0001433377 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,368

F1 · kind: Represents common stock underlying 1,410 restricted share units which shall vest on the sooner of the date of the 2020 annual shareholders' meeting of HCA Healthcare, Inc. or the first anniversary of the grant date. Vested shares will be delivered to the Reporting Person on the date the Reporting Person ceases to be a member of the Board of Directors of HCA Healthcare, Inc.

SEC source: 0001209191-19-016860 · doc4.xml · nonDerivative · entry 1

CROFTON MEG · CIK 0001665104 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197

F1 · kind: Represents common stock underlying 197 restricted share units which shall vest on the sooner of the date of the Issuer's 2019 annual shareholders' meeting or the first anniversary of the grant date. Vested shares will be delivered to the reporting person on the date the reporting person ceases to be a member of the Board of Directors of the Issuer.

SEC source: 0001209191-19-014295 · doc4.xml · derivative · entry 5

RUTHERFORD BILL B · CIK 0001216850 · CFO and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,330 shares

Expires 2026-02-25

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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 25, 2016, the reporting person was granted 4,659 restricted stock units, vesting in two equal annual installments beginning on the second anniversary of the grant date.

SEC source: 0001209191-19-014295 · doc4.xml · nonDerivative · entry 2

RUTHERFORD BILL B · CIK 0001216850 · CFO and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,533

SEC source: 0001209191-19-014295 · doc4.xml · nonDerivative · entry 1

RUTHERFORD BILL B · CIK 0001216850 · CFO and EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,450

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-014279 · doc4.xml · derivative · entry 3

Cuffe Michael S. · CIK 0001632835 · President-Physician Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,218 shares

Expires 2026-02-25

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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 25, 2016, the reporting person was granted 2,435 restricted stock units, vesting in two equal annual installments beginning on the second anniversary of the grant date.

SEC source: 0001209191-19-014279 · doc4.xml · nonDerivative · entry 2

Cuffe Michael S. · CIK 0001632835 · President-Physician Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,513.913

SEC source: 0001209191-19-014279 · doc4.xml · nonDerivative · entry 1

Cuffe Michael S. · CIK 0001632835 · President-Physician Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,815.913

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-014301 · doc4.xml · derivative · entry 3

WATERMAN ROBERT A · CIK 0001216856 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,802 shares

Expires 2026-02-25

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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 25, 2016, the reporting person was granted 3,603 restricted stock units, vesting in two equal annual installments beginning on the second anniversary of the grant date.

SEC source: 0001209191-19-014301 · doc4.xml · nonDerivative · entry 2

WATERMAN ROBERT A · CIK 0001216856 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,655

SEC source: 0001209191-19-014301 · doc4.xml · nonDerivative · entry 1

WATERMAN ROBERT A · CIK 0001216856 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 263,322

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-014299 · doc4.xml · derivative · entry 6

STEELE JOHN M · CIK 0001269276 · SVP & Chief Human Res. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,264 shares

Expires 2026-02-25

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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 25, 2016, the reporting person was granted 2,528 restricted stock units, vesting in two equal annual installments beginning on the second anniversary of the grant date.

SEC source: 0001209191-19-014299 · doc4.xml · nonDerivative · entry 2

STEELE JOHN M · CIK 0001269276 · SVP & Chief Human Res. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,157

SEC source: 0001209191-19-014299 · doc4.xml · nonDerivative · entry 1

STEELE JOHN M · CIK 0001269276 · SVP & Chief Human Res. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,625

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-014298 · doc4.xml · derivative · entry 4

Sowell Joseph A III · CIK 0001478415 · SVP; Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,085 shares

Expires 2026-02-25

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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 25, 2016, the reporting person was granted 2,170 restricted stock units, vesting in two equal annual installments beginning on the second anniversary of the grant date.

SEC source: 0001209191-19-014298 · doc4.xml · nonDerivative · entry 2

Sowell Joseph A III · CIK 0001478415 · SVP; Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,966

SEC source: 0001209191-19-014298 · doc4.xml · nonDerivative · entry 1

Sowell Joseph A III · CIK 0001478415 · SVP; Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,405

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-014292 · doc4.xml · derivative · entry 4

Paslick P. Martin · CIK 0001551011 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,099 shares

Expires 2026-02-25

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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 25, 2016, the reporting person was granted 2,198 restricted stock units, vesting in two equal annual installments beginning on the second anniversary of the grant date.

SEC source: 0001209191-19-014292 · doc4.xml · nonDerivative · entry 2

Paslick P. Martin · CIK 0001551011 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,406

SEC source: 0001209191-19-014292 · doc4.xml · nonDerivative · entry 1

Paslick P. Martin · CIK 0001551011 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,813

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-014293 · doc4.xml · derivative · entry 5

Perlin Jonathan B · CIK 0001373493 · Pres-Clinical Services & CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,903 shares

Expires 2026-02-25

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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 25, 2016, the reporting person was granted 3,805 restricted stock units, vesting in two equal annual installments beginning on the second anniversary of the grant date.

SEC source: 0001209191-19-014293 · doc4.xml · nonDerivative · entry 2

Perlin Jonathan B · CIK 0001373493 · Pres-Clinical Services & CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,511.6171

SEC source: 0001209191-19-014293 · doc4.xml · nonDerivative · entry 1

Perlin Jonathan B · CIK 0001373493 · Pres-Clinical Services & CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,216.6171

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 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-19-014290 · doc4.xml · derivative · entry 3

Morgan Sandra L. · CIK 0001632836 · SVP-Provider Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 677 shares

Expires 2026-02-25

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 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On February 25, 2016, the reporting person was granted 1,353 restricted stock units, vesting in two equal annual installments beginning on the second anniversary of the grant date.

SEC source: 0001209191-19-014290 · doc4.xml · nonDerivative · entry 2

Morgan Sandra L. · CIK 0001632836 · SVP-Provider Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,602.8654

SEC source: 0001209191-19-014290 · doc4.xml · nonDerivative · entry 1

Morgan Sandra L. · CIK 0001632836 · SVP-Provider Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,751.8654

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 · price: Restricted stock units convert into common stock on a one-for-one basis.