ICUI

SEC source: 0001727477-18-000010 · edgardoc.xml · nonDerivative · entry 2

Voigtlander Christian B. · CIK 0001727477 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,209

SEC source: 0001727477-18-000010 · edgardoc.xml · nonDerivative · entry 1

Voigtlander Christian B. · CIK 0001727477 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,414

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 · security: These securities are Restricted Stock Units.

SEC source: 0001669639-18-000004 · edgardoc.xml · derivative · entry 3

Sanzone Virginia Ruth · CIK 0001669639 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,186

Underlying: Common Stock · 592 shares

Expires 2020-03-27

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 · security: These securities are Restricted Stock Units.

F2 · derivative.exercise_price: There is neither a purchase price nor an exercise price for the Restricted Stock Units.

F3 · derivative.exercise_date: One third of the units subject to the award shall vest on each of the first, second, and third anniversaries of the grant date.

SEC source: 0001669639-18-000004 · edgardoc.xml · nonDerivative · entry 2

Sanzone Virginia Ruth · CIK 0001669639 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,117

SEC source: 0001669639-18-000004 · edgardoc.xml · nonDerivative · entry 1

Sanzone Virginia Ruth · CIK 0001669639 · VP, General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,322

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 · security: These securities are Restricted Stock Units.

SEC source: 0001615192-18-000007 · edgardoc.xml · derivative · entry 3

McGrody Kevin J · CIK 0001615192 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,293

Underlying: Common Stock · 646 shares

Expires 2020-03-27

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 · security: These securities are Restricted Stock Units.

F2 · derivative.exercise_price: There is neither a purchase price nor an exercise price for the Restricted Stock Units.

F3 · derivative.exercise_date: One third of the units subject to the award shall vest on each of the first, second, and third anniversaries of the grant date.

SEC source: 0001615192-18-000007 · edgardoc.xml · nonDerivative · entry 2

McGrody Kevin J · CIK 0001615192 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,259

SEC source: 0001615192-18-000007 · edgardoc.xml · nonDerivative · entry 1

McGrody Kevin J · CIK 0001615192 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,483

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 · security: These securities are Restricted Stock Units.

SEC source: 0001375852-18-000008 · edgardoc.xml · derivative · entry 3

Lamb Scott E · CIK 0001375852 · Chief Financial Officer,

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,186

Underlying: Common Stock · 592 shares

Expires 2020-03-27

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 · security: These securities are Restricted Stock Units.

F2 · derivative.exercise_price: There is neither a purchase price nor an exercise price for the Restricted Stock Units.

F3 · derivative.exercise_date: One third of the units subject to the award shall vest on each of the first, second, and third anniversaries of the grant date.

SEC source: 0001375852-18-000008 · edgardoc.xml · nonDerivative · entry 2

Lamb Scott E · CIK 0001375852 · Chief Financial Officer,

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,605

SEC source: 0001375852-18-000008 · edgardoc.xml · nonDerivative · entry 1

Lamb Scott E · CIK 0001375852 · Chief Financial Officer,

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,899

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 · security: These securities are Restricted Stock Units.

SEC source: 0001615186-18-000006 · edgardoc.xml · derivative · entry 3

McCall Thomas D · CIK 0001615186 · Vice President and Gen'l Mgr.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 701

Underlying: Common Stock · 350 shares

Expires 2020-03-27

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 · security: These securities are Restricted Stock Units.

F2 · derivative.exercise_price: There is neither a purchase price nor an exercise price for the Restricted Stock Units.

F3 · derivative.exercise_date: One third of the units subject to the award shall vest on each of the first, second, and third anniversaries of the grant date.

SEC source: 0001615186-18-000006 · edgardoc.xml · nonDerivative · entry 2

McCall Thomas D · CIK 0001615186 · Vice President and Gen'l Mgr.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,191

SEC source: 0001615186-18-000006 · edgardoc.xml · nonDerivative · entry 1

McCall Thomas D · CIK 0001615186 · Vice President and Gen'l Mgr.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,313

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 · security: These securities are Restricted Stock Units.

SEC source: 0001189727-18-000007 · edgardoc.xml · derivative · entry 3

BURCAR ALISON D · CIK 0001189727 · Vice President and Gen'l Mgr.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,024

Underlying: Common Stock · 511 shares

Expires 2020-03-27

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 · security: These securities are Restricted Stock Units.

F2 · derivative.exercise_price: There is neither a purchase price nor an exercise price for the Restricted Stock Units.

F3 · derivative.exercise_date: One third of the units subject to the award shall vest on each of the first, second, and third anniversaries of the grant date.

SEC source: 0001189727-18-000007 · edgardoc.xml · nonDerivative · entry 2

BURCAR ALISON D · CIK 0001189727 · Vice President and Gen'l Mgr.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,203

SEC source: 0001189727-18-000007 · edgardoc.xml · nonDerivative · entry 1

BURCAR ALISON D · CIK 0001189727 · Vice President and Gen'l Mgr.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,380

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 · security: These securities are Restricted Stock Units.

SEC source: 0001410442-18-000009 · edgardoc.xml · derivative · entry 3

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,986

Underlying: Common Stock · 1,992 shares

Expires 2020-03-27

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 · security: These securities are Restricted Stock Units.

F2 · derivative.exercise_price: There is neither a purchase price nor an exercise price for the Restricted Stock Units.

F3 · derivative.exercise_date: One third of the units subject to the award shall vest on each of the first, second, and third anniversaries of the grant date.

SEC source: 0001410442-18-000009 · edgardoc.xml · nonDerivative · entry 2

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,193

SEC source: 0001410442-18-000009 · edgardoc.xml · nonDerivative · entry 1

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,181

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 · security: These securities are Restricted Stock Units.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 17

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 494,716

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 November 27, 2017.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 16

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 495,116

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 November 27, 2017.

F15 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $254.90 to $255.90 inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 15

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 496,919

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 November 27, 2017.

F14 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $253.75 to $254.75 inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 14

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 499,332

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 November 27, 2017.

F13 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $252.70 to $253.60 inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 13

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,846

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 November 27, 2017.

F12 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $251.35 to $252.10 inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 12

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 502,156

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 November 27, 2017.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 11

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 502,256

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 November 27, 2017.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 10

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 502,356

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 November 27, 2017.

F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $252.45 to $253.25 inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 9

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 506,213

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 November 27, 2017.

F10 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $251.40 to $252.40 inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 8

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 508,915

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 November 27, 2017.

F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.35 to $251.35 inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 7

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 513,673

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 November 27, 2017.

F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $249.30 to $250.20 inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 6

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 514,273

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 November 27, 2017.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $252.15 to $253.05 inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 5

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 515,174

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 November 27, 2017.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $251.10 to $252.10 inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 4

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 517,803

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 November 27, 2017.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $250.00 to $251.00 inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 3

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 519,803

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 November 27, 2017.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $248.95 to $249.85, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 2

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 521,607

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 November 27, 2017.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $247.80 to $248.75, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001073397-18-000002 · edgardoc.xml · nonDerivative · entry 1

LOPEZ GEORGE A · CIK 0001073397 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 526,574

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 November 27, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $246.75 to $247.70, inclusive. The reporting person undertakes to provide ICU Medical, Inc., any security holder of ICU Medical, 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 Form 4.

SEC source: 0001727477-18-000008 · edgardoc.xml · derivative · entry 1

Voigtlander Christian B. · CIK 0001727477 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,520

Underlying: Common Stock · 3,520 shares

Expires 2021-03-06

F1 · security: These securities are Restricted Stock Units.

F2 · derivative.exercise_price: There is neither a purchase price nor an exercise price for the Restricted Stock Units.

F3 · derivative.exercise_date: One third of the units subject to the award shall vest on each of the first, second, and third anniversaries of the grant date.

SEC source: 0001410442-18-000007 · edgardoc.xml · derivative · entry 1

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,043

Underlying: Common Stock · 8,043 shares

Expires 2021-03-06

F1 · security: These securities are Restricted Stock Units.

F2 · derivative.exercise_price: There is neither a purchase price nor an exercise price for the Restricted Stock Units.

F3 · derivative.exercise_date: One third of the units subject to the award shall vest on each of the first, second, and third anniversaries of the grant date.

SEC source: 0001615192-18-000010 · edgardoc.xml · derivative · entry 1

McGrody Kevin J · CIK 0001615192 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,011

Underlying: Common Stock · 2,011 shares

Expires 2021-03-06

F1 · security: These securities are Restricted Stock Units.

F2 · derivative.exercise_price: There is neither a purchase price nor an exercise price for the Restricted Stock Units.

F3 · derivative.exercise_date: One third of the units subject to the award shall vest on each of the first, second, and third anniversaries of the grant date.

SEC source: 0001073398-18-000005 · edgardoc.xml · derivative · entry 4

SWINNEY ROBERT S · CIK 0001073398 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,500 shares

Expires 2018-04-21

F3 · derivative.exercise_date: Options exercisable in four equal annual cumulative installments commencing one year after the grant date.

SEC source: 0001073398-18-000005 · edgardoc.xml · nonDerivative · entry 2

SWINNEY ROBERT S · CIK 0001073398 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,908

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, 2017.

F2 · price: All shares sold were sold at the exact price disclosed.

SEC source: 0001073398-18-000005 · edgardoc.xml · nonDerivative · entry 1

SWINNEY ROBERT S · CIK 0001073398 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,606

SEC source: 0001189727-18-000004 · edgardoc.xml · derivative · entry 3

BURCAR ALISON D · CIK 0001189727 · Vice President and Gen'l Mgr.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,183 shares

Expires 2018-02-11

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.

F1 · security: These securities are Restricted Stock Units.

F2 · derivative.exercise_price: There is neither a purchase price nor an exercise price for the Restricted Stock Units.

F3 · derivative.exercise_date: One third of the units subject to the award shall vest on each of the first, second, and third anniversaries of the grant date.

SEC source: 0001189727-18-000004 · edgardoc.xml · nonDerivative · entry 2

BURCAR ALISON D · CIK 0001189727 · Vice President and Gen'l Mgr.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,869

SEC source: 0001189727-18-000004 · edgardoc.xml · nonDerivative · entry 1

BURCAR ALISON D · CIK 0001189727 · Vice President and Gen'l Mgr.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,279

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 · security: These securities are Restricted Stock Units.

SEC source: 0001189724-18-000004 · edgardoc.xml · derivative · entry 3

RIGGS STEVEN · CIK 0001189724 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,355 shares

Expires 2018-02-11

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.

F1 · security: These securities are Restricted Stock Units.

F2 · derivative.exercise_price: There is neither a purchase price nor an exercise price for the Restricted Stock Units.

F3 · derivative.exercise_date: One third of the units subject to the award shall vest on each of the first, second, and third anniversaries of the grant date.

SEC source: 0001189724-18-000004 · edgardoc.xml · nonDerivative · entry 2

RIGGS STEVEN · CIK 0001189724 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,127

SEC source: 0001189724-18-000004 · edgardoc.xml · nonDerivative · entry 1

RIGGS STEVEN · CIK 0001189724 · VP Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,596

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 · security: These securities are Restricted Stock Units.

SEC source: 0001615192-18-000005 · edgardoc.xml · derivative · entry 3

McGrody Kevin J · CIK 0001615192 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 282 shares

Expires 2018-02-11

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.

F1 · security: These securities are Restricted Stock Units.

F2 · derivative.exercise_price: There is neither a purchase price nor an exercise price for the Restricted Stock Units.

F3 · derivative.exercise_date: One third of the units subject to the award shall vest on each of the first, second, and third anniversaries of the grant date.