ICUI

SEC source: 0001698998-23-000003 · edgardoc.xml · nonDerivative · entry 1

Woolson Daniel · CIK 0001698998 · VP, GM-Infusion Capital

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,877

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.96 to $88.125, 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: 0001727477-23-000003 · edgardoc.xml · nonDerivative · entry 2

Voigtlander Christian B. · CIK 0001727477 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,603

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $129.60 to $129.91, 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: 0001727477-23-000003 · edgardoc.xml · nonDerivative · entry 1

Voigtlander Christian B. · CIK 0001727477 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,291

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $128.54 to $129.48, 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: 0001410442-23-000005 · edgardoc.xml · derivative · entry 4

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 146,366

Underlying: Common Stock · 30,000 shares

Expires 2024-02-24

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000005 · edgardoc.xml · nonDerivative · entry 2

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,677

F1 · shares: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $180.00 to $180.215, 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: 0001410442-23-000005 · edgardoc.xml · nonDerivative · entry 1

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 53,677

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · derivative · entry 31

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 176,366

Underlying: Common Stock · 100 shares

Expires 2024-02-24

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · derivative · entry 30

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 176,466

Underlying: Common Stock · 2,418 shares

Expires 2024-02-24

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · derivative · entry 29

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 178,884

Underlying: Common Stock · 2,104 shares

Expires 2024-02-24

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · derivative · entry 28

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 180,988

Underlying: Common Stock · 1,601 shares

Expires 2024-02-24

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · derivative · entry 27

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 182,589

Underlying: Common Stock · 1,699 shares

Expires 2024-02-24

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · derivative · entry 26

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 184,288

Underlying: Common Stock · 785 shares

Expires 2024-02-24

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · derivative · entry 25

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 185,073

Underlying: Common Stock · 8,163 shares

Expires 2024-02-24

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · derivative · entry 24

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 193,236

Underlying: Common Stock · 2,781 shares

Expires 2024-02-24

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · derivative · entry 23

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 196,017

Underlying: Common Stock · 3,637 shares

Expires 2024-02-24

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · derivative · entry 22

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 199,654

Underlying: Common Stock · 6,712 shares

Expires 2024-02-24

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 20

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,677

F1 · shares: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

F11 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $192.52 to $193.515, 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: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 19

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,781

F1 · shares: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

F10 · price: All shares sold were sold at the exact price disclosed.

SEC source: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 18

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,881

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 17

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,781

F1 · shares: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

F9 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $193.58 to $194.21, 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: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 16

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 28,199

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 15

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,781

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 14

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,677

F1 · shares: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

F8 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $191.44 to $192.385, 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: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 13

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,278

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 12

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,677

F1 · shares: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

F7 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $190.16 to $191.12, 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: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 11

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 25,376

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 10

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,677

F1 · shares: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $189.06 to $189.89, 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: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 9

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 24,462

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 8

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,677

F1 · shares: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

F5 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $188.06 to $189.03, 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: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 7

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 31,840

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 6

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,677

F1 · shares: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $187.05 to $188.03, 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: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 5

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 26,458

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 4

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,677

F1 · shares: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $186.05 to $187.04, 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: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 3

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 27,314

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 2

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 23,677

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $185.04 to $186.03, 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: 0001410442-23-000004 · edgardoc.xml · nonDerivative · entry 1

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 30,389

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: The option exercises/sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 Plan adopted by the reporting person on March 15, 2023.

SEC source: 0001209191-23-035081 · doc4.xml · nonDerivative · entry 1

FINNEY ELISHA W · CIK 0001217439 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 1,481

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 March 8, 2023.

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

SEC source: 0001410442-23-000003 · edgardoc.xml · nonDerivative · entry 1

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,677

F1 · price: This was a bona fide gift with no payment in consideration

SEC source: 0001669639-23-000004 · edgardoc.xml · derivative · entry 1

Sanzone Virginia Ruth · CIK 0001669639 · VP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,872

Underlying: Common Stock · 4,872 shares

Expires 2026-03-15

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. These awards were legally granted on March 15, 2023 but were subject to shareholder approval on May 17, 2023.

SEC source: 0001727477-23-000002 · edgardoc.xml · derivative · entry 1

Voigtlander Christian B. · CIK 0001727477 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,743

Underlying: Common Stock · 9,743 shares

Expires 2026-03-15

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. These awards were legally granted on March 15, 2023 but were subject to shareholder approval on May 17, 2023.

SEC source: 0001804831-23-000002 · edgardoc.xml · derivative · entry 1

Bonnell Brian Michael · CIK 0001804831 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,743

Underlying: Common Stock · 9,743 shares

Expires 2026-03-15

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. These awards were legally granted on March 15, 2023 but were subject to shareholder approval on May 17, 2023.

SEC source: 0001410442-23-000002 · edgardoc.xml · derivative · entry 1

Jain Vivek · CIK 0001410442 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,615

Underlying: Common Stock · 14,615 shares

Expires 2026-03-15

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. These awards were legally granted on March 15, 2023 but were subject to shareholder approval on May 17, 2023.

SEC source: 0001209191-23-030521 · doc4.xml · derivative · entry 3

KENNEDY KOLLEEN T · CIK 0001531738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 948

Underlying: Common Stock · 948 shares

Expires 2024-05-17

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: These Restricted Stock Units vest on the anniversary of the date of the award or the following annual stockholder meeting, whichever occurs first.

SEC source: 0001209191-23-030521 · doc4.xml · derivative · entry 2

KENNEDY KOLLEEN T · CIK 0001531738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 485 shares

Expires 2023-05-17

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

F3 · derivative.exercise_date: These Restricted Stock Units vest on the anniversary of the date of the award or the following annual stockholder meeting, whichever occurs first.

SEC source: 0001209191-23-030521 · doc4.xml · nonDerivative · entry 1

KENNEDY KOLLEEN T · CIK 0001531738 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 614

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

SEC source: 0001209191-23-030520 · doc4.xml · derivative · entry 3

Hoffmeister David F · CIK 0001305975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 948

Underlying: Common Stock · 948 shares

Expires 2024-05-17

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: These Restricted Stock Units vest on the anniversary of the date of the award or the following annual stockholder meeting, whichever occurs first.

SEC source: 0001209191-23-030520 · doc4.xml · derivative · entry 2

Hoffmeister David F · CIK 0001305975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 485 shares

Expires 2023-05-17

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

F3 · derivative.exercise_date: These Restricted Stock Units vest on the anniversary of the date of the award or the following annual stockholder meeting, whichever occurs first.

SEC source: 0001209191-23-030520 · doc4.xml · nonDerivative · entry 1

Hoffmeister David F · CIK 0001305975 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,079

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

SEC source: 0001209191-23-030519 · doc4.xml · derivative · entry 3

FINNEY ELISHA W · CIK 0001217439 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 948

Underlying: Common Stock · 948 shares

Expires 2024-05-17

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: These Restricted Stock Units vest on the anniversary of the date of the award or the following annual stockholder meeting, whichever occurs first.

SEC source: 0001209191-23-030519 · doc4.xml · derivative · entry 2

FINNEY ELISHA W · CIK 0001217439 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 485 shares

Expires 2023-05-17

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

F3 · derivative.exercise_date: These Restricted Stock Units vest on the anniversary of the date of the award or the following annual stockholder meeting, whichever occurs first.