ISRG

SEC source: 0001035267-19-000160 · edgardoc.xml · nonDerivative · entry 1

Samath Jamie · CIK 0001330269 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on November 5, 2020.

SEC source: 0001035267-19-000158 · edgardoc.xml · derivative · entry 4

GUTHART GARY S · CIK 0001280628 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,750

Underlying: Common Stock · 31,875 shares

Expires 2021-02-15

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 · kind: The transaction took place in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on November 5, 2020.

F4 · derivative.exercise_date: Non-statutory stock option granted pursuant to the 2010 Incentive Award Plan. Option shall vest 1/8 six months after the date of grant and 1/48th each month thereafter.

SEC source: 0001035267-19-000158 · edgardoc.xml · nonDerivative · entry 2

GUTHART GARY S · CIK 0001280628 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,728

F1 · kind: The transaction took place in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on November 5, 2020.

F2 · price: The average selling price for the transactions was $582.1183 The shares sold at: $579.00 to $579.99 = 878 shares; $580.00 to $580.99 = 4,613 shares; $581.00 - $581.99 = 4,676 shares; $582.00 - $582.99 = 5,680 shares; $583.00 - $583.99 = 4,530 shares; $584.00 - $584.99 = 1,900 shares; $585.00 - $585.99 = 100 shares.

SEC source: 0001035267-19-000158 · edgardoc.xml · nonDerivative · entry 1

GUTHART GARY S · CIK 0001280628 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 396,105

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 · kind: The transaction took place in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on November 5, 2020.

SEC source: 0001035267-19-000156 · edgardoc.xml · derivative · entry 25

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,657

Underlying: Common Stock · 843 shares

Expires 2029-02-15

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F4 · derivative.exercise_date: Non-statutory stock option granted pursuant to the 2010 Employee Stock Option Plan. The option vests 1/8th six months after the date of grant and 1/48th monthly thereafter.

SEC source: 0001035267-19-000156 · edgardoc.xml · derivative · entry 24

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,515

Underlying: Common Stock · 2,735 shares

Expires 2028-08-15

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F5 · derivative.exercise_date: Non-statutory stock option granted pursuant to the 2010 Employee Stock Option Plan. Option shall vest 7/48 one month after the date of grant and 1/48th each month thereafter.

SEC source: 0001035267-19-000156 · edgardoc.xml · derivative · entry 23

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,656

Underlying: Common Stock · 844 shares

Expires 2029-08-15

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F5 · derivative.exercise_date: Non-statutory stock option granted pursuant to the 2010 Employee Stock Option Plan. Option shall vest 7/48 one month after the date of grant and 1/48th each month thereafter.

SEC source: 0001035267-19-000156 · edgardoc.xml · derivative · entry 22

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,516

Underlying: Common Stock · 2,734 shares

Expires 2028-02-15

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F4 · derivative.exercise_date: Non-statutory stock option granted pursuant to the 2010 Employee Stock Option Plan. The option vests 1/8th six months after the date of grant and 1/48th monthly thereafter.

SEC source: 0001035267-19-000156 · edgardoc.xml · derivative · entry 21

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,812

Underlying: Common Stock · 2,812 shares

Expires 2027-08-15

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F5 · derivative.exercise_date: Non-statutory stock option granted pursuant to the 2010 Employee Stock Option Plan. Option shall vest 7/48 one month after the date of grant and 1/48th each month thereafter.

SEC source: 0001035267-19-000156 · edgardoc.xml · derivative · entry 20

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,811

Underlying: Common Stock · 563 shares

Expires 2027-02-15

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F4 · derivative.exercise_date: Non-statutory stock option granted pursuant to the 2010 Employee Stock Option Plan. The option vests 1/8th six months after the date of grant and 1/48th monthly thereafter.

SEC source: 0001035267-19-000156 · edgardoc.xml · derivative · entry 19

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305

Underlying: Common Stock · 305 shares

Expires 2026-08-15

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F5 · derivative.exercise_date: Non-statutory stock option granted pursuant to the 2010 Employee Stock Option Plan. Option shall vest 7/48 one month after the date of grant and 1/48th each month thereafter.

SEC source: 0001035267-19-000156 · edgardoc.xml · derivative · entry 18

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 305

Underlying: Common Stock · 304 shares

Expires 2026-02-16

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F4 · derivative.exercise_date: Non-statutory stock option granted pursuant to the 2010 Employee Stock Option Plan. The option vests 1/8th six months after the date of grant and 1/48th monthly thereafter.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 17

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,143

F1 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 16

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,371

F1 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F3 · price: The average selling price for the transactions was $586.656974. The shares sold at $583.7-$584.7 = 1,013; shares sold at 548.9-$585.09 = 500; shares sold at $585.12 - $586.04 = 1,336; shares sold at $586.15 - $587.14 = 1,614; shares sold at $587.18 - $588.23 = 1,405; shares sold at $590 - $590.395 = 850.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 15

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,675

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 14

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,371

F1 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F3 · price: The average selling price for the transactions was $586.656974. The shares sold at $583.7-$584.7 = 1,013; shares sold at 548.9-$585.09 = 500; shares sold at $585.12 - $586.04 = 1,336; shares sold at $586.15 - $587.14 = 1,614; shares sold at $587.18 - $588.23 = 1,405; shares sold at $590 - $590.395 = 850.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 13

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,676

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 12

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,371

F1 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F3 · price: The average selling price for the transactions was $586.656974. The shares sold at $583.7-$584.7 = 1,013; shares sold at 548.9-$585.09 = 500; shares sold at $585.12 - $586.04 = 1,336; shares sold at $586.15 - $587.14 = 1,614; shares sold at $587.18 - $588.23 = 1,405; shares sold at $590 - $590.395 = 850.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 11

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,934

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 10

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,371

F1 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F3 · price: The average selling price for the transactions was $586.656974. The shares sold at $583.7-$584.7 = 1,013; shares sold at 548.9-$585.09 = 500; shares sold at $585.12 - $586.04 = 1,336; shares sold at $586.15 - $587.14 = 1,614; shares sold at $587.18 - $588.23 = 1,405; shares sold at $590 - $590.395 = 850.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 9

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,183

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 8

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,371

F1 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F3 · price: The average selling price for the transactions was $586.656974. The shares sold at $583.7-$584.7 = 1,013; shares sold at 548.9-$585.09 = 500; shares sold at $585.12 - $586.04 = 1,336; shares sold at $586.15 - $587.14 = 1,614; shares sold at $587.18 - $588.23 = 1,405; shares sold at $590 - $590.395 = 850.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 7

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,105

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 6

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,371

F1 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F2 · price: The average selling price for the transactions was $586.686174. The shares sold at: $583.69- $584.7 = 800 shares; $584.00- $585.94 = 900 shares;$585.94- $587= 1302 shares; $587.14 - $588.04 = 570 shares; and $590.00 - $590.34 = 850 shares.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 5

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,106

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 4

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,371

F1 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F2 · price: The average selling price for the transactions was $586.686174. The shares sold at: $583.69- $584.7 = 800 shares; $584.00- $585.94 = 900 shares;$585.94- $587= 1302 shares; $587.14 - $588.04 = 570 shares; and $590.00 - $590.34 = 850 shares.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 3

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,215

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 2

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,371

F1 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

F2 · price: The average selling price for the transactions was $586.686174. The shares sold at: $583.69- $584.7 = 800 shares; $584.00- $585.94 = 900 shares;$585.94- $587= 1302 shares; $587.14 - $588.04 = 570 shares; and $590.00 - $590.34 = 850 shares.

SEC source: 0001035267-19-000156 · edgardoc.xml · nonDerivative · entry 1

Brogna Salvatore · CIK 0001519413 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,214

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on September 9, 2020.

SEC source: 0001035267-19-000163 · edgardoc.xml · nonDerivative · entry 7

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 347,691

F2 · kind: These shares were gifted from the account of Lonnie Smith & Cheryl Smith, Community Property to an indirect holding, McKram Investment Capital, LLC.

SEC source: 0001035267-19-000163 · edgardoc.xml · nonDerivative · entry 2

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,952

F2 · kind: These shares were gifted from the account of Lonnie Smith & Cheryl Smith, Community Property to an indirect holding, McKram Investment Capital, LLC.

SEC source: 0001035267-19-000155 · edgardoc.xml · derivative · entry 3

RUBASH MARK J · CIK 0001209186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,000 shares

Expires 2022-04-19

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 · kind: The trades are in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on July 27, 2020.

F2 · derivative.exercise_date: Non-statutory stock option granted pursuant to the Non-Employee Directors' Stock Option Plan. Option shall vest 100% one year after the date of grant or at the next Shareholders Meeting, whichever should take place first, provided that vesting will cease on termination of the Directors service to the Company.

SEC source: 0001035267-19-000155 · edgardoc.xml · nonDerivative · entry 2

RUBASH MARK J · CIK 0001209186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,298

F1 · kind: The trades are in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on July 27, 2020.

SEC source: 0001035267-19-000155 · edgardoc.xml · nonDerivative · entry 1

RUBASH MARK J · CIK 0001209186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,298

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 · kind: The trades are in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on July 27, 2020.

SEC source: 0001035267-19-000163 · edgardoc.xml · nonDerivative · entry 6

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 287,691

F4 · kind: The shares were distributed from an indirect holding, McKram Investors, LP. to various children of the holder.

SEC source: 0001035267-19-000163 · edgardoc.xml · nonDerivative · entry 5

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 290,656

F3 · kind: These shares were gifted from the indirect holding of McKram Investors, LP. to an indirect holding, McKram Holdings, LLC.

SEC source: 0001035267-19-000163 · edgardoc.xml · nonDerivative · entry 4

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 290,572

F3 · kind: These shares were gifted from the indirect holding of McKram Investors, LP. to an indirect holding, McKram Holdings, LLC.

SEC source: 0001035267-19-000153 · edgardoc.xml · nonDerivative · entry 3

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 260,656

F2 · kind: The shares were sold from the Lonnie M. Smith 2013 Charitable Remainder Unitrust, from which Mr. Smith is not an Investment Advisor.

SEC source: 0001035267-19-000149 · edgardoc.xml · nonDerivative · entry 1

Rosa David J. · CIK 0001519593 · EVP and Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,360

F1 · kind: The filer gifted shares to Biola University, Inc.

SEC source: 0001035267-19-000151 · edgardoc.xml · nonDerivative · entry 1

Leonard Keith R · CIK 0001416180 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 332

F1 · kind: The filer gifted shares acquired through an RSU award granted 4/2017 to the Leonard Charitable Reminder Unit Trust (CRUT). Mr. Leonard is not an investment advisor for this trust.

SEC source: 0001035267-19-000163 · edgardoc.xml · nonDerivative · entry 3

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 290,861

F1 · kind: These shares were transferred from the account of Lonnie Smith & Cheryl Smith, Community Property to an indirect holding, The Trust Company of Oxford, Trustee U/A 11/1/19 Lonnie M. Smith GRAT No. 16.

SEC source: 0001035267-19-000163 · edgardoc.xml · nonDerivative · entry 1

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,952

F1 · kind: These shares were transferred from the account of Lonnie Smith & Cheryl Smith, Community Property to an indirect holding, The Trust Company of Oxford, Trustee U/A 11/1/19 Lonnie M. Smith GRAT No. 16.

SEC source: 0001035267-19-000147 · edgardoc.xml · nonDerivative · entry 1

Myriam Curet · CIK 0001632901 · EVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,018

F1 · kind: The filer gifted shares to The University of New Mexico Foundation Inc.

SEC source: 0001035267-19-000146 · edgardoc.xml · derivative · entry 5

MOHR MARSHALL · CIK 0001252986 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,500

Underlying: Common Stock · 7,500 shares

Expires 2021-02-15

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 · kind: The trades are in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on December 1, 2020.

F4 · derivative.exercise_date: Non-statutory stock option granted pursuant to the 2010 Incentive Award Plan. Option shall vest 1/8 six months after the date of grant and 1/48th each month thereafter.

SEC source: 0001035267-19-000146 · edgardoc.xml · nonDerivative · entry 3

MOHR MARSHALL · CIK 0001252986 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,401

F3 · kind: These shares were donated to a Charitable Fund in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on December 1, 2020.

SEC source: 0001035267-19-000146 · edgardoc.xml · nonDerivative · entry 2

MOHR MARSHALL · CIK 0001252986 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,635

F1 · kind: The trades are in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on December 1, 2020.

F2 · price: The average selling price for the transactions was $548.434412. The shares sold at: $546.00 - $546.99 = 100 shares; $547.00 - $547.99 = 900 shares; $548.00 - $548.99 = 4,398 shares;$549.00 - $549.99 = 1,800 shares; $550.00 - $550.99 = 38 shares; and $551.00 - $551.99 = 264 shares.

SEC source: 0001035267-19-000146 · edgardoc.xml · nonDerivative · entry 1

MOHR MARSHALL · CIK 0001252986 · Executive VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,135

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 · kind: The trades are in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on December 1, 2020.

SEC source: 0001035267-19-000153 · edgardoc.xml · nonDerivative · entry 2

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 260,861

F1 · kind: Shares were distributed by Lonnie M. Smith Poly-Wood GRAT U/A 08/19/15, the Trust Company of Oxford, Trustee to Lonnie Smith & Cheryl Smith, Community Property.

SEC source: 0001035267-19-000153 · edgardoc.xml · nonDerivative · entry 1

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,952

F1 · kind: Shares were distributed by Lonnie M. Smith Poly-Wood GRAT U/A 08/19/15, the Trust Company of Oxford, Trustee to Lonnie Smith & Cheryl Smith, Community Property.

SEC source: 0001035267-19-000141 · edgardoc.xml · derivative · entry 15

Samath Jamie · CIK 0001330269 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,007

Underlying: Common Stock · 287 shares

Expires 2028-02-15

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 · kind: These shares were sold in accordance with a Trading Plan that complies with SEC Rule 10b5-1 and expires on November 4, 2019.

F2 · derivative.exercise_date: Non-statutory stock option granted pursuant to the 2010 Employee Stock Option Plan. The option vests 1/8th six months after the date of grant and 1/48th monthly thereafter.