ISRG

SEC source: 0001035267-17-000151 · edgardoc.xml · derivative · entry 5

LEVY ALAN J · CIK 0001280627 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,061 shares

Expires 2021-04-21

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 · deemedExecutionDate: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

F3 · 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: 0001035267-17-000151 · edgardoc.xml · nonDerivative · entry 4

LEVY ALAN J · CIK 0001280627 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,639

F1 · date: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on November 29, 2016.

SEC source: 0001035267-17-000151 · edgardoc.xml · nonDerivative · entry 3

LEVY ALAN J · CIK 0001280627 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,700

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 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000151 · edgardoc.xml · nonDerivative · entry 2

LEVY ALAN J · CIK 0001280627 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,639

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on November 29, 2016.

F1 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000151 · edgardoc.xml · nonDerivative · entry 1

LEVY ALAN J · CIK 0001280627 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,575

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 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000153 · edgardoc.xml · nonDerivative · entry 1

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 559,410

F1 · kind: These shares were sold pursuant to a 10b5-1 trading plan adopted by the reporting person on September 6,2017.

F2 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000155 · edgardoc.xml · nonDerivative · entry 1

MOHR MARSHALL · CIK 0001252986 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,316

F1 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000154 · edgardoc.xml · derivative · entry 9

RUBASH MARK J · CIK 0001209186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Common Stock · 3,000 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 · deemedExecutionDate: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

F3 · 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.

F1 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000154 · edgardoc.xml · derivative · entry 8

RUBASH MARK J · CIK 0001209186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189

Underlying: Common Stock · 3,000 shares

Expires 2024-04-24

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.

F3 · 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.

F1 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000154 · edgardoc.xml · derivative · entry 7

RUBASH MARK J · CIK 0001209186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 750 shares

Expires 2021-04-21

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: 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.

F1 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000154 · edgardoc.xml · nonDerivative · entry 6

RUBASH MARK J · CIK 0001209186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,453

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on August 21, 2017.

F1 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000154 · edgardoc.xml · nonDerivative · entry 5

RUBASH MARK J · CIK 0001209186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,203

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 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000154 · edgardoc.xml · nonDerivative · entry 4

RUBASH MARK J · CIK 0001209186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,453

F1 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000154 · edgardoc.xml · nonDerivative · entry 3

RUBASH MARK J · CIK 0001209186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,453

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

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on August 21, 2017.

F1 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000154 · edgardoc.xml · nonDerivative · entry 2

RUBASH MARK J · CIK 0001209186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,453

F1 · date: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

F2 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on August 21, 2017.

SEC source: 0001035267-17-000154 · edgardoc.xml · nonDerivative · entry 1

RUBASH MARK J · CIK 0001209186 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,453

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 · balance_after: On October 6, 2017, the common stock and equity grants of Intuitive Surgical split 3-for-1, resulting in the reporting person's ownership of the company's stock and equity grants to increase (for every one share owned or granted, 2 additional shares were issued) and the exercise price of stock option grants to decrease to 1/3rd of the original grant price.

SEC source: 0001035267-17-000134 · edgardoc.xml · derivative · entry 3

MELTZER MARK J · CIK 0001415943 · SVP General Counsel & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 500 shares

Expires 2020-02-16

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.

F2 · derivative.exercise_date: Non-statutory stock option granted pursuant to the 2000 Employee Stock Option Plan. Option shall vest 1/8 six months after the date of grant and 1/48th each month thereafter.

SEC source: 0001035267-17-000134 · edgardoc.xml · nonDerivative · entry 2

MELTZER MARK J · CIK 0001415943 · SVP General Counsel & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,296

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on June 15, 2017.

SEC source: 0001035267-17-000134 · edgardoc.xml · nonDerivative · entry 1

MELTZER MARK J · CIK 0001415943 · SVP General Counsel & CCO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,796

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: 0001035267-17-000133 · edgardoc.xml · derivative · entry 18

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,016

Underlying: Common Stock · 101 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.

F3 · 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: 0001035267-17-000133 · edgardoc.xml · derivative · entry 17

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,016

Underlying: Common Stock · 101 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.

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.

SEC source: 0001035267-17-000133 · edgardoc.xml · derivative · entry 16

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 918

Underlying: Common Stock · 154 shares

Expires 2025-08-17

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.

F3 · 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: 0001035267-17-000133 · edgardoc.xml · derivative · entry 15

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 919

Underlying: Common Stock · 153 shares

Expires 2025-02-17

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.

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.

SEC source: 0001035267-17-000133 · edgardoc.xml · derivative · entry 14

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391

Underlying: Common Stock · 195 shares

Expires 2024-08-15

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.

F3 · 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: 0001035267-17-000133 · edgardoc.xml · derivative · entry 13

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391

Underlying: Common Stock · 195 shares

Expires 2024-02-18

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

F2 · 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: 0001035267-17-000133 · edgardoc.xml · nonDerivative · entry 12

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 469

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on October 21, 2016.

SEC source: 0001035267-17-000133 · edgardoc.xml · nonDerivative · entry 11

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 664

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: 0001035267-17-000133 · edgardoc.xml · nonDerivative · entry 10

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 469

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on October 21, 2016.

SEC source: 0001035267-17-000133 · edgardoc.xml · nonDerivative · entry 9

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 664

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: 0001035267-17-000133 · edgardoc.xml · nonDerivative · entry 8

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 469

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on October 21, 2016.

SEC source: 0001035267-17-000133 · edgardoc.xml · nonDerivative · entry 7

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 622

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: 0001035267-17-000133 · edgardoc.xml · nonDerivative · entry 6

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 469

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on October 21, 2016.

SEC source: 0001035267-17-000133 · edgardoc.xml · nonDerivative · entry 5

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 623

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: 0001035267-17-000133 · edgardoc.xml · nonDerivative · entry 4

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 469

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on October 21, 2016.

SEC source: 0001035267-17-000133 · edgardoc.xml · nonDerivative · entry 3

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 570

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: 0001035267-17-000133 · edgardoc.xml · nonDerivative · entry 2

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 469

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on October 21, 2016.

SEC source: 0001035267-17-000133 · edgardoc.xml · nonDerivative · entry 1

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 570

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: 0001035267-17-000131 · edgardoc.xml · derivative · entry 7

Leonard Keith R · CIK 0001416180 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 327 shares

Expires 2026-04-21

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: Options will vest 100% on the earlier of the first anniversary of the date of grant or the date of the next annual stockholders meeting.

SEC source: 0001035267-17-000131 · edgardoc.xml · derivative · entry 6

Leonard Keith R · CIK 0001416180 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 100 shares

Expires 2026-01-28

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

F2 · 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: 0001035267-17-000131 · edgardoc.xml · nonDerivative · entry 5

Leonard Keith R · CIK 0001416180 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · kind: These shares were sold pursuant to a 10b5-1 Trading Plan entered into on January 27, 2017.

SEC source: 0001035267-17-000131 · edgardoc.xml · nonDerivative · entry 4

Leonard Keith R · CIK 0001416180 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 427

F1 · kind: These shares were sold pursuant to a 10b5-1 Trading Plan entered into on January 27, 2017.

SEC source: 0001035267-17-000131 · edgardoc.xml · nonDerivative · entry 3

Leonard Keith R · CIK 0001416180 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 527

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: 0001035267-17-000131 · edgardoc.xml · nonDerivative · entry 2

Leonard Keith R · CIK 0001416180 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 427

F1 · kind: These shares were sold pursuant to a 10b5-1 Trading Plan entered into on January 27, 2017.

SEC source: 0001035267-17-000131 · edgardoc.xml · nonDerivative · entry 1

Leonard Keith R · CIK 0001416180 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 754

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: 0001035267-17-000132 · edgardoc.xml · derivative · entry 3

Johnson Amal M · CIK 0001388397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 1,000 shares

Expires 2020-04-22

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

F2 · derivative.exercise_date: Non-statutory stock option granted pursuant to the Non-Employee Directors' Stock Option Plan. Option shall vest 1/3rd one year after the date of grant and 1/36th each month thereafter.

SEC source: 0001035267-17-000132 · edgardoc.xml · nonDerivative · entry 2

Johnson Amal M · CIK 0001388397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,787

F1 · kind: These shares were sold pursuant to a Rule 10b5-1 Trading Plan, entered into on November 7, 2016.

SEC source: 0001035267-17-000132 · edgardoc.xml · nonDerivative · entry 1

Johnson Amal M · CIK 0001388397 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,787

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: 0001035267-17-000152 · edgardoc.xml · nonDerivative · entry 4

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 91,303

F2 · 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: 0001035267-17-000152 · edgardoc.xml · nonDerivative · entry 3

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 91,840

F1 · kind: Shares were distributed by Lonnie M. Smith Equalization GRAT II U/A 8/16/16, to Lonnie Smith & Cheryl Smith, Community Property.

SEC source: 0001035267-17-000152 · edgardoc.xml · nonDerivative · entry 2

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,470