ISRG

SEC source: 0001035267-17-000027 · edgardoc.xml · nonDerivative · entry 2

MOHR MARSHALL · CIK 0001252986 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,587

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: 0001035267-17-000027 · edgardoc.xml · nonDerivative · entry 1

MOHR MARSHALL · CIK 0001252986 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 962

F1 · kind: On 2/16/16, RSU shares were granted, vesting 25% per year over a four year period. RSUs convert into common stock on the vest date on a one-for-one basis. On 2/16/17, 25% of the shares were released and a portion of the shares were held back to cover the statutory tax withholding requirement. The net shares were deposited into the holders account

SEC source: 0001035267-17-000028 · edgardoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,593

Underlying: Common Stock · 532 shares

Expires 2020-02-17

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.

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000028 · edgardoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,705

F1 · kind: On 2/16/16, RSU shares were granted, vesting 25% per year over a four year period. RSUs convert into common stock on the vest date on a one-for-one basis. On 2/16/17, 25% of the shares were released and a portion of the shares were held back to cover the statutory tax withholding requirement. The net shares were deposited into the holders account

SEC source: 0001035267-17-000028 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,905

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: 0001035267-17-000029 · edgardoc.xml · derivative · entry 4

Myriam Curet · CIK 0001632901 · SVP & Chief Medical Officer · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 500 shares

Expires 2020-02-17

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.

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000029 · edgardoc.xml · nonDerivative · entry 2

Myriam Curet · CIK 0001632901 · SVP & Chief Medical Officer · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 492

F1 · kind: On 2/16/16, RSU shares were granted, vesting 25% per year over a four year period. RSUs convert into common stock on the vest date on a one-for-one basis. On 2/16/17, 25% of the shares were released and a portion of the shares were held back to cover the statutory tax withholding requirement. The net shares were deposited into the holders account

SEC source: 0001035267-17-000029 · edgardoc.xml · nonDerivative · entry 1

Myriam Curet · CIK 0001632901 · SVP & Chief Medical Officer · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 680

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: 0001035267-17-000030 · edgardoc.xml · derivative · entry 4

Samath Jamie · CIK 0001330269 · VP & Principal Accounting Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 843

Underlying: Common Stock · 282 shares

Expires 2020-02-17

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.

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000030 · edgardoc.xml · nonDerivative · entry 2

Samath Jamie · CIK 0001330269 · VP & Principal Accounting Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224

F1 · kind: On 2/16/16, RSU shares were granted, vesting 25% per year over a four year period. RSUs convert into common stock on the vest date on a one-for-one basis. On 2/16/17, 25% of the shares were released and a portion of the shares were held back to cover the statutory tax withholding requirement. The net shares were deposited into the holders account

SEC source: 0001035267-17-000030 · edgardoc.xml · nonDerivative · entry 1

Samath Jamie · CIK 0001330269 · VP & Principal Accounting Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 330

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: 0001035267-17-000032 · edgardoc.xml · derivative · entry 4

Rosa David J. · CIK 0001519593 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,437

Underlying: Common Stock · 813 shares

Expires 2020-02-17

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.

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000032 · edgardoc.xml · nonDerivative · entry 2

Rosa David J. · CIK 0001519593 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,611

F1 · kind: On 2/16/16, RSU shares were granted, vesting 25% per year over a four year period. RSUs convert into common stock on the vest date on a one-for-one basis. On 2/16/17, 25% of the shares were released and a portion of the shares were held back to cover the statutory tax withholding requirement. The net shares were deposited into the holders account

SEC source: 0001035267-17-000032 · edgardoc.xml · nonDerivative · entry 1

Rosa David J. · CIK 0001519593 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,036

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: 0001035267-17-000033 · edgardoc.xml · derivative · entry 4

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,437

Underlying: Common Stock · 813 shares

Expires 2020-02-17

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.

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000033 · edgardoc.xml · nonDerivative · entry 2

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 973

F1 · kind: On 2/16/16, RSU shares were granted, vesting 25% per year over a four year period. RSUs convert into common stock on the vest date on a one-for-one basis. On 2/16/17, 25% of the shares were released and a portion of the shares were held back to cover the statutory tax withholding requirement. The net shares were deposited into the holders account

SEC source: 0001035267-17-000033 · edgardoc.xml · nonDerivative · entry 1

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,282

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: 0001035267-17-000034 · edgardoc.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,375

Underlying: Common Stock · 1,125 shares

Expires 2020-02-17

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.

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000034 · edgardoc.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,861

F1 · kind: On 2/16/16, RSU shares were granted, vesting 25% per year over a four year period. RSUs convert into common stock on the vest date on a one-for-one basis. On 2/16/17, 25% of the shares were released and a portion of the shares were held back to cover the statutory tax withholding requirement. The net shares were deposited into the holders account

SEC source: 0001035267-17-000034 · edgardoc.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,415

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: 0001035267-17-000027 · edgardoc.xml · derivative · entry 6

MOHR MARSHALL · CIK 0001252986 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,667

Underlying: Common Stock · 1,667 shares

Expires 2021-02-15

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000027 · edgardoc.xml · derivative · entry 4

MOHR MARSHALL · CIK 0001252986 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,500

Underlying: Common Stock · 2,500 shares

Expires 2027-02-15

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: 0001035267-17-000028 · edgardoc.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2021-02-15

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000028 · edgardoc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

Underlying: Common Stock · 1,500 shares

Expires 2027-02-15

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: 0001035267-17-000029 · edgardoc.xml · derivative · entry 5

Myriam Curet · CIK 0001632901 · SVP & Chief Medical Officer · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,333

Underlying: Common Stock · 1,333 shares

Expires 2021-02-15

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000029 · edgardoc.xml · derivative · entry 3

Myriam Curet · CIK 0001632901 · SVP & Chief Medical Officer · SVP & Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2027-02-15

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: 0001035267-17-000030 · edgardoc.xml · derivative · entry 5

Samath Jamie · CIK 0001330269 · VP & Principal Accounting Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 633

Underlying: Common Stock · 633 shares

Expires 2021-02-15

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000030 · edgardoc.xml · derivative · entry 3

Samath Jamie · CIK 0001330269 · VP & Principal Accounting Offi

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 950

Underlying: Common Stock · 950 shares

Expires 2027-02-15

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: 0001035267-17-000032 · edgardoc.xml · derivative · entry 5

Rosa David J. · CIK 0001519593 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2021-02-15

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000032 · edgardoc.xml · derivative · entry 3

Rosa David J. · CIK 0001519593 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2027-02-15

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: 0001035267-17-000033 · edgardoc.xml · derivative · entry 5

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2021-02-15

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000033 · edgardoc.xml · derivative · entry 3

Brogna Salvatore · CIK 0001519413 · EVP - Product Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 3,000 shares

Expires 2027-02-15

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: 0001035267-17-000034 · edgardoc.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,667

Underlying: Common Stock · 2,667 shares

Expires 2021-02-15

F3 · derivative.exercise_date: Each Restricted Stock Unit, granted pursuant to the 2010 Employee Stock Option Plan, represents a contingent right to receive one share of Intuitive Surgical common stock. The grant vests 25% on the first anniversary of the date of grant and annually thereafter, over a four year period of time.

SEC source: 0001035267-17-000034 · edgardoc.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 shares

Expires 2027-02-15

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: 0001035267-17-000026 · edgardoc.xml · derivative · entry 3

Morales Colin · CIK 0001519592 · GM & SVP Secondary Mkt Equip &

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,012

Underlying: Common Stock · 1,000 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.

F1 · 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: 0001035267-17-000026 · edgardoc.xml · nonDerivative · entry 2

Morales Colin · CIK 0001519592 · GM & SVP Secondary Mkt Equip &

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124

SEC source: 0001035267-17-000026 · edgardoc.xml · nonDerivative · entry 1

Morales Colin · CIK 0001519592 · GM & SVP Secondary Mkt Equip &

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,124

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: 0001035267-17-000017 · edgardoc.xml · derivative · entry 3

Rosa David J. · CIK 0001519593 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,000

Underlying: Common Stock · 2,000 shares

Expires 2019-02-17

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: 0001035267-17-000017 · edgardoc.xml · nonDerivative · entry 2

Rosa David J. · CIK 0001519593 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,223

F1 · kind: These shares were sold pursuant to a 10b5-1 Plan entered into on 11-10-16.

SEC source: 0001035267-17-000017 · edgardoc.xml · nonDerivative · entry 1

Rosa David J. · CIK 0001519593 · EVP & Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,223

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: 0001035267-17-000018 · edgardoc.xml · derivative · entry 4

MOHR MARSHALL · CIK 0001252986 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,200

Underlying: Common Stock · 2,000 shares

Expires 2018-02-15

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.

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: 0001035267-17-000018 · edgardoc.xml · nonDerivative · entry 2

MOHR MARSHALL · CIK 0001252986 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,289

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

SEC source: 0001035267-17-000018 · edgardoc.xml · nonDerivative · entry 1

MOHR MARSHALL · CIK 0001252986 · SVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,289

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: 0001035267-17-000020 · edgardoc.xml · nonDerivative · entry 1

SMITH LONNIE M · CIK 0001238937 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,971

F1 · security: The shares were sold from The Smith Family Foundation, Inc.

F2 · kind: These shares were sold pursuant to a 10b5-1 Trading Plan, entered into on 11-3-16.

SEC source: 0001035267-17-000016 · edgardoc.xml · derivative · entry 9

Morales Colin · CIK 0001519592 · GM & SVP Secondary Mkt Equip &

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500

Underlying: Common Stock · 3,000 shares

Expires 2022-02-15

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 · 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: 0001035267-17-000016 · edgardoc.xml · derivative · entry 8

Morales Colin · CIK 0001519592 · GM & SVP Secondary Mkt Equip &

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,203

Underlying: Common Stock · 2,297 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 · 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: 0001035267-17-000016 · edgardoc.xml · derivative · entry 7

Morales Colin · CIK 0001519592 · GM & SVP Secondary Mkt Equip &

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,012

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.

F1 · 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: 0001035267-17-000016 · edgardoc.xml · nonDerivative · entry 6

Morales Colin · CIK 0001519592 · GM & SVP Secondary Mkt Equip &

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124

SEC source: 0001035267-17-000016 · edgardoc.xml · nonDerivative · entry 5

Morales Colin · CIK 0001519592 · GM & SVP Secondary Mkt Equip &

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 624

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: 0001035267-17-000016 · edgardoc.xml · nonDerivative · entry 4

Morales Colin · CIK 0001519592 · GM & SVP Secondary Mkt Equip &

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124