LGND

SEC source: 0000886163-19-000177 · edgardoc.xml · derivative · entry 1

HIGGINS JOHN L · CIK 0001208906 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · Not disclosed shares

Expires 2023-05-15

F1 · security: This amendment is being filed to correct the amount of securities purchased. The original Form 4 reported that the principal amount of 0.75% Convertible Senior Notes due 2023 was $1,000,000 with a purchase price of $841,250. The reporting person actually purchased $1,175,000 principal amount for a purchase price of $988,468.75 on the transaction date.

F2 · derivative.exercise_date: The notes are convertible at any time prior to the close of business on November 14, 2022 (1) during any fiscal quarter (and only during such fiscal quarter) commencing after September 30, 2018, if, for at least 20 trading days (whether or not consecutive) during the 30 consecutive trading day period ending on the last trading day of the immediately preceding fiscal quarter, the last reported sale price of the Issuer?s common stock on such trading day is greater than 130% of the conversion price on such trading day; (2) during the five business day period immediately following any 10 consecutive trading day period, in which the trading price per $1,000 principal amount of notes was less than 98% of the product of the last reported sale price of our common stock on such trading day and the conversion rate on each such trading day; or (3) upon the occurrence of certain specified corporate events as specified in the indenture governing the notes.

SEC source: 0000886163-19-000165 · edgardoc.xml · derivative · entry 2

FOEHR MATTHEW W · CIK 0001237556 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,828

Underlying: Common Stock · 1,005 shares

Expires 2023-02-15

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: Grant to reporting person of options, exercisable over a 4-year period measured from the date of grant, 12-1/2% after six months, then 1/48th of the Option Shares per month thereafter. The date of grant was 02/15/13.

SEC source: 0000886163-19-000165 · edgardoc.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,619

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: 0000886163-19-000161 · edgardoc.xml · nonDerivative · entry 1

Korenberg Matthew E · CIK 0001649903 · EVP,Finance & Strategy and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,151

SEC source: 0000886163-19-000163 · edgardoc.xml · nonDerivative · entry 1

Aryeh Jason · CIK 0001376960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,203

F1 · shares: The purchase(s) reported on this Form 4 were made pursuant to a written trading plan adopted by the Reporting Person on March 15, 2019, in accordance with Rule 10b5-1.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $86.01 to $88.01, inclusive. The reporting person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000886163-19-000159 · edgardoc.xml · derivative · entry 2

FOEHR MATTHEW W · CIK 0001237556 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,833

Underlying: Common Stock · 1,163 shares

Expires 2023-02-15

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: Grant to reporting person of options, exercisable over a 4-year period measured from the date of grant, 12-1/2% after six months, then 1/48th of the Option Shares per month thereafter. The date of grant was 02/15/13.

SEC source: 0000886163-19-000159 · edgardoc.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,614

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.

SEC source: 0000886163-19-000145 · edgardoc.xml · nonDerivative · entry 1

Aryeh Jason · CIK 0001376960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,453

F1 · shares: The purchase(s) reported on this Form 4 were made pursuant to a written trading plan adopted by the Reporting Person on March 15, 2019, in accordance with Rule 10b5-1.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $89.01 to $91.01, inclusive. The reporting person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000886163-19-000144 · edgardoc.xml · derivative · entry 4

Berkman Charles S · CIK 0001392266 · SVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,153

Underlying: Common Stock · 424 shares

Expires 2026-02-11

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

F2 · derivative.exercise_date: Grant to reporting person of options to purchase shares of common stock ("Option Shares"), exercisable over a 4-year period measured from the date of grant, 12-1/2% after six months, then 1/48th of the Option Shares per month thereafter. The date of grant was 02/11/16.

SEC source: 0000886163-19-000144 · edgardoc.xml · derivative · entry 3

Berkman Charles S · CIK 0001392266 · SVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,948

Underlying: Common Stock · 669 shares

Expires 2025-02-10

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: Grant to reporting person of options, exercisable over a 4-year period measured from the date of grant, 12-1/2% after six months, then 1/48th of the Option Shares per month thereafter. The date of grant was 02/10/15.

SEC source: 0000886163-19-000144 · edgardoc.xml · nonDerivative · entry 2

Berkman Charles S · CIK 0001392266 · SVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,172

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: 0000886163-19-000144 · edgardoc.xml · nonDerivative · entry 1

Berkman Charles S · CIK 0001392266 · SVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,748

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: 0000886163-19-000140 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,474

SEC source: 0000886163-19-000136 · edgardoc.xml · nonDerivative · entry 1

Patel Sunil · CIK 0001503062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,359

SEC source: 0000886163-19-000138 · edgardoc.xml · derivative · entry 3

LAMATTINA JOHN L · CIK 0001216074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,835

Underlying: Common Stock · 2,500 shares

Expires 2023-06-11

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

F2 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 11, 2013, and fully vested on the first anniversary of the grant date.

SEC source: 0000886163-19-000138 · edgardoc.xml · nonDerivative · entry 2

LAMATTINA JOHN L · CIK 0001216074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,937

F1 · shares: Represents shares withheld by the Issuer in payment of the exercise price of options.

SEC source: 0000886163-19-000138 · edgardoc.xml · nonDerivative · entry 1

LAMATTINA JOHN L · CIK 0001216074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,784

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: 0000886163-19-000134 · edgardoc.xml · nonDerivative · entry 1

HIGGINS JOHN L · CIK 0001208906 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,749

SEC source: 0000886163-19-000132 · edgardoc.xml · nonDerivative · entry 3

Aryeh Jason · CIK 0001376960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,707

F1 · shares: The purchase(s) reported on this Form 4 were made pursuant to a written trading plan adopted by the Reporting Person on March 15, 2019, in accordance with Rule 10b5-1.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $91.01 to $94.01, inclusive. The reporting person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001104659-19-043306 · a4.xml · nonDerivative · entry 1

Sabba Stephen L · CIK 0001442372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,600

F1 · security: These securities, as represented in Column 5, include restricted shares comprised of: (a) a grant of 835 restricted shares in a transaction exempt from Section 16b treatment, as originally reported on a Form 4 filed June 10, 2019, which shares will vest in full on the earlier of (i) the date of the next annual meeting of the Company stockholders following the grant date or (ii) on the first anniversary of the grant date; and (b) fully vested restricted shares granted in respective transactions, each exempt from Section 16b treatment and reported on previously filed Form 4s for the Reporting Person.

F2 · price: The price reported is based on an average share price from the following transactions: ((767 shares @ $96.0691)+(100 shares @ $95.605)+(600 shares @ $95.438334)+(2,624 shares @ $93.70))/ 4,091 shares. The price reported has been rounded from $94.4456857 for formatting purposes.

SEC source: 0000886163-19-000132 · edgardoc.xml · nonDerivative · entry 2

Aryeh Jason · CIK 0001376960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,953

F1 · shares: The purchase(s) reported on this Form 4 were made pursuant to a written trading plan adopted by the Reporting Person on March 15, 2019, in accordance with Rule 10b5-1.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $95.02 to $105.02, inclusive. The reporting person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000886163-19-000132 · edgardoc.xml · nonDerivative · entry 1

Aryeh Jason · CIK 0001376960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,953

F1 · shares: The purchase(s) reported on this Form 4 were made pursuant to a written trading plan adopted by the Reporting Person on March 15, 2019, in accordance with Rule 10b5-1.

SEC source: 0000886163-19-000120 · edgardoc.xml · nonDerivative · entry 1

Korenberg Matthew E · CIK 0001649903 · EVP,Finance & Strategy and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,651

F1 · kind: Shares acquired under Ligand's employee stock purchase plan. Voluntary reporting exemption under Rule 16b-3(c).

SEC source: 0000886163-19-000121 · edgardoc.xml · nonDerivative · entry 1

Berkman Charles S · CIK 0001392266 · SVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,079

F1 · kind: Shares acquired under Ligand's employee stock purchase plan. Voluntary reporting exemption under Rule 16b-3(c).

SEC source: 0000886163-19-000115 · edgardoc.xml · nonDerivative · entry 1

Aryeh Jason · CIK 0001376960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,703

F1 · shares: The purchase(s) reported on this Form 4 were made pursuant to a written trading plan adopted by the Reporting Person on March 15, 2019, in accordance with Rule 10b5-1.

SEC source: 0000886163-19-000114 · edgardoc.xml · derivative · entry 2

FOEHR MATTHEW W · CIK 0001237556 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,996

Underlying: Common Stock · 1,004 shares

Expires 2023-02-15

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: Grant to reporting person of options, exercisable over a 4-year period measured from the date of grant, 12-1/2% after six months, then 1/48th of the Option Shares per month thereafter. The date of grant was 02/15/13.

SEC source: 0000886163-19-000114 · edgardoc.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · President and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,451

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: 0000886163-19-000107 · edgardoc.xml · derivative · entry 2

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,071

Underlying: Common Stock · 4,071 shares

Expires 2029-06-06

F2 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-19-000107 · edgardoc.xml · nonDerivative · entry 1

Davis Todd C · CIK 0001392029 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,474

F1 · shares: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-19-000106 · edgardoc.xml · derivative · entry 2

Gray Nancy Ryan · CIK 0001714949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,071

Underlying: Common Stock · 4,071 shares

Expires 2029-06-06

F2 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-19-000106 · edgardoc.xml · nonDerivative · entry 1

Gray Nancy Ryan · CIK 0001714949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,241

F1 · shares: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-19-000108 · edgardoc.xml · derivative · entry 4

Aryeh Jason · CIK 0001376960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,071

Underlying: Common Stock · 4,071 shares

Expires 2029-06-06

F3 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-19-000108 · edgardoc.xml · nonDerivative · entry 1

Aryeh Jason · CIK 0001376960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,453

F1 · shares: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-19-000104 · edgardoc.xml · derivative · entry 2

LAMATTINA JOHN L · CIK 0001216074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,071

Underlying: Common Stock · 4,071 shares

Expires 2029-06-06

F2 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-19-000104 · edgardoc.xml · nonDerivative · entry 1

LAMATTINA JOHN L · CIK 0001216074 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,284

F1 · shares: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-19-000105 · edgardoc.xml · derivative · entry 2

KOZARICH JOHN W · CIK 0001223000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,071

Underlying: Common Stock · 4,071 shares

Expires 2029-06-06

F2 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-19-000105 · edgardoc.xml · nonDerivative · entry 1

KOZARICH JOHN W · CIK 0001223000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,377

F1 · shares: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-19-000103 · edgardoc.xml · derivative · entry 2

Patel Sunil · CIK 0001503062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,071

Underlying: Common Stock · 4,071 shares

Expires 2029-06-06

F2 · derivative.exercise_date: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0000886163-19-000103 · edgardoc.xml · nonDerivative · entry 1

Patel Sunil · CIK 0001503062 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,359

F1 · shares: Acquired by a grant of the Board of Directors of the Company at their annual meeting on June 06, 2019. Fully vests on the earlier of (A) the date of the next annual meeting of the Company stockholders following the grant date or (B) on the first anniversary of the date of grant.

SEC source: 0001104659-19-034623 · a4.xml · derivative · entry 2

Sabba Stephen L · CIK 0001442372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,071

Underlying: Common Stock · 4,071 shares

Expires 2029-06-06

F2 · security: These securities, as represented in Column 5, were acquired by a grant of 4,071 shares approved by the Board of Directors of the Company at the 2019 Meeting. That grant (a) vests in full on the earlier of (i) the date of the next annual meeting of the Company stockholders following the grant date or (ii) on the first anniversary of the grant date, and (b) will vest immediately (i) upon a change in control or a hostile takeover of the Company or (ii) the death or permanent disability of the grantee if still serving at that time.

F2 · derivative.exercise_date: These securities, as represented in Column 5, were acquired by a grant of 4,071 shares approved by the Board of Directors of the Company at the 2019 Meeting. That grant (a) vests in full on the earlier of (i) the date of the next annual meeting of the Company stockholders following the grant date or (ii) on the first anniversary of the grant date, and (b) will vest immediately (i) upon a change in control or a hostile takeover of the Company or (ii) the death or permanent disability of the grantee if still serving at that time.

SEC source: 0001104659-19-034623 · a4.xml · nonDerivative · entry 1

Sabba Stephen L · CIK 0001442372 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,691

F1 · security: These securities, as represented in Column 5, include a grant of 835 restricted shares approved by the Board of Directors of the Company at the 2019 Meeting, which shares will vest in full on the earlier of (a) the date of the next annual meeting of the Company stockholders following the grant date or (b) on the first anniversary of the grant date.

SEC source: 0000886163-19-000093 · edgardoc.xml · nonDerivative · entry 1

HIGGINS JOHN L · CIK 0001208906 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,899

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $108.20 to $108.22, inclusive. The reporting person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000886163-19-000090 · edgardoc.xml · nonDerivative · entry 3

Aryeh Jason · CIK 0001376960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,618

F1 · shares: The purchase(s) reported on this Form 4 were made pursuant to a written trading plan adopted by the Reporting Person on March 15, 2019, in accordance with Rule 10b5-1.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $108.01 to $109.01, inclusive. The reporting person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000886163-19-000090 · edgardoc.xml · nonDerivative · entry 2

Aryeh Jason · CIK 0001376960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,118

F1 · shares: The purchase(s) reported on this Form 4 were made pursuant to a written trading plan adopted by the Reporting Person on March 15, 2019, in accordance with Rule 10b5-1.

SEC source: 0000886163-19-000090 · edgardoc.xml · nonDerivative · entry 1

Aryeh Jason · CIK 0001376960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,868

F1 · shares: The purchase(s) reported on this Form 4 were made pursuant to a written trading plan adopted by the Reporting Person on March 15, 2019, in accordance with Rule 10b5-1.

SEC source: 0000886163-19-000085 · edgardoc.xml · nonDerivative · entry 1

Aryeh Jason · CIK 0001376960 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,618

F1 · shares: The purchase(s) reported on this Form 4 were made pursuant to a written trading plan adopted by the Reporting Person on March 15, 2019, in accordance with Rule 10b5-1.

SEC source: 0000886163-19-000081 · edgardoc.xml · nonDerivative · entry 1

HIGGINS JOHN L · CIK 0001208906 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,899

SEC source: 0000886163-19-000080 · edgardoc.xml · derivative · entry 3

KOZARICH JOHN W · CIK 0001223000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,500 shares

Expires 2019-05-29

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: The option becomes exercisable in twelve successive equal monthly installments upon completion of each calendar month of service beginning 5/29/09.

SEC source: 0000886163-19-000080 · edgardoc.xml · nonDerivative · entry 2

KOZARICH JOHN W · CIK 0001223000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,542

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $112.24 to $113.23, inclusive. The reporting person undertakes to provide, upon request to the Securities Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0000886163-19-000080 · edgardoc.xml · nonDerivative · entry 1

KOZARICH JOHN W · CIK 0001223000 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,042

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.