NBIX

SEC source: 0001209191-20-058543 · doc4.xml · nonDerivative · entry 1

Gano Kyle · CIK 0001567160 · Chief Business Development Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,028

F1 · kind: Sale of 2,257 shares of common stock issued upon vesting of 4,288 performance restricted stock units to cover withholding taxes, with the balance of the shares (2,031) maintained by the Reporting Person; the disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $88.93 to $92.23. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-058539 · doc4.xml · nonDerivative · entry 1

Bozigian Haig P. · CIK 0001423837 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,694

F1 · kind: Sale of 2,257 shares of common stock issued upon vesting of 4,288 performance restricted stock units to cover withholding taxes, with the balance of the shares (2,031) maintained by the Reporting Person; the disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $88.93 to $92.23. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-058532 · doc4.xml · nonDerivative · entry 1

ABERNETHY MATT · CIK 0001724097 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,014

F1 · kind: Sale of 2,257 shares of common stock issued upon vesting of 4,288 performance restricted stock units to cover withholding taxes, with the balance of the shares (2,031) maintained by the Reporting Person; the disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $88.93 to $92.23. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-056981 · doc4.xml · derivative · entry 3

BENEVICH ERIC · CIK 0001643653 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,775

Underlying: Common Stock · 20,595 shares

Expires 2026-02-05

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: Option granted February 05, 2016 and vested monthly over four years.

SEC source: 0001209191-20-056981 · doc4.xml · nonDerivative · entry 2

BENEVICH ERIC · CIK 0001643653 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,374

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $94.68 to $98.80. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-056981 · doc4.xml · nonDerivative · entry 1

BENEVICH ERIC · CIK 0001643653 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,969

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: 0001209191-20-053998 · doc4.xml · nonDerivative · entry 1

Cooke Julie · CIK 0001776977 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,549

F1 · kind: Sale of 987 shares of common stock issued upon vesting of 1,875 restricted stock units on October 2, 2020 to cover payroll and withholding taxes, with the balance of the shares (888) maintained by the Reporting Person; the disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

SEC source: 0001209191-20-045771 · doc4.xml · nonDerivative · entry 1

ROBERTS EIRY · CIK 0001727606 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,446

F1 · kind: Sale of 2,257 shares of common stock issued upon vesting of 4,287 performance restricted stock units to cover withholding taxes, with the balance of the shares (2,030) maintained by the Reporting Person. The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $118.21 to $120.56. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-045767 · doc4.xml · nonDerivative · entry 1

Lloyd-Smith Malcolm · CIK 0001557146 · Chief Regulatory Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,971

F1 · kind: Sale of 2,257 shares of common stock issued upon vesting of 4,287 performance restricted stock units to cover withholding taxes, with the balance of the shares (2,030) maintained by the Reporting Person. The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $118.21 to $120.56. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-045763 · doc4.xml · nonDerivative · entry 1

Lippoldt Darin · CIK 0001504783 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,051

F1 · kind: Sale of 2,257 shares of common stock issued upon vesting of 4,287 performance restricted stock units to cover withholding taxes, with the balance of the shares (2,030) maintained by the Reporting Person. The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $118.21 to $120.45. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-045758 · doc4.xml · nonDerivative · entry 1

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,593

F1 · kind: Sale of 2,257 shares of common stock issued upon vesting of 4,287 performance restricted stock units to cover withholding taxes, with the balance of the shares (2,030) maintained by the Reporting Person. The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $118.29 to $120.56. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-045753 · doc4.xml · nonDerivative · entry 1

GORMAN KEVIN CHARLES · CIK 0001201096 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 438,021

F1 · kind: Sale of 3,390 shares of common stock issued upon vesting of 6,440 performance restricted stock units to cover withholding taxes, with the balance of the shares (3,050) maintained by the Reporting Person. The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $118.16 to $120.76. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-045749 · doc4.xml · nonDerivative · entry 1

Gano Kyle · CIK 0001567160 · Chief Business Development Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,997

F1 · kind: Sale of 2,257 shares of common stock issued upon vesting of 4,287 performance restricted stock units to cover withholding taxes, with the balance of the shares (2,030) maintained by the Reporting Person. The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $118.21 to $120.56. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-045747 · doc4.xml · nonDerivative · entry 1

Cooke Julie · CIK 0001776977 · Chief Human Resources Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,661

F1 · kind: Sale of 2,257 shares of common stock issued upon vesting of 4,287 performance restricted stock units to cover withholding taxes, with the balance of the shares (2,030) maintained by the Reporting Person. The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $118.21 to $120.56. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-045742 · doc4.xml · nonDerivative · entry 1

Bozigian Haig P. · CIK 0001423837 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,663

F1 · kind: Sale of 2,257 shares of common stock issued upon vesting of 4,287 performance restricted stock units to cover withholding taxes, with the balance of the shares (2,030) maintained by the Reporting Person. The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $118.34 to $120.56. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-045725 · doc4.xml · nonDerivative · entry 1

BENEVICH ERIC · CIK 0001643653 · Chief Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,374

F1 · kind: Sale of 2,257 shares of common stock issued upon vesting of 4,287 performance restricted stock units to cover withholding taxes, with the balance of the shares (2,030) maintained by the Reporting Person. The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $118.21 to $120.56. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-045716 · doc4.xml · nonDerivative · entry 1

ABERNETHY MATT · CIK 0001724097 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,983

F1 · kind: Sale of 2,257 shares of common stock issued upon vesting of 4,287 performance restricted stock units to cover withholding taxes, with the balance of the shares (2,030) maintained by the Reporting Person. The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $118.29 to $120.71. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-042167 · doc4.xml · derivative · entry 3

Lippoldt Darin · CIK 0001504783 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,194

Underlying: Common Stock · 1,657 shares

Expires 2026-02-05

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: Option granted February 5, 2016 and vested monthly over four years.

SEC source: 0001209191-20-042167 · doc4.xml · nonDerivative · entry 2

Lippoldt Darin · CIK 0001504783 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,021

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $136.00 to $136.12. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-042167 · doc4.xml · nonDerivative · entry 1

Lippoldt Darin · CIK 0001504783 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,678

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: 0001209191-20-038896 · doc4.xml · derivative · entry 3

ROBERTS EIRY · CIK 0001727606 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,860

Underlying: Common Stock · 5,000 shares

Expires 2028-01-08

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: Option granted January 8, 2018 and vests at 25% upon first anniversary (January 8, 2019) and remaining 75% vesting in 36 equal monthly installments beginning February 8, 2019.

SEC source: 0001209191-20-038896 · doc4.xml · nonDerivative · entry 2

ROBERTS EIRY · CIK 0001727606 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,416

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

SEC source: 0001209191-20-038896 · doc4.xml · nonDerivative · entry 1

ROBERTS EIRY · CIK 0001727606 · Chief Medical Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,416

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: 0001209191-20-038890 · doc4.xml · derivative · entry 3

Lippoldt Darin · CIK 0001504783 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2025-02-03

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: Option granted February 3, 2015 and vested monthly over four years.

SEC source: 0001209191-20-038890 · doc4.xml · nonDerivative · entry 2

Lippoldt Darin · CIK 0001504783 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,021

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

SEC source: 0001209191-20-038890 · doc4.xml · nonDerivative · entry 1

Lippoldt Darin · CIK 0001504783 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,021

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: 0001209191-20-036698 · doc4.xml · derivative · entry 6

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,151

Underlying: Common Stock · 1,049 shares

Expires 2027-02-06

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: Option granted February 6, 2017 and vests monthly over four years.

SEC source: 0001209191-20-036698 · doc4.xml · derivative · entry 5

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,812 shares

Expires 2026-02-05

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: Option granted February 5, 2016 and vested monthly over four years.

SEC source: 0001209191-20-036698 · doc4.xml · derivative · entry 4

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,710 shares

Expires 2025-02-03

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: Option granted February 3, 2015 and vested monthly over four years.

SEC source: 0001209191-20-036698 · doc4.xml · nonDerivative · entry 3

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,563

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: 0001209191-20-036698 · doc4.xml · nonDerivative · entry 2

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,514

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: 0001209191-20-036698 · doc4.xml · nonDerivative · entry 1

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,702

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: 0001209191-20-031028 · doc4.xml · derivative · entry 7

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,588

Underlying: Common Stock · 10,000 shares

Expires 2026-02-05

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: Option granted February 5, 2016 and vested monthly over four years.

SEC source: 0001209191-20-031028 · doc4.xml · nonDerivative · entry 5

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,992

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $125.91 to $127.25. The Reporting Person has provided to the issuer, and will provide to any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-20-031028 · doc4.xml · nonDerivative · entry 4

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,741

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

SEC source: 0001209191-20-031028 · doc4.xml · nonDerivative · entry 3

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,741

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: 0001209191-20-031502 · doc4.xml · derivative · entry 1

SHERWIN STEPHEN A · CIK 0001079462 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,018

Underlying: Common Stock · 6,018 shares

Expires 2030-05-19

F1 · derivative.exercise_date: Option vests in 12 equal monthly installments beginning June 19, 2020.

SEC source: 0001209191-20-031499 · doc4.xml · derivative · entry 1

POPS RICHARD F · CIK 0001126490 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,018

Underlying: Common Stock · 6,018 shares

Expires 2030-05-19

F1 · derivative.exercise_date: Option vests in 12 equal monthly installments beginning June 19, 2020.

SEC source: 0001209191-20-031496 · doc4.xml · derivative · entry 1

Norwalk Leslie V · CIK 0001533568 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,018

Underlying: Common Stock · 6,018 shares

Expires 2030-05-19

F1 · derivative.exercise_date: Option vests in 12 equal monthly installments beginning June 19, 2020.

SEC source: 0001209191-20-031493 · doc4.xml · derivative · entry 1

MORROW GEORGE J · CIK 0001068754 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,018

Underlying: Common Stock · 6,018 shares

Expires 2030-05-19

F1 · derivative.exercise_date: Option vests in 12 equal monthly installments beginning June 19, 2020.

SEC source: 0001209191-20-031486 · doc4.xml · derivative · entry 1

LYONS GARY A · CIK 0001123343 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,018

Underlying: Common Stock · 6,018 shares

Expires 2030-05-19

F1 · derivative.exercise_date: Option vests in 12 equal monthly installments beginning June 19, 2020.

SEC source: 0001209191-20-031463 · doc4.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,018

Underlying: Common Stock · 6,018 shares

Expires 2030-05-19

F1 · derivative.exercise_date: Option vests in 12 equal monthly installments beginning June 19, 2020.

SEC source: 0001209191-20-031033 · doc4.xml · derivative · entry 3

Lippoldt Darin · CIK 0001504783 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2025-02-03

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: Option granted February 3, 2015 and vested monthly over four years.

SEC source: 0001209191-20-031033 · doc4.xml · nonDerivative · entry 2

Lippoldt Darin · CIK 0001504783 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,021

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

SEC source: 0001209191-20-031033 · doc4.xml · nonDerivative · entry 1

Lippoldt Darin · CIK 0001504783 · Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,021

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: 0001209191-20-031028 · doc4.xml · derivative · entry 6

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,588

Underlying: Common Stock · 10,000 shares

Expires 2026-02-05

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: Option granted February 5, 2016 and vested monthly over four years.

SEC source: 0001209191-20-031028 · doc4.xml · nonDerivative · entry 2

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,741

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person at least 60 days prior to the transaction date in Box 3 above. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

SEC source: 0001209191-20-031028 · doc4.xml · nonDerivative · entry 1

Grigoriadis Dimitri E. · CIK 0001423838 · Chief Research Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,741

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: 0001209191-20-029401 · doc4.xml · derivative · entry 12

Bozigian Haig P. · CIK 0001423837 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,383

Underlying: Common Stock · 18,057 shares

Expires 2029-02-07

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.

F6 · derivative.exercise_date: Option granted February 07, 2019 and vests monthly over four years.

SEC source: 0001209191-20-029401 · doc4.xml · derivative · entry 11

Bozigian Haig P. · CIK 0001423837 · Chief Development Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,340

Underlying: Common Stock · 15,833 shares

Expires 2028-02-05

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.

F5 · derivative.exercise_date: Option granted February 05, 2018 and vests monthly over four years.