NVAX

SEC source: 0001209191-20-052369 · doc4.xml · nonDerivative · entry 2

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,579

SEC source: 0001209191-20-052369 · doc4.xml · nonDerivative · entry 1

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,987

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

SEC source: 0001209191-20-052368 · doc4.xml · derivative · entry 3

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,588 shares

Expires not disclosed

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_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

F3 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested one (1) year from the September 26, 2019 grant date, subject to continued employment with the Company through the vesting date.

F3 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended, vested one (1) year from the September 26, 2019 grant date, subject to continued employment with the Company through the vesting date.

SEC source: 0001209191-20-052368 · doc4.xml · nonDerivative · entry 2

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,510

SEC source: 0001209191-20-052368 · doc4.xml · nonDerivative · entry 1

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,149

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

F2 · balance_after: The reported ownership includes 1,250 shares acquired under the Company's Employee Stock Purchase Plan, as amended, on July 31, 2020.

SEC source: 0001209191-20-052367 · doc4.xml · derivative · entry 6

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,946

Underlying: Common Stock · 3,973 shares

Expires not disclosed

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_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

F3 · derivative.exercise_date: The RSUs subject to this grant under the Plan vested or will vest with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the Grant Date, in each case subject to continued employment through such vesting date.

F3 · derivative.expiration_date: The RSUs subject to this grant under the Plan vested or will vest with respect to one-third (1/3) of the RSUs on each of the first three (3) anniversaries of the Grant Date, in each case subject to continued employment through such vesting date.

SEC source: 0001209191-20-052367 · doc4.xml · derivative · entry 5

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,900 shares

Expires not disclosed

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_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

F2 · derivative.exercise_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), vested one (1) year from the September 26, 2019 grant date (the "Grant Date"), subject to continued employment with the Company through the vesting date.

F2 · derivative.expiration_date: One hundred percent (100%) of the RSUs subject to this grant under the Company's Amended and Restated 2015 Stock Incentive Plan, as amended (the "Plan"), vested one (1) year from the September 26, 2019 grant date (the "Grant Date"), subject to continued employment with the Company through the vesting date.

SEC source: 0001209191-20-052367 · doc4.xml · nonDerivative · entry 4

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,304

SEC source: 0001209191-20-052367 · doc4.xml · nonDerivative · entry 3

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,223

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.

F1 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

SEC source: 0001209191-20-052367 · doc4.xml · nonDerivative · entry 2

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,250

SEC source: 0001209191-20-052367 · doc4.xml · nonDerivative · entry 1

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,175

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 · price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of Novavax, Inc. (the "Company") common stock.

SEC source: 0001209191-20-048421 · doc4.xml · derivative · entry 1

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2030-04-17

F1 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 125,000 shares of common stock of Novavax, Inc. (the "Company") pursuant to the Company's Amended and Restated 2015 Stock Incentive Plan, as amended. The vesting of the shares subject to this option grant is subject to the satisfaction of a performance-based vesting requirement, followed by time-based vesting. The performance metric required that the Company initiate a COVID-19 Phase 2 clinical trial within twelve (12) months of the grant date, which occurred when the Company initiated its Phase 2 clinical trial of NVX-CoV2373 in the U.S. on August 24, 2020. Following that event, fifty percent (50%) of the shares will vest on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the shares will vest on August 24, 2022, the second anniversary of the initiation date, in each case subject to continued employment through such vesting date.

SEC source: 0001209191-20-048420 · doc4.xml · derivative · entry 1

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,000

Underlying: Common Stock · 140,000 shares

Expires 2030-04-17

F1 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 140,000 shares of common stock of Novavax, Inc. (the "Company") pursuant to the Company's Amended and Restated 2015 Stock Incentive Plan, as amended. The vesting of the shares subject to this option grant is subject to the satisfaction of a performance-based vesting requirement, followed by time-based vesting. The performance metric required that the Company initiate a COVID-19 Phase 2 clinical trial within twelve (12) months of the grant date, which occurred when the Company initiated its Phase 2 clinical trial of NVX-CoV2373 in the U.S. on August 24, 2020. Following that event, fifty percent (50%) of the shares will vest on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the shares will vest on August 24, 2022, the second anniversary of the initiation date, in each case subject to continued employment through such vesting date.

SEC source: 0001209191-20-048418 · doc4.xml · derivative · entry 1

Glenn Gregory M · CIK 0001342823 · President, R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,000

Underlying: Common Stock · 165,000 shares

Expires 2030-04-17

F1 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 165,000 shares of common stock of Novavax, Inc. (the "Company") pursuant to the Company's Amended and Restated 2015 Stock Incentive Plan, as amended. The vesting of the shares subject to this option grant is subject to the satisfaction of a performance-based vesting requirement, followed by time-based vesting. The performance metric required that the Company initiate a COVID-19 Phase 2 clinical trial within twelve (12) months of the grant date, which occurred when the Company initiated its Phase 2 clinical trial of NVX-CoV2373 in the U.S. on August 24, 2020. Following that event, fifty percent (50%) of the shares will vest on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the shares will vest on August 24, 2022, the second anniversary of the initiation date, in each case subject to continued employment through such vesting date.

SEC source: 0001209191-20-048416 · doc4.xml · derivative · entry 1

Erck Stanley C · CIK 0001342826 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,000

Underlying: Common Stock · 400,000 shares

Expires 2030-04-17

F1 · derivative.exercise_date: On April 17, 2020, the reporting person was granted an option to purchase 400,000 shares of common stock of Novavax, Inc. (the "Company") pursuant to the Company's Amended and Restated 2015 Stock Incentive Plan, as amended. The vesting of the shares subject to this option grant is subject to the satisfaction of a performance-based vesting requirement, followed by time-based vesting. The performance metric required that the Company initiate a COVID-19 Phase 2 clinical trial within twelve (12) months of the grant date, which occurred when the Company initiated its Phase 2 clinical trial of NVX-CoV2373 in the U.S. on August 24, 2020. Following that event, fifty percent (50%) of the shares will vest on August 24, 2021, the first anniversary of the initiation date, and the remaining fifty percent (50%) of the shares will vest on August 24, 2022, the second anniversary of the initiation date, in each case subject to continued employment through such vesting date.

SEC source: 0000904454-20-000592 · edgar.xml · derivative · entry 21

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,589

Underlying: Common Stock · 10,410 shares

Expires 2028-12-13

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.

F16 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant vested on the first anniversary of the December 13, 2018 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.

SEC source: 0000904454-20-000592 · edgar.xml · derivative · entry 20

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,677

Underlying: Common Stock · 13,322 shares

Expires 2027-12-15

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.

F15 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant vested on the first anniversary of the December 15, 2017 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years, subject to continued employment through such vesting date.

SEC source: 0000904454-20-000592 · edgar.xml · derivative · entry 19

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,298

Underlying: Common Stock · 1,952 shares

Expires 2026-11-14

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.

F14 · derivative.exercise_date: Vesting of the shares subject to this option grant is subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which twenty-five percent (25%) of the shares vested on the first anniversary of the November 14, 2016 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments on the first of each month over the following three (3) years, subject to continued employment through such vesting date, and (2) a performance-based vesting requirement, pursuant to which 33.33%, 33.33%, and 33.34% of the shares vested or will vest if, at any time during the four-year period from the November 14, 2016 grant date, the volume-weighted average stock price of the Company's common stock meets or exceeds $80.00, $120.00, or $160.00, respectively, for twenty (20) consecutive trading days.

SEC source: 0000904454-20-000592 · edgar.xml · derivative · entry 18

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394

Underlying: Common Stock · 5,855 shares

Expires 2026-11-14

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.

F13 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant vested on the first anniversary of the November 14, 2016 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years, subject to continued employment through such vesting date.

SEC source: 0000904454-20-000592 · edgar.xml · derivative · entry 17

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,249 shares

Expires 2026-03-15

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.

F12 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant vested on the first anniversary of the March 15, 2016 grant date, and the remaining seventy-five percent (75%) of the shares vested in equal monthly installments over the following three (3) years, subject to continued employment through such vesting date.

SEC source: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 16

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,087

F11 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $153.81 to $154.25, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

SEC source: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 15

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,387

F10 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $152.78 to $153.69, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

SEC source: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 14

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,095

F9 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $151.76 to $152.74, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

SEC source: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 13

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,294

F8 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $150.59 to $151.35, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

SEC source: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 12

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,304

F7 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $149.59 to $150.50, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

SEC source: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 11

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,104

F6 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $148.52 to $149.50, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

SEC source: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 10

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,704

F5 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $147.52 to $148.51, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

SEC source: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 9

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,805

F4 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $146.52 to $147.51, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

SEC source: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 8

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,899

F3 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $145.52 to $146.51, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

SEC source: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 7

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,799

F2 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $143.99 to $144.00, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

SEC source: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 6

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,099

F1 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $142.31 to $143.19, inclusive. The reporting person undertakes to provide to Novavax, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.

SEC source: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 5

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,875

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: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 4

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,465

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: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 3

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,143

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: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 2

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,191

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: 0000904454-20-000592 · edgar.xml · nonDerivative · entry 1

Trizzino John · CIK 0001468534 · EVP, CBO and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,336

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: 0000904454-20-000590 · edgar.xml · derivative · entry 5

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires 2027-12-15

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.

SEC source: 0000904454-20-000590 · edgar.xml · derivative · entry 4

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires 2027-03-16

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.

SEC source: 0000904454-20-000590 · edgar.xml · nonDerivative · entry 3

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,951

SEC source: 0000904454-20-000590 · edgar.xml · nonDerivative · entry 2

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,951

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: 0000904454-20-000590 · edgar.xml · nonDerivative · entry 1

MCMANUS MICHAEL A JR · CIK 0001051997 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,951

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: 0000904454-20-000588 · edgar.xml · derivative · entry 18

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,671

Underlying: Common Stock · 8,328 shares

Expires 2028-12-13

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.

F10 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant vested on the first anniversary of the December 13, 2018 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years subject to continued employment through such vesting date.

SEC source: 0000904454-20-000588 · edgar.xml · derivative · entry 17

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,677

Underlying: Common Stock · 13,322 shares

Expires 2027-12-15

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.

F9 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant vested on the first anniversary of the December 15, 2017 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years, subject to continued employment through such vesting date.

SEC source: 0000904454-20-000588 · edgar.xml · derivative · entry 16

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,298

Underlying: Common Stock · 1,952 shares

Expires 2026-11-14

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.

F8 · derivative.exercise_date: Vesting of the shares subject to this option grant is subject to the satisfaction of both (1) a time-based vesting requirement, pursuant to which twenty-five percent (25%) of the shares vested on the first anniversary of the November 14, 2016 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments on the first of each month over the following three (3) years, subject to continued employment through such vesting date, and (2) a performance-based vesting requirement, pursuant to which 33.33%, 33.33%, and 33.34% of the shares vested or will vest if, at any time during the four-year period from the November 14, 2016 grant date, the volume-weighted average stock price of the Company's common stock meets or exceeds $80.00, $120.00, or $160.00, respectively, for twenty (20) consecutive trading days.

SEC source: 0000904454-20-000588 · edgar.xml · derivative · entry 15

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394

Underlying: Common Stock · 393 shares

Expires 2026-11-14

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.

F7 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant vested on the first anniversary of the November 14, 2016 grant date, and the remaining seventy-five percent (75%) of the shares vested or will vest in equal monthly installments over the following three (3) years, subject to continued employment through such vesting date.

SEC source: 0000904454-20-000588 · edgar.xml · derivative · entry 14

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,249 shares

Expires 2026-03-15

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.

F6 · derivative.exercise_date: Twenty-five percent (25%) of the shares subject to this option grant vested on the first anniversary of the March 15, 2016 grant date, and the remaining seventy-five percent (75%) of the shares vested in equal monthly installments over the following three (3) years, subject to continued employment through such vesting date.

SEC source: 0000904454-20-000588 · edgar.xml · derivative · entry 13

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,499 shares

Expires 2024-06-12

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: The shares subject to this option grant vested in four equal annual installments beginning on the first anniversary of the June 12, 2014 grant date.

SEC source: 0000904454-20-000588 · edgar.xml · derivative · entry 12

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,499 shares

Expires 2023-03-02

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.

F4 · derivative.exercise_date: The shares subject to this option grant vested in four equal annual installments beginning on the first anniversary of the March 2, 2013 grant date.

SEC source: 0000904454-20-000588 · edgar.xml · derivative · entry 11

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000 shares

Expires 2021-03-10

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.

F3 · derivative.exercise_date: The shares subject to this option grant vested in four equal annual installments beginning on the first anniversary of the March 10, 2011 grant date.

SEC source: 0000904454-20-000588 · edgar.xml · nonDerivative · entry 10

Herrmann John A III · CIK 0001610928 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 275

F2 · price: The reported price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $144.30 to $145.17, inclusive. The reporting person undertakes to provide to the Company, any security holder of the Company, or the staff of the SEC, upon request, full information regarding the number of shares purchased at each price within the range set forth in this footnote.