SNPS

SEC source: 0001199719-20-000136 · edgardoc.xml · derivative · entry 3

Kankanwadi Sudhindra · CIK 0001652437 · Senior VP, Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,556

Underlying: Common Stock · 4,556 shares

Expires 2027-12-10

F3 · kind: Grant to reporting person to buy shares of common stock under the Synopsys, Inc 2006 Employee Equity Incentive Plan.

F4 · derivative.exercise_date: 1/4 of the grant becomes exercisable one year after grant date with the remainder becoming exercisable in a series of 12 equal quarterly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001199719-20-000136 · edgardoc.xml · nonDerivative · entry 2

Kankanwadi Sudhindra · CIK 0001652437 · Senior VP, Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,141

F2 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001199719-20-000136 · edgardoc.xml · nonDerivative · entry 1

Kankanwadi Sudhindra · CIK 0001652437 · Senior VP, Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,693

F1 · shares: Represents one tranche of a performance-based restricted stock award granted on October 18, 2019 for which a non-GAAP operating margin goal for the fiscal year ended October 31, 2020 was determined by the Compensation Committee to have been achieved on December 10, 2020. All of the stock units subject to this tranche vested on December 10, 2020.

SEC source: 0001199719-20-000137 · edgardoc.xml · derivative · entry 8

Ghazi Sassine · CIK 0001822289 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,339

Underlying: Common Stock · 5,339 shares

Expires 2024-12-08

F7 · kind: The Compensation Committee of the Board of Directors approved a restricted stock unit grant under the Synopsys, Inc. 2006 Employee Equity Incentive Plan.

F6 · derivative.exercise_date: 25% of the units vest on the date shown followed by three equal annual installments.

SEC source: 0001199719-20-000137 · edgardoc.xml · derivative · entry 7

Ghazi Sassine · CIK 0001822289 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,452

Underlying: Common Stock · 2,484 shares

Expires 2023-12-08

F6 · derivative.exercise_date: 25% of the units vest on the date shown followed by three equal annual installments.

SEC source: 0001199719-20-000137 · edgardoc.xml · derivative · entry 6

Ghazi Sassine · CIK 0001822289 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,936

Underlying: Common Stock · 9,936 shares

Expires 2023-12-08

F5 · kind: Represents a performance-based restricted stock unit award granted on December 12, 2019 for which a non-GAAP net income goal for the fiscal year ended October 31, 2020 was determined by the Compensation Committee to have been achieved on December 10, 2020 and are reflected in Table 1, and the remaining 75% will vest in three equal annual installments beginning on December 8, 2021, subject to continue service through each vesting date.

SEC source: 0001199719-20-000137 · edgardoc.xml · derivative · entry 5

Ghazi Sassine · CIK 0001822289 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,705

Underlying: Common Stock · 20,705 shares

Expires 2027-12-10

F3 · kind: Grant to reporting person to buy shares of common stock under the Synopsys, Inc 2006 Employee Equity Incentive Plan.

F4 · derivative.exercise_date: 1/4 of the grant becomes exercisable one year after grant date with the remainder becoming exercisable in a series of 12 equal quarterly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001199719-20-000137 · edgardoc.xml · nonDerivative · entry 4

Ghazi Sassine · CIK 0001822289 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,302

F2 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001199719-20-000137 · edgardoc.xml · nonDerivative · entry 3

Ghazi Sassine · CIK 0001822289 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,404

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: 0001199719-20-000137 · edgardoc.xml · nonDerivative · entry 2

Ghazi Sassine · CIK 0001822289 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,920

F2 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001199719-20-000137 · edgardoc.xml · nonDerivative · entry 1

Ghazi Sassine · CIK 0001822289 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,948

F1 · shares: Represents one tranche of a performance-based restricted stock award granted on October 18, 2019 for which a non-GAAP operating margin goal for the fiscal year ended October 31, 2020 was determined by the Compensation Committee to have been achieved on December 10, 2020. All of the stock units subject to this tranche vested on December 10, 2020.

SEC source: 0001199719-20-000135 · edgardoc.xml · derivative · entry 8

Logan Joseph W · CIK 0001373606 · Sales & Corp Mktg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,737

Underlying: Common Stock · 3,737 shares

Expires 2024-12-08

F7 · kind: The Compensation Committee of the Board of Directors approved a restricted stock unit grant under the Synopsys, Inc. 2006 Employee Equity Incentive Plan.

F6 · derivative.exercise_date: 25% of the units vest on the date shown followed by three equal annual installments.

SEC source: 0001199719-20-000135 · edgardoc.xml · derivative · entry 7

Logan Joseph W · CIK 0001373606 · Sales & Corp Mktg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,900

Underlying: Common Stock · 2,300 shares

Expires 2023-12-08

F6 · derivative.exercise_date: 25% of the units vest on the date shown followed by three equal annual installments.

SEC source: 0001199719-20-000135 · edgardoc.xml · derivative · entry 6

Logan Joseph W · CIK 0001373606 · Sales & Corp Mktg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,200

Underlying: Common Stock · 9,200 shares

Expires 2023-12-08

F5 · kind: Represents a performance-based restricted stock unit award granted on December 12, 2019 for which a non-GAAP net income goal for the fiscal year ended October 31, 2020 was determined by the Compensation Committee to have been achieved on December 10, 2020 and are reflected in Table 1, and the remaining 75% will vest in three equal annual installments beginning on December 8, 2021, subject to continue service through each vesting date.

SEC source: 0001199719-20-000135 · edgardoc.xml · derivative · entry 5

Logan Joseph W · CIK 0001373606 · Sales & Corp Mktg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,494

Underlying: Common Stock · 14,494 shares

Expires 2027-12-10

F3 · kind: Grant to reporting person to buy shares of common stock under the Synopsys, Inc 2006 Employee Equity Incentive Plan.

F4 · derivative.exercise_date: 1/4 of the grant becomes exercisable one year after grant date with the remainder becoming exercisable in a series of 12 equal quarterly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001199719-20-000135 · edgardoc.xml · nonDerivative · entry 4

Logan Joseph W · CIK 0001373606 · Sales & Corp Mktg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,422

F2 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001199719-20-000135 · edgardoc.xml · nonDerivative · entry 3

Logan Joseph W · CIK 0001373606 · Sales & Corp Mktg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,563

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: 0001199719-20-000135 · edgardoc.xml · nonDerivative · entry 2

Logan Joseph W · CIK 0001373606 · Sales & Corp Mktg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,263

F2 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001199719-20-000135 · edgardoc.xml · nonDerivative · entry 1

Logan Joseph W · CIK 0001373606 · Sales & Corp Mktg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,101

F1 · shares: Represents one tranche of a performance-based restricted stock award granted on October 18, 2019 for which a non-GAAP operating margin goal for the fiscal year ended October 31, 2020 was determined by the Compensation Committee to have been achieved on December 10, 2020. All of the stock units subject to this tranche vested on December 10, 2020.

SEC source: 0001199719-20-000134 · edgardoc.xml · derivative · entry 8

Pham Trac · CIK 0001627340 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,737

Underlying: Common Stock · 3,737 shares

Expires 2024-12-08

F7 · kind: The Compensation Committee of the Board of Directors approved a restricted stock unit grant under the Synopsys, Inc. 2006 Employee Equity Incentive Plan.

F6 · derivative.exercise_date: 25% of the units vest on the date shown followed by three equal annual installments.

SEC source: 0001199719-20-000134 · edgardoc.xml · derivative · entry 7

Pham Trac · CIK 0001627340 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,452

Underlying: Common Stock · 2,484 shares

Expires 2023-12-08

F6 · derivative.exercise_date: 25% of the units vest on the date shown followed by three equal annual installments.

SEC source: 0001199719-20-000134 · edgardoc.xml · derivative · entry 6

Pham Trac · CIK 0001627340 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,936

Underlying: Common Stock · 9,936 shares

Expires 2023-12-08

F5 · kind: Represents a performance-based restricted stock unit award granted on December 12, 2019 for which a non-GAAP net income goal for the fiscal year ended October 31, 2020 was determined by the Compensation Committee to have been achieved on December 10, 2020 and are reflected in Table 1, and the remaining 75% will vest in three equal annual installments beginning on December 8, 2021, subject to continue service through each vesting date.

SEC source: 0001199719-20-000134 · edgardoc.xml · derivative · entry 5

Pham Trac · CIK 0001627340 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,494

Underlying: Common Stock · 14,494 shares

Expires 2027-12-10

F3 · kind: Grant to reporting person to buy shares of common stock under the Synopsys, Inc 2006 Employee Equity Incentive Plan.

F4 · derivative.exercise_date: 1/4 of the grant becomes exercisable one year after grant date with the remainder becoming exercisable in a series of 12 equal quarterly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001199719-20-000134 · edgardoc.xml · nonDerivative · entry 4

Pham Trac · CIK 0001627340 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,319

F2 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001199719-20-000134 · edgardoc.xml · nonDerivative · entry 3

Pham Trac · CIK 0001627340 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,551

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: 0001199719-20-000134 · edgardoc.xml · nonDerivative · entry 2

Pham Trac · CIK 0001627340 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,067

F2 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001199719-20-000134 · edgardoc.xml · nonDerivative · entry 1

Pham Trac · CIK 0001627340 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,226

F1 · shares: Represents one tranche of a performance-based restricted stock award granted on October 18, 2019 for which a non-GAAP operating margin goal for the fiscal year ended October 31, 2020 was determined by the Compensation Committee to have been achieved on December 10, 2020. All of the stock units subject to this tranche vested on December 10, 2020.

SEC source: 0001199719-20-000133 · edgardoc.xml · derivative · entry 8

RUNKEL JOHN F JR · CIK 0001206990 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,349

Underlying: Common Stock · 2,349 shares

Expires 2024-12-08

F7 · kind: The Compensation Committee of the Board of Directors approved a restricted stock unit grant under the Synopsys, Inc. 2006 Employee Equity Incentive Plan.

F6 · derivative.exercise_date: 25% of the units vest on the date shown followed by three equal annual installments.

SEC source: 0001199719-20-000133 · edgardoc.xml · derivative · entry 7

RUNKEL JOHN F JR · CIK 0001206990 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,278

Underlying: Common Stock · 1,426 shares

Expires 2023-12-08

F6 · derivative.exercise_date: 25% of the units vest on the date shown followed by three equal annual installments.

SEC source: 0001199719-20-000133 · edgardoc.xml · derivative · entry 6

RUNKEL JOHN F JR · CIK 0001206990 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,704

Underlying: Common Stock · 5,704 shares

Expires 2023-12-08

F5 · kind: Represents a performance-based restricted stock unit award granted on December 12, 2019 for which a non-GAAP net income goal for the fiscal year ended October 31, 2020 was determined by the Compensation Committee to have been achieved on December 10, 2020 and are reflected in Table 1, and the remaining 75% will vest in three equal annual installments beginning on December 8, 2021, subject to continue service through each vesting date.

SEC source: 0001199719-20-000133 · edgardoc.xml · derivative · entry 5

RUNKEL JOHN F JR · CIK 0001206990 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,111

Underlying: Common Stock · 9,111 shares

Expires 2027-12-10

F3 · kind: Grant to reporting person to buy shares of common stock under the Synopsys, Inc 2006 Employee Equity Incentive Plan.

F4 · derivative.exercise_date: 1/4 of the grant becomes exercisable one year after grant date with the remainder becoming exercisable in a series of 12 equal quarterly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001199719-20-000133 · edgardoc.xml · nonDerivative · entry 4

RUNKEL JOHN F JR · CIK 0001206990 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,062

F2 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001199719-20-000133 · edgardoc.xml · nonDerivative · entry 3

RUNKEL JOHN F JR · CIK 0001206990 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,770

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: 0001199719-20-000133 · edgardoc.xml · nonDerivative · entry 2

RUNKEL JOHN F JR · CIK 0001206990 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,344

F2 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001199719-20-000133 · edgardoc.xml · nonDerivative · entry 1

RUNKEL JOHN F JR · CIK 0001206990 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,080

F1 · shares: Represents one tranche of a performance-based restricted stock award granted on October 18, 2019 for which a non-GAAP operating margin goal for the fiscal year ended October 31, 2020 was determined by the Compensation Committee to have been achieved on December 10, 2020. All of the stock units subject to this tranche vested on December 10, 2020.

SEC source: 0001199719-20-000132 · edgardoc.xml · derivative · entry 11

DE GEUS AART · CIK 0001249802 · Director · Chairman of the Board & Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,474

Underlying: Common Stock · 7,474 shares

Expires 2024-12-08

F7 · kind: The Compensation Committee of the Board of Directors approved a restricted stock unit grant under the Synopsys, Inc. 2006 Employee Equity Incentive Plan.

F6 · derivative.exercise_date: 25% of the units vest on the date shown followed by three equal annual installments.

SEC source: 0001199719-20-000132 · edgardoc.xml · derivative · entry 10

DE GEUS AART · CIK 0001249802 · Director · Chairman of the Board & Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,695

Underlying: Common Stock · 4,232 shares

Expires 2023-12-08

F6 · derivative.exercise_date: 25% of the units vest on the date shown followed by three equal annual installments.

SEC source: 0001199719-20-000132 · edgardoc.xml · derivative · entry 9

DE GEUS AART · CIK 0001249802 · Director · Chairman of the Board & Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,927

Underlying: Common Stock · 16,927 shares

Expires 2023-12-08

F5 · kind: Represents a performance-based restricted stock unit award granted on December 12, 2019 for which a non-GAAP net income goal for the fiscal year ended October 31, 2020 was determined by the Compensation Committee to have been achieved on December 10, 2020 and are reflected in Table 1, and the remaining 75% will vest in three equal annual installments beginning on December 8, 2021, subject to continue service through each vesting date.

SEC source: 0001199719-20-000132 · edgardoc.xml · derivative · entry 8

DE GEUS AART · CIK 0001249802 · Director · Chairman of the Board & Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,987

Underlying: Common Stock · 28,987 shares

Expires 2027-12-10

F3 · kind: Grant to reporting person to buy shares of common stock under the Synopsys, Inc 2006 Employee Equity Incentive Plan.

F4 · derivative.exercise_date: 1/4 of the grant becomes exercisable one year after grant date with the remainder becoming exercisable in a series of 12 equal quarterly installments thereafter, subject to continued service through each vesting date.

SEC source: 0001199719-20-000132 · edgardoc.xml · nonDerivative · entry 4

DE GEUS AART · CIK 0001249802 · Director · Chairman of the Board & Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,453

F2 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001199719-20-000132 · edgardoc.xml · nonDerivative · entry 3

DE GEUS AART · CIK 0001249802 · Director · Chairman of the Board & Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,552

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: 0001199719-20-000132 · edgardoc.xml · nonDerivative · entry 2

DE GEUS AART · CIK 0001249802 · Director · Chairman of the Board & Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,320

F2 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001199719-20-000132 · edgardoc.xml · nonDerivative · entry 1

DE GEUS AART · CIK 0001249802 · Director · Chairman of the Board & Co-CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,408

F1 · shares: Represents one tranche of a performance-based restricted stock award granted on October 18, 2019 for which a non-GAAP operating margin goal for the fiscal year ended October 31, 2020 was determined by the Compensation Committee to have been achieved on December 10, 2020. All of the stock units subject to this tranche vested on December 10, 2020.

SEC source: 0001594376-20-000002 · edgardoc.xml · nonDerivative · entry 1

RUNKEL JOHN F JR · CIK 0001206990 · GC & Corporate Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,377

F1 · price: Gift

SEC source: 0001199719-20-000124 · edgardoc.xml · derivative · entry 9

CHAN CHI-FOON · CIK 0001249834 · Director · Co-CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,394

Underlying: Common Stock · 6,197 shares

Expires 2022-12-08

SEC source: 0001199719-20-000124 · edgardoc.xml · derivative · entry 8

CHAN CHI-FOON · CIK 0001249834 · Director · Co-CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,214

Underlying: Common Stock · 6,215 shares

Expires 2021-12-08

SEC source: 0001199719-20-000124 · edgardoc.xml · derivative · entry 7

CHAN CHI-FOON · CIK 0001249834 · Director · Co-CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,661 shares

Expires 2020-12-08

SEC source: 0001199719-20-000124 · edgardoc.xml · nonDerivative · entry 6

CHAN CHI-FOON · CIK 0001249834 · Director · Co-CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,873

F1 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.

SEC source: 0001199719-20-000124 · edgardoc.xml · nonDerivative · entry 5

CHAN CHI-FOON · CIK 0001249834 · Director · Co-CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,946

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: 0001199719-20-000124 · edgardoc.xml · nonDerivative · entry 4

CHAN CHI-FOON · CIK 0001249834 · Director · Co-CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,749

F1 · shares: These shares were retained by the Company in order to meet the tax withholding obligations of the reporting person in connection with the vesting of an installment of the performance-based restricted stock unit award. The Compensation Committee approved the disposition of shares by the reporting person and the amount retained by the Company was not in excess of the amount of the tax liability.