SUPN

SEC source: 0001104659-18-041086 · a4.xml · nonDerivative · entry 2

Schwabe Stefan K.F. · CIK 0001557657 · Executive VP R&D, CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,967

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted May 17, 2018.

SEC source: 0001104659-18-041086 · a4.xml · nonDerivative · entry 1

Schwabe Stefan K.F. · CIK 0001557657 · Executive VP R&D, CMO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,967

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted May 17, 2018.

SEC source: 0001104659-18-033849 · a4.xml · derivative · entry 6

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,500

Underlying: Common Stock · 7,500 shares

Expires 2025-03-03

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

F4 · derivative.exercise_date: The option became exercisable in four equal installments beginning on March 3, 2016, which was the first anniversary of the date on which the option was granted.

SEC source: 0001104659-18-033849 · a4.xml · derivative · entry 5

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common Stock · 368 shares

Expires 2024-01-21

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

F3 · derivative.exercise_date: The option became exercisable in four equal installments beginning on January 21, 2015, which was the first anniversary of the date on which the option was granted.

SEC source: 0001104659-18-033849 · a4.xml · nonDerivative · entry 4

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.9000 to $57.9500, inclusive. The reporting person undertakes to provide to Supernus Pharmaceuticals, Inc. ("Supernus"), any security holder of Supernus, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

SEC source: 0001104659-18-033849 · a4.xml · nonDerivative · entry 3

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

SEC source: 0001104659-18-033849 · a4.xml · nonDerivative · entry 2

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.9000 to $57.9500, inclusive. The reporting person undertakes to provide to Supernus Pharmaceuticals, Inc. ("Supernus"), any security holder of Supernus, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

SEC source: 0001104659-18-033849 · a4.xml · nonDerivative · entry 1

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,868

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

SEC source: 0001104659-18-032900 · a4.xml · derivative · entry 12

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,868

Underlying: Common Stock · 10,882 shares

Expires 2024-01-21

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

F6 · derivative.exercise_date: The option became exercisable in four equal installments beginning on January 21, 2015, which was the first anniversary of the date on which the option was granted.

SEC source: 0001104659-18-032900 · a4.xml · derivative · entry 11

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,750

Underlying: Common Stock · 11,250 shares

Expires 2024-01-21

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

F6 · derivative.exercise_date: The option became exercisable in four equal installments beginning on January 21, 2015, which was the first anniversary of the date on which the option was granted.

SEC source: 0001104659-18-032900 · a4.xml · derivative · entry 10

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2023-02-05

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.

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

F5 · derivative.exercise_date: The option became exercisable in four equal installments beginning on February 5, 2014, which was the first anniversary of the date on which the option was granted.

SEC source: 0001104659-18-032900 · a4.xml · nonDerivative · entry 8

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

SEC source: 0001104659-18-032900 · a4.xml · nonDerivative · entry 7

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,382

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

SEC source: 0001104659-18-032900 · a4.xml · nonDerivative · entry 6

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,500

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $54.8500 to $55.5000, inclusive. The reporting person undertakes to provide to Supernus Pharmaceuticals, Inc. ("Supernus"), any security holder of Supernus, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

SEC source: 0001104659-18-032900 · a4.xml · nonDerivative · entry 5

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,750

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

SEC source: 0001104659-18-032900 · a4.xml · nonDerivative · entry 4

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $51.8500 to $52.2750, inclusive. The reporting person undertakes to provide to Supernus Pharmaceuticals, Inc. ("Supernus"), any security holder of Supernus, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

SEC source: 0001104659-18-032900 · a4.xml · nonDerivative · entry 3

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,500

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

SEC source: 0001104659-18-032900 · a4.xml · derivative · entry 9

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2023-02-05

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.

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

F5 · derivative.exercise_date: The option became exercisable in four equal installments beginning on February 5, 2014, which was the first anniversary of the date on which the option was granted.

SEC source: 0001104659-18-032900 · a4.xml · nonDerivative · entry 2

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,500

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.8500 to $49.9500, inclusive. The reporting person undertakes to provide to Supernus Pharmaceuticals, Inc. ("Supernus"), any security holder of Supernus, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

SEC source: 0001104659-18-032900 · a4.xml · nonDerivative · entry 1

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,500

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

SEC source: 0001104659-18-025639 · a4.xml · derivative · entry 8

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,400

Underlying: Common Stock · 7,850 shares

Expires 2027-02-24

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

F5 · derivative.exercise_date: The option became exercisable in four equal installments beginning on February 24, 2018, which was the first anniversary of the date on which the option was granted.

SEC source: 0001104659-18-025639 · a4.xml · nonDerivative · entry 5

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,344

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $49.00 to $49.15, inclusive. The reporting person undertakes to provide to Supernus Pharmaceuticals, Inc. ("Supernus"), any security holder of Supernus, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

SEC source: 0001104659-18-025639 · a4.xml · nonDerivative · entry 4

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,194

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

SEC source: 0001104659-18-025639 · a4.xml · derivative · entry 7

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,250

Underlying: Common Stock · 3,750 shares

Expires 2027-02-24

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

F5 · derivative.exercise_date: The option became exercisable in four equal installments beginning on February 24, 2018, which was the first anniversary of the date on which the option was granted.

SEC source: 0001104659-18-025639 · a4.xml · derivative · entry 6

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 6,250 shares

Expires 2026-03-01

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

F4 · derivative.exercise_date: The option became exercisable in four equal installments beginning on March 1, 2017, which was the first anniversary of the date on which the option was granted.

SEC source: 0001104659-18-025639 · a4.xml · nonDerivative · entry 3

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,344

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.00 to $47.25, inclusive. The reporting person undertakes to provide to Supernus Pharmaceuticals, Inc. ("Supernus"), any security holder of Supernus, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

SEC source: 0001104659-18-025639 · a4.xml · nonDerivative · entry 2

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,344

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

SEC source: 0001104659-18-025639 · a4.xml · nonDerivative · entry 1

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales & Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,594

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

SEC source: 0001104659-23-014592 · tm235112-4_5seq1.xml · nonDerivative · entry 1

NEWHALL CHARLES W III · CIK 0001005544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,250

SEC source: 0001104659-18-023012 · a4.xml · derivative · entry 9

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,250

Underlying: Common Stock · 18,750 shares

Expires 2026-03-01

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

F5 · derivative.exercise_date: The option became exercisable in four equal installments beginning on March 1, 2017, which was the first anniversary of the date on which the option was granted.

SEC source: 0001104659-18-023012 · a4.xml · derivative · entry 8

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,750

Underlying: Common Stock · 26,250 shares

Expires 2025-03-03

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

F4 · derivative.exercise_date: The option became exercisable in four equal installments beginning on March 3, 2016, which was the first anniversary of the date on which the option was granted.

SEC source: 0001104659-18-023012 · a4.xml · derivative · entry 7

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2024-01-21

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

F3 · derivative.exercise_date: The option became exercisable in four equal installments beginning on January 21, 2015, which was the first anniversary of the date on which the option was granted.

SEC source: 0001104659-18-023012 · a4.xml · nonDerivative · entry 6

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,344

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.1500 to $45.9750, inclusive. The reporting person undertakes to provide to Supernus Pharmaceuticals, Inc. ("Supernus"), any security holder of Supernus, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

SEC source: 0001104659-18-023012 · a4.xml · nonDerivative · entry 5

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,094

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

SEC source: 0001104659-18-023012 · a4.xml · nonDerivative · entry 4

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,344

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.1500 to $45.9750, inclusive. The reporting person undertakes to provide to Supernus Pharmaceuticals, Inc. ("Supernus"), any security holder of Supernus, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

SEC source: 0001104659-18-023012 · a4.xml · nonDerivative · entry 3

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,594

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

SEC source: 0001104659-18-023012 · a4.xml · nonDerivative · entry 2

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,344

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.1500 to $45.9750, inclusive. The reporting person undertakes to provide to Supernus Pharmaceuticals, Inc. ("Supernus"), any security holder of Supernus, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (2) to this Form 4.

SEC source: 0001104659-18-023012 · a4.xml · nonDerivative · entry 1

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales and Marketing

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,344

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 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted March 6, 2018.

SEC source: 0001104659-18-022451 · a4.xml · nonDerivative · entry 2

Khattar Jack A. · CIK 0001539937 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By the KBT Trust

Disclosed balance after: 1,085,950

F1 · price: The Reporting Person is filing this Form 4 to reflect the fact that 3,800 shares were transferred from the KBT Trust to the Reporting Person on April 3, 2018 without consideration and are now owned directly.

SEC source: 0001104659-18-022451 · a4.xml · nonDerivative · entry 1

Khattar Jack A. · CIK 0001539937 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 453,744

F1 · price: The Reporting Person is filing this Form 4 to reflect the fact that 3,800 shares were transferred from the KBT Trust to the Reporting Person on April 3, 2018 without consideration and are now owned directly.

F1 · balance_after: The Reporting Person is filing this Form 4 to reflect the fact that 3,800 shares were transferred from the KBT Trust to the Reporting Person on April 3, 2018 without consideration and are now owned directly.

SEC source: 0001104659-18-012894 · a4.xml · derivative · entry 2

NEWHALL CHARLES W III · CIK 0001005544 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,613

Underlying: Common Stock · 8,613 shares

Expires 2028-02-23

SEC source: 0001104659-18-012892 · a4.xml · derivative · entry 2

Hudson Frederick M. · CIK 0001438462 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,613

Underlying: Common Stock · 8,613 shares

Expires 2028-02-23

SEC source: 0001104659-18-012893 · a4.xml · derivative · entry 2

SIEBERT JOHN M · CIK 0001190558 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,613

Underlying: Common Stock · 8,613 shares

Expires 2028-02-23

SEC source: 0001104659-18-012890 · a4.xml · derivative · entry 1

GEMAYEL GEORGES · CIK 0001256088 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,613

Underlying: Common Stock · 8,613 shares

Expires 2028-02-23

SEC source: 0001104659-18-010414 · a4.xml · derivative · entry 2

PATRICK GREGORY S · CIK 0001219844 · VP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-02-14

F1 · derivative.exercise_date: The option vests in four equal annual installments beginning on February 14, 2019.

SEC source: 0001104659-18-010415 · a4.xml · derivative · entry 2

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-02-14

F1 · derivative.exercise_date: The option vests in four equal annual installments beginning on February 14, 2019.

SEC source: 0001104659-18-010412 · a4.xml · derivative · entry 2

Vaughn Victor · CIK 0001567077 · Sr. VP of Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

Underlying: Common Stock · 33,000 shares

Expires 2028-02-14

F1 · derivative.exercise_date: The option vests in four equal annual installments beginning on February 14, 2019.

SEC source: 0001104659-18-010411 · a4.xml · derivative · entry 4

Khattar Jack A. · CIK 0001539937 · Director · President, CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2028-02-14

F3 · derivative.exercise_date: The option vests in four equal annual installments beginning on February 14, 2019.

SEC source: 0001104659-18-010410 · a4.xml · derivative · entry 2

Schwabe Stefan K.F. · CIK 0001557657 · Executive Vice President R&D

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-02-14

F2 · derivative.exercise_date: The option vests in four equal annual installments beginning on February 14, 2019.

SEC source: 0001104659-18-003366 · a4.xml · derivative · entry 3

Bhatt Padmanabh P. · CIK 0001539215 · Sr. VP of IP, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 20,000 shares

Expires 2023-02-05

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.

F1 · kind: Transaction made pursuant to a Rule 10b5-1 trading plan adopted December 14, 2017.

F3 · derivative.exercise_date: The option became exercisable in four equal installments beginning on February 5, 2014, which was the first anniversary of the date on which the option was granted.