ALBAN CARLOS

SEC source: 0001474632-26-000008 · wk-form4_1779140395.xml · derivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,300

Underlying: Common Stock · 3,300 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock unit ("RSU") represents a contingent right to receive 1 share of the issuer's Common Stock upon settlement.

F2 · derivative.exercise_date: The RSUs shall fully vest on May 15, 2027, subject to continued service through the vesting date.

F2 · derivative.expiration_date: The RSUs shall fully vest on May 15, 2027, subject to continued service through the vesting date.

SEC source: 0001474632-26-000005 · wk-form4_1777667141.xml · derivative · entry 2

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,403 shares

Expires 2035-04-30

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 1 share of the issuer's Common Stock upon settlement.

F2 · derivative.exercise_date: The RSUs are fully vested.

SEC source: 0001474632-26-000005 · wk-form4_1777667141.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,947

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: 0001474632-26-000003 · wk-form4_1774913681.xml · derivative · entry 2

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,980 shares

Expires 2034-05-13

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.

F1 · derivative.exercise_price: Each Restricted Stock unit ("RSU") represents a contingent right to receive 1 share of the issuer's Common Stock upon settlement.

F2 · derivative.exercise_date: The RSUs are fully vested.

SEC source: 0001474632-26-000003 · wk-form4_1774913681.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,544

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: 0001104659-25-065303 · tm2519678-6_4seq1.xml · derivative · entry 4

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,216 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · price: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.exercise_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.expiration_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

SEC source: 0001104659-25-065303 · tm2519678-6_4seq1.xml · derivative · entry 3

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,774 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · price: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.exercise_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.expiration_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

SEC source: 0001104659-25-065303 · tm2519678-6_4seq1.xml · derivative · entry 2

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,160 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F5 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · price: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.exercise_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.exercise_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

F5 · derivative.expiration_date: Pursuant to the terms of the Merger Agreement, at the Effective Time, each vested outstanding option to purchase shares of Issuer common stock immediately prior to the Effective Time, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time. Each unvested option outstanding was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the total number of shares of (Continued in footnote 6)

F6 · derivative.expiration_date: (Continued from footnote 5) Issuer common stock subject to such option immediately prior to the Effective Time and (ii) the excess, if any, of the Merger Consideration over the per share exercise price of the shares subject to such option award immediately prior to the Effective Time (each a "Parent Cash-Based Option Award"). Each Parent Cash-Based Option Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such option award immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based Option Award will vest, subject to the applicable holder's continued employment with Parent through such date. Any outstanding option, whether vested or unvested, to purchase shares of Issuer common stock with an exercise price per share greater than $47.00 was cancelled at the Effective Time for no consideration or payment.

SEC source: 0001104659-25-065303 · tm2519678-6_4seq1.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed of pursuant to the terms of the Agreement and Plan of Merger, dated April 27, 2025 (the "Merger Agreement"), by and among the Issuer, Merck KGaA, Darmstadt, Germany, a German corporation with general partners ("Parent"), and EMD Holdings Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), pursuant to which Merger Sub merged with and into the Issuer effective as of July 1, 2025, with the Issuer surviving the Merger as a wholly owned subsidiary of Parent (the "Merger").

F2 · shares: Includes 13,480 shares underlying restricted stock units (each, an "RSU") granted under the Issuer's 2019 Stock Option and Equity Incentive Plan (the "Plan"). Each RSU represents a contingent right to receive one share of Issuer common stock.

F3 · price: Pursuant to the terms of the Merger Agreement, at the effective time of the Merger (the "Effective Time"), each outstanding share of Issuer common stock was cancelled and automatically converted into the right to receive $47.00 in cash, without interest and subject to any required tax withholding (the "Merger Consideration").

F4 · price: Pursuant to the terms of the Merger Agreement, at the Effective Time, each outstanding RSU, whether vested or unvested, was cancelled and automatically converted into the right to receive an amount in cash, without interest and subject to any required tax withholding, equal to the product (rounded down to the nearest whole cent) of (i) the Merger Consideration payable with respect to such RSU multiplied by (ii) the total number of shares of Issuer common stock subject to such RSU immediately prior to the Effective Time (each a "Parent Cash-Based RSU Award"). Each Parent Cash-Based RSU Award will generally vest in accordance with the vesting terms that applied to the corresponding portion of such RSU immediately prior to the Effective Time; provided, that on the nine-month anniversary of the closing date of the Merger, 50% of each then-unvested tranche of each Parent Cash-Based RSU Award will vest, subject to the applicable holder's continued employment with Parent through such date.

SEC source: 0001104659-25-049656 · tm2515271-2_4seq1.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,861

F1 · kind: This transaction represents a grant of restricted stock units ("RSUs") pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's annual meeting of stockholders. The RSUs shall vest in full on the earlier of (i) May 14, 2026 and (ii) the next annual meeting of stockholders, subject to continued service to the Issuer by the Reporting Person.

SEC source: 0001628280-25-025960 · wk-form4_1747340538.xml · derivative · entry 2

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,564 shares

Expires 2034-05-13

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.

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive 1 share of the issuer's Class A Common Stock upon settlement.

F2 · derivative.exercise_date: The RSUs fully vested on May 13, 2025.

SEC source: 0001628280-25-025960 · wk-form4_1747340538.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,564

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: 0001628280-25-021889 · wk-form4_1746218276.xml · derivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,403

Underlying: Common Stock · 3,403 shares

Expires 2035-04-30

F1 · derivative.exercise_price: Each Restricted Stock Unit ("RSU") represents a contingent right to receive 1 share of the issuer's Class A Common Stock upon settlement.

F2 · derivative.exercise_date: The RSUs shall fully vest on April 30, 2026, subject to continued service through the vesting date.

SEC source: 0001104659-24-062975 · tm2414847-1_4seq1.xml · derivative · entry 2

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,216

Underlying: Common Stock · 12,216 shares

Expires 2034-05-16

F2 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's annual meeting of stockholders.

F3 · derivative.exercise_date: The options shall vest in full on the earlier of (i) May 16, 2025 and (ii) the next annual meeting of stockholders, subject to continued service to the Issuer by the Reporting Person.

SEC source: 0001104659-24-062975 · tm2414847-1_4seq1.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,801

F1 · kind: This transaction represents a grant of restricted stock units ("RSUs") pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's annual meeting of stockholders. The RSUs shall vest in full on the earlier of (i) May 16, 2025 and (ii) the next annual meeting of stockholders, subject to continued service to the Issuer by the Reporting Person.

SEC source: 0001127602-24-015492 · form4.xml · derivative · entry 2

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,544

Underlying: Common Stock · 1,980 shares

Expires 2034-05-13

F1 · derivative.exercise_price: Each Restricted Stock unit ("RSU") represents a contingent right to receive 1 share of the issuer's Class A Common Stock upon settlement.

F3 · derivative.exercise_date: The RSUs shall fully vest on March 27, 2026, subject to continued service through the vesting date.

SEC source: 0001127602-24-015492 · form4.xml · derivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,564

Underlying: Common Stock · 3,564 shares

Expires 2034-05-13

F1 · derivative.exercise_price: Each Restricted Stock unit ("RSU") represents a contingent right to receive 1 share of the issuer's Class A Common Stock upon settlement.

F2 · derivative.exercise_date: The RSUs shall fully vest on May 13, 2025, subject to continued service through the vesting date.

SEC source: 0001104659-23-064644 · tm2317015-1_4seq1.xml · derivative · entry 2

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,774

Underlying: Common Stock · 13,774 shares

Expires 2033-05-24

F2 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's annual meeting of stockholders.

F3 · derivative.exercise_date: The options shall vest in full on the earlier of (1) May 24, 2024 and (2) the next annual meeting of stockholders, subject to continued service to the Issuer by the Reporting Person.

SEC source: 0001104659-23-064644 · tm2317015-1_4seq1.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,706

F1 · kind: This transaction represents a grant of restricted stock units ("RSUs") pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for annual equity grants to the Issuer's non-employee directors on the date of the Issuer's annual meeting of stockholders. The RSUs shall vest in full on the earlier of (1) May 24, 2024 and (2) the next annual meeting of stockholders, subject to continued service to the Issuer by the Reporting Person.

SEC source: 0001104659-22-079983 · tm2221127-3_4seq1.xml · derivative · entry 2

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,160

Underlying: Common Stock · 30,160 shares

Expires 2032-07-14

F2 · kind: This transaction represents a grant of options pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for initial equity grants to the Issuer's non-employee directors on the date of the Reporting Person's commencement of service to the Issuer.

F3 · derivative.exercise_date: The options shall vest in equal monthly installments over 36 months following July 14, 2022, subject to continued service to the Issuer by the Reporting Person.

SEC source: 0001104659-22-079983 · tm2221127-3_4seq1.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,058

F1 · kind: This transaction represents a grant of restricted stock units ("RSUs") pursuant to the terms of the Issuer's Amended and Restated Non-Employee Director Compensation Policy which provides for initial equity grants to the Issuer's non-employee directors on the date of the Reporting Person's commencement of service to the Issuer. The RSUs shall vest in three (3) equal annual installments following July 14, 2022, subject to continued service to the Issuer by the Reporting Person.

SEC source: 0001179110-20-011204 · edgar.xml · derivative · entry 4

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 115,830 shares

Expires 2023-02-13

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.

F2 · security: Employee stock option granted pursuant to the AbbVie 2013 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3.

SEC source: 0001179110-20-011204 · edgar.xml · nonDerivative · entry 2

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,899

SEC source: 0001179110-20-011204 · edgar.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 230,729

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: 0001179110-20-008118 · edgar.xml · nonDerivative · entry 2

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,899

SEC source: 0001179110-20-008118 · edgar.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,899

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $100.00 to $100.03, inclusive. The reporting person undertakes to provide AbbVie Inc., any security holder of AbbVie Inc. 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.

SEC source: 0001179110-20-002851 · edgar.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,224

SEC source: 0001179110-20-002137 · edgar.xml · derivative · entry 6

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,566

Underlying: Common Stock · 114,566 shares

Expires 2030-02-19

F6 · security: Employee stock option granted pursuant to the AbbVie 2013 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3. The option becomes exercisable in annual increments of 38,189 on February 20, 2021, 38,189 on February 20, 2022, and 38,188 on February 20, 2023.

SEC source: 0001179110-20-002137 · edgar.xml · nonDerivative · entry 4

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,316

F4 · shares: Represents shares of AbbVie common stock issued under a performance vesting restricted stock unit award granted to the reporting person on February 21, 2019. The award is subject to performance-vesting restrictions based on a relative return on equity measure. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2020.

SEC source: 0001179110-20-002137 · edgar.xml · nonDerivative · entry 3

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,191

F3 · shares: Represents shares of AbbVie common stock issued under a performance vesting restricted stock unit award granted to the reporting person on February 15, 2018. The award is subject to performance-vesting restrictions based on a relative return on equity measure. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2020.

SEC source: 0001179110-20-002137 · edgar.xml · nonDerivative · entry 2

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,977

F2 · shares: Represents shares of AbbVie common stock issued under a performance vesting restricted stock unit award granted to the reporting person on February 16, 2017. The award is subject to performance-vesting restrictions based on a relative return on equity measure. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2020.

SEC source: 0001179110-20-002137 · edgar.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167,637

F1 · shares: Represents shares of AbbVie common stock issued under a performance share award granted to the reporting person on February 16, 2017. The award is subject to performance-vesting restrictions based on earnings per share and relative total shareholder return. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2020.

SEC source: 0001179110-19-003072 · edgar.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,877

SEC source: 0001179110-19-002369 · edgar.xml · derivative · entry 6

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,305

Underlying: Common Stock · 62,305 shares

Expires 2029-02-20

F6 · security: Employee stock option granted pursuant to the AbbVie 2013 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3. The option becomes exercisable in annual increments of 20,769 on February 21, 2020, 20,768 on February 21, 2021, and 20,768 on February 21, 2022.

SEC source: 0001179110-19-002369 · edgar.xml · nonDerivative · entry 4

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,002

F4 · shares: Represents shares of AbbVie common stock issued under a performance vesting restricted stock unit award granted to the reporting person on February 15, 2018. The award is subject to performance-vesting restrictions based on a relative return on equity measure. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2019.

SEC source: 0001179110-19-002369 · edgar.xml · nonDerivative · entry 3

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,787

F3 · shares: Represents shares of AbbVie common stock issued under a performance vesting restricted stock unit award granted to the reporting person on February 16, 2017. The award is subject to performance-vesting restrictions based on a relative return on equity measure. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2019.

SEC source: 0001179110-19-002369 · edgar.xml · nonDerivative · entry 2

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,447

F2 · shares: Represents shares of AbbVie common stock issued under a performance vesting restricted stock unit award granted to the reporting person on February 18, 2016. The award is subject to performance-vesting restrictions based on adjusted earnings per share and relative total shareholder return measures. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2019.

SEC source: 0001179110-19-002369 · edgar.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,097

F1 · shares: Represents shares of AbbVie common stock issued under a performance share award granted to the reporting person on February 18, 2016. The award is subject to performance-vesting restrictions based on a relative return on equity measure. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2019.

SEC source: 0001179110-18-003335 · edgar.xml · derivative · entry 8

ALBAN CARLOS · CIK 0001474632 · EVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 48,100 shares

Expires 2022-02-16

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.

F6 · security: Employee stock option granted pursuant to the AbbVie 2013 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3.

SEC source: 0001179110-18-003335 · edgar.xml · nonDerivative · entry 6

ALBAN CARLOS · CIK 0001474632 · EVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,552

F4 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.00 to $115.965, inclusive. The reporting person undertakes to provide AbbVie Inc., any security holder of AbbVie Inc. 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.

SEC source: 0001179110-18-003335 · edgar.xml · nonDerivative · entry 5

ALBAN CARLOS · CIK 0001474632 · EVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,381

F3 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $114.00 to $114.965, inclusive. The reporting person undertakes to provide AbbVie Inc., any security holder of AbbVie Inc. 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.

SEC source: 0001179110-18-003335 · edgar.xml · nonDerivative · entry 4

ALBAN CARLOS · CIK 0001474632 · EVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,378

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $113.53 to $113.97, inclusive. The reporting person undertakes to provide AbbVie Inc., any security holder of AbbVie Inc. 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.

SEC source: 0001179110-18-003335 · edgar.xml · nonDerivative · entry 3

ALBAN CARLOS · CIK 0001474632 · EVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,547

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: 0001179110-18-003335 · edgar.xml · nonDerivative · entry 2

ALBAN CARLOS · CIK 0001474632 · EVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,447

F1 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $117.847 to $117.861, inclusive. The reporting person undertakes to provide AbbVie Inc., any security holder of AbbVie Inc. 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.

SEC source: 0001179110-18-003335 · edgar.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · EVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 133,026

SEC source: 0001179110-18-002297 · edgar.xml · derivative · entry 5

ALBAN CARLOS · CIK 0001474632 · EVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,430

Underlying: Common Stock · 44,430 shares

Expires 2028-02-14

F5 · security: Employee stock option granted pursuant to the AbbVie 2013 Incentive Stock Program in a transaction exempt from Section 16 under Rule 16b-3.The option becomes exercisable in annual increments of 14,810 on February 15, 2019, 14,810 on February 15, 2020, and 14,810 on February 15, 2021.

SEC source: 0001179110-18-002297 · edgar.xml · nonDerivative · entry 3

ALBAN CARLOS · CIK 0001474632 · EVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,002

F3 · shares: Represents shares of AbbVie common stock issued under a performance-vested restricted stock unit award granted to the reporting person on February 16, 2017. The award is subject to performance-vesting restrictions based on a relative return on equity measure. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2018.

SEC source: 0001179110-18-002297 · edgar.xml · nonDerivative · entry 2

ALBAN CARLOS · CIK 0001474632 · EVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,662

F2 · shares: Represents shares of AbbVie common stock issued under a performance share award granted to the reporting person on February 16, 2017. The award is subject to performance-vesting restrictions based on adjusted earnings per share and relative total shareholder return measures. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2018.

SEC source: 0001179110-18-002297 · edgar.xml · nonDerivative · entry 1

ALBAN CARLOS · CIK 0001474632 · EVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,950

F1 · shares: Represents shares of AbbVie common stock issued under a performance-vested restricted stock unit award granted to the reporting person on February 18, 2016. The award is subject to performance-vesting restrictions based on a relative return on equity measure. The performance-vesting restrictions with respect to these shares were released on the date reported in Column 2 above upon certification of performance goal attainment by the Compensation Committee of AbbVie's Board of Directors. The shares will be issued to the reporting person on February 28, 2018.

SEC source: 0001179110-17-009114 · edgar.xml · derivative · entry 4

ALBAN CARLOS · CIK 0001474632 · EVP, Commercial Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 45,800 shares

Expires 2021-02-17

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.