SMITH IAN F

SEC source: 0000899243-23-014998 · doc4.xml · derivative · entry 3

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,650

Underlying: Common Stock · 9,650 shares

Expires 2033-06-06

F3 · derivative.exercise_date: This option was granted on June 6, 2023 and vests in full on the earlier to occur of the one-year anniversary of the grant date and immediately prior to the Issuer's next annual meeting of stockholders occurring after the grant date, and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0000899243-23-014998 · doc4.xml · derivative · entry 2

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,709

Underlying: Common Stock · 15,569 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units were granted on January 3, 2023 (the "Grant Date") and vest in equal quarterly installments beginning three months from the Grant Date, with the final installment vesting the date that is 12 months from the Grant Date; provided that in the event of the early termination of the First Amendment to Executive Chair Agreement between the Issuer and the reporting person (the "Smith Agreement") prior to the expiration of the Term (as defined in the Smith Agreement) and/or a change in control of the Issuer, the restricted stock units shall accelerate in full.

F2 · derivative.expiration_date: The restricted stock units were granted on January 3, 2023 (the "Grant Date") and vest in equal quarterly installments beginning three months from the Grant Date, with the final installment vesting the date that is 12 months from the Grant Date; provided that in the event of the early termination of the First Amendment to Executive Chair Agreement between the Issuer and the reporting person (the "Smith Agreement") prior to the expiration of the Term (as defined in the Smith Agreement) and/or a change in control of the Issuer, the restricted stock units shall accelerate in full.

SEC source: 0000899243-23-014998 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,239

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0000899243-23-001134 · doc4.xml · derivative · entry 4

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,278

Underlying: Common Stock · 62,278 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock (the "Smith RSUs").

F3 · derivative.exercise_date: The Smith RSUs (as defined in footnote 4) and this option (together with the Smith RSUs, the "Smith Equity Awards") were granted on January 3, 2023 (the "Grant Date") and vest in equal quarterly installments with the first installment vesting three months from the Grant Date and the final installment vesting date being the date that is 12 months from the Grant Date; provided that in the event of the early termination of the First Amendment to Executive Chair Agreement between the Issuer and the reporting person (the "Smith Agreement") prior to the expiration of the Term (as defined in the Smith Agreement) and/or a change in control of the Issuer, the Smith Equity Awards shall accelerate in full.

F3 · derivative.expiration_date: The Smith RSUs (as defined in footnote 4) and this option (together with the Smith RSUs, the "Smith Equity Awards") were granted on January 3, 2023 (the "Grant Date") and vest in equal quarterly installments with the first installment vesting three months from the Grant Date and the final installment vesting date being the date that is 12 months from the Grant Date; provided that in the event of the early termination of the First Amendment to Executive Chair Agreement between the Issuer and the reporting person (the "Smith Agreement") prior to the expiration of the Term (as defined in the Smith Agreement) and/or a change in control of the Issuer, the Smith Equity Awards shall accelerate in full.

SEC source: 0000899243-23-001134 · doc4.xml · derivative · entry 3

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,796

Underlying: Common Stock · 70,796 shares

Expires 2033-01-03

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.

F3 · derivative.exercise_date: The Smith RSUs (as defined in footnote 4) and this option (together with the Smith RSUs, the "Smith Equity Awards") were granted on January 3, 2023 (the "Grant Date") and vest in equal quarterly installments with the first installment vesting three months from the Grant Date and the final installment vesting date being the date that is 12 months from the Grant Date; provided that in the event of the early termination of the First Amendment to Executive Chair Agreement between the Issuer and the reporting person (the "Smith Agreement") prior to the expiration of the Term (as defined in the Smith Agreement) and/or a change in control of the Issuer, the Smith Equity Awards shall accelerate in full.

SEC source: 0000899243-23-001134 · doc4.xml · derivative · entry 2

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,620 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units were granted on January 3, 2022 and vested in equal quarterly installments beginning three months from the date of the grant, with the final installment vesting 12 months from the date of the grant.

F2 · derivative.expiration_date: The restricted stock units were granted on January 3, 2022 and vested in equal quarterly installments beginning three months from the date of the grant, with the final installment vesting 12 months from the date of the grant.

SEC source: 0000899243-23-001134 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,670

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0000899243-22-038696 · doc4.xml · derivative · entry 2

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,650

Underlying: Common Stock · 9,650 shares

Expires 2032-12-13

F2 · derivative.exercise_date: This option was granted on December 13, 2022 and vests in full on the one-year anniversary of the grant date, and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0000899243-22-037693 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,380

F1 · price: The reporting person acquired 13,172 shares of the issuer's common stock pursuant to the issuer's acquisition of all of the outstanding capital stock of AavantiBio, Inc. on December 2, 2022.

SEC source: 0001209191-22-052331 · doc4.xml · derivative · entry 2

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,312

Underlying: Common Stock · 24,312 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units were granted on January 3, 2022 and vest in equal quarterly installments beginning three months from the date of the grant, with the final installment vesting 12 months from the date of the grant, subject to continued service as a director, and in the event of a change in control, the vesting schedule of the award will accelerate in full.

F2 · derivative.expiration_date: The restricted stock units were granted on January 3, 2022 and vest in equal quarterly installments beginning three months from the date of the grant, with the final installment vesting 12 months from the date of the grant, subject to continued service as a director, and in the event of a change in control, the vesting schedule of the award will accelerate in full.

SEC source: 0001209191-22-052331 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 343,208

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-22-041164 · doc4.xml · derivative · entry 2

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,624

Underlying: Common Stock · 24,313 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units were granted on January 3, 2022 and vest in equal quarterly installments beginning three months from the date of the grant, with the final installment vesting 12 months from the date of the grant, subject to continued service as a director, and in the event of a change in control, the vesting schedule of the award will accelerate in full.

F2 · derivative.expiration_date: The restricted stock units were granted on January 3, 2022 and vest in equal quarterly installments beginning three months from the date of the grant, with the final installment vesting 12 months from the date of the grant, subject to continued service as a director, and in the event of a change in control, the vesting schedule of the award will accelerate in full.

SEC source: 0001209191-22-041164 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 318,896

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001562180-22-005317 · primarydocument.xml · derivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,000

Underlying: Common Stock · 16,000 shares

Expires 2032-06-20

SEC source: 0001209191-22-035463 · doc4.xml · derivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,000

Underlying: Common Stock · 51,000 shares

Expires 2032-06-07

F1 · derivative.exercise_date: This option was granted on June 7, 2022 and vests in full on the earlier to occur of the one-year anniversary of the grant date and immediately prior to the Issuer's next annual meeting of stockholders occurring after the grant date, and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001209191-22-023040 · doc4.xml · derivative · entry 2

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,937

Underlying: Common Stock · 24,313 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: Restricted stock units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The restricted stock units were granted on January 3, 2022 and vest in equal quarterly installments beginning three months from the date of the grant, with the final installment vesting 12 months from the date of the grant, subject to continued service as a director, and in the event of a change in control, the vesting schedule will accelerate in full.

F2 · derivative.expiration_date: The restricted stock units were granted on January 3, 2022 and vest in equal quarterly installments beginning three months from the date of the grant, with the final installment vesting 12 months from the date of the grant, subject to continued service as a director, and in the event of a change in control, the vesting schedule will accelerate in full.

SEC source: 0001209191-22-023040 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,583

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: Restricted stock units convert into common stock on a one-for-one basis.

SEC source: 0001209191-22-001816 · doc4.xml · derivative · entry 2

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,250

Underlying: Common Stock · 97,250 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuers common stock.

F3 · derivative.exercise_date: The restricted stock units were granted on January 3, 2022 and vest on the same schedule as set forth in footnote (1) above.

F3 · derivative.expiration_date: The restricted stock units were granted on January 3, 2022 and vest on the same schedule as set forth in footnote (1) above.

SEC source: 0001209191-22-001816 · doc4.xml · derivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,500

Underlying: Common Stock · 194,500 shares

Expires 2032-01-03

F1 · derivative.exercise_date: This option was granted on January 3, 2022 pursuant to a services agreement between the reporting person and the Issuer and will vest in equal quarterly installments beginning three months from the date of the grant, with the final installment vesting 12 months from the date of the grant, subject to continued service as a director, and in the event of a change in control, the vesting schedule of the option will accelerate in full.

SEC source: 0001562180-21-004483 · primarydocument.xml · derivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,530

Underlying: Common Stock · 12,530 shares

Expires 2031-06-22

F1 · derivative.exercise_date: The option was granted pursuant to a consulting agreement effective June 23, 2021 (the "Effective Date"). The option will vest as to 1/12 of the underlying shares of common stock on the first day of each month beginning on August 1, 2021, with the balance of then-unvested shares to vest one year after the Effective Date.

SEC source: 0001209191-21-041938 · doc4.xml · derivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2031-06-16

F1 · derivative.exercise_date: This option was granted on June 16, 2021 and vests in full on the earlier to occur of the one-year anniversary of the grant date and immediately prior to the Issuer's next annual meeting of stockholders occurring after the grant date, and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001562180-21-003018 · primarydocument.xml · derivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,060

Underlying: Common Stock · 25,060 shares

Expires 2031-04-26

F1 · derivative.exercise_date: The options will vest as to 25% of the underlying shares of common stock on April 27, 2022, the first anniversary of the vesting commencement date, and at a rate of 6.25% of the underlying shares thereafter on the first day of each calendar quarter following such first anniversary until the option is fully vested.

SEC source: 0001209191-21-001966 · doc4.xml · derivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 389,000

Underlying: Common Stock · 389,000 shares

Expires 2031-01-04

F1 · derivative.exercise_date: This option was granted on January 4, 2021 and will vest in equal quarterly installments beginning three months from the date of the grant with the final installment vesting date being the later of the completion of a specified service requirement under his consulting agreement or 12 months from the date of the grant, subject to continued service as a director or consultant, and in the event of a change in control, the vesting schedule of the option will accelerate in full.

SEC source: 0001209191-20-063218 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,270

SEC source: 0001209191-20-037594 · doc4.xml · derivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2030-06-16

F1 · derivative.exercise_date: This option was granted on June 16, 2020 and will vest in equal quarterly installments beginning three months from the date of grant and will vest automatically as to 100% of the unvested portion of such option upon specified change in control events.

SEC source: 0001209191-20-024599 · doc4.xml · derivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2030-04-15

F1 · derivative.exercise_date: This option was granted on April 15, 2020 and vests as to one-third of the total number of shares on each of the next three anniversaries of the grant date.

SEC source: 0001209191-18-041074 · doc4.xml · derivative · entry 5

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,625

Underlying: Common Stock · 23,375 shares

Expires 2025-07-20

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_date: The option vests in 16 quarterly installments from 7/21/2015.

SEC source: 0001209191-18-041074 · doc4.xml · nonDerivative · entry 3

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,699

F1 · kind: Transaction made pursuant to Mr. Smith's company-approved trading plan under Rule 10b5-1.

F3 · price: Mr. Smith undertakes to provide (upon request by the SEC staff, the issuer or a security holder of the issuer) full information regarding the number of shares sold at each separate price.

F4 · price: Open market sales reported on this line occurred at a weighted average price of $166.57 (range $166.38 to $166.67).

SEC source: 0001209191-18-041074 · doc4.xml · nonDerivative · entry 2

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,333

F1 · kind: Transaction made pursuant to Mr. Smith's company-approved trading plan under Rule 10b5-1.

F2 · price: Open market sales reported on this line occurred at a weighted average price of $165.22 (range $165.00 to $165.89).

F3 · price: Mr. Smith undertakes to provide (upon request by the SEC staff, the issuer or a security holder of the issuer) full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-041074 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,074

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-18-039999 · doc4.xml · derivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2028-06-27

F1 · derivative.exercise_date: The shares subject to this option vest in four equal quarterly installments over 12 months beginning on June 27, 2018, with the first quarterly installment vesting on September 27, 2018.

SEC source: 0001209191-18-039524 · doc4.xml · derivative · entry 4

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,750

Underlying: Common Stock · 4,250 shares

Expires 2025-02-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The option vests in 16 quarterly installments from 02/03/2015.

SEC source: 0001209191-18-039524 · doc4.xml · nonDerivative · entry 2

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,699

F1 · kind: Transaction made pursuant to Mr. Smith's company-approved trading plan under Rule 10b5-1.

SEC source: 0001209191-18-039524 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,949

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-18-038543 · doc4.xml · derivative · entry 5

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires 2027-05-31

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 · shares: Exercises and sales pursuant to a 10b5-1 plan.

F4 · derivative.exercise_date: The shares subject to these options vested in installments and were fully vested on 5/31/2018.

SEC source: 0001209191-18-038543 · doc4.xml · derivative · entry 4

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2019-06-22

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 · shares: Exercises and sales pursuant to a 10b5-1 plan.

F3 · derivative.exercise_date: The shares subject to these options vested in installments and were fully vested on 6/22/2010.

SEC source: 0001209191-18-038543 · doc4.xml · nonDerivative · entry 3

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Exercises and sales pursuant to a 10b5-1 plan.

F2 · price: The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $31.15 to $31.55 per share. The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

SEC source: 0001209191-18-038543 · doc4.xml · nonDerivative · entry 2

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

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 · shares: Exercises and sales pursuant to a 10b5-1 plan.

SEC source: 0001209191-18-038543 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

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 · shares: Exercises and sales pursuant to a 10b5-1 plan.

SEC source: 0000899243-18-016532 · doc4.xml · derivative · entry 3

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,000

Underlying: Common Stock · 4,000 shares

Expires 2028-06-12

F3 · derivative.exercise_date: The option vests over a period of one year in equal quarterly installments beginning at the end of the first quarter after the date of grant, provided that the holder continues to serve as Chair of the Audit Committee of the issuer's Board of Directors.

SEC source: 0000899243-18-016532 · doc4.xml · derivative · entry 2

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2028-06-12

F2 · derivative.exercise_date: The option vests over a period of one year in equal quarterly installments beginning at the end of the first quarter after the date of grant, provided that the holder continues to serve as a director of the issuer.

SEC source: 0000899243-18-016532 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,845

F1 · shares: Pursuant to the issuer's non-employee director compensation program, the reporting person has elected to receive this grant of shares in lieu of cash as payment of such person's $40,000 annual retainer for service as a director.

SEC source: 0001209191-18-030604 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,699

F1 · kind: Transaction made pursuant to Mr. Smith's company-approved trading plan under Rule 10b5-1.

SEC source: 0001209191-18-030207 · doc4.xml · derivative · entry 6

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,358

Underlying: Common Stock · 1,941 shares

Expires 2027-02-02

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The option vests in 16 quarterly installments from 2/3/2017.

SEC source: 0001209191-18-030207 · doc4.xml · derivative · entry 5

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,086

Underlying: Common Stock · 2,155 shares

Expires 2026-02-01

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.

F2 · derivative.exercise_date: The option vests in 16 quarterly installments from 2/2/2016.

SEC source: 0001209191-18-030207 · doc4.xml · nonDerivative · entry 3

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,699

F1 · kind: Transaction made pursuant to Mr. Smith's company-approved trading plan under Rule 10b5-1.

SEC source: 0001209191-18-030207 · doc4.xml · nonDerivative · entry 2

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,795

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-18-030207 · doc4.xml · nonDerivative · entry 1

SMITH IAN F · CIK 0001197032 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,854

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001209191-18-028179 · doc4.xml · derivative · entry 4

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2018-05-21

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 · shares: Exercise and sales pursuant to a 10b5-1 plan. The exercised options were scheduled to expire in 2018 on the expiration date reported within Table II unless exercised.

F4 · derivative.exercise_date: The shares subject to these options vested in installments and were fully vested on 05/21/2009.

SEC source: 0001209191-18-028179 · doc4.xml · nonDerivative · entry 3

SMITH IAN F · CIK 0001197032 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Exercise and sales pursuant to a 10b5-1 plan. The exercised options were scheduled to expire in 2018 on the expiration date reported within Table II unless exercised.

F3 · price: The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $23.7750 to $24.0500 per share. The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.