West Thomas A.

SEC source: 0001193125-26-326487 · ownership.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,011

F1 · shares: Represents restricted stock units ("RSUs").

F1 · balance_after: Represents restricted stock units ("RSUs").

SEC source: 0001620705-26-000001 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,947

F1 · shares: Reflects shares issuable on the settlement of restricted stock units granted to the Reporting Person. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The shares subject to the restricted stock unit will vest 100% upon the earlier of (i) the next annual general meeting of the stockholders of the Company or (ii) the date one year from the Vesting Commencement Date, subject to the Reporting Person's continuous service as a member of the Company's Board of Directors until such date.

F2 · balance_after: Includes 20,115 shares issuable on the settlement of restricted stock units granted to the Reporting Person. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001562180-25-004612 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,990

F1 · shares: Reflects shares issuable on the settlement of restricted stock units granted to the Reporting Person. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The shares subject to the restricted stock unit will vest 100% upon the earlier of (i) the next annual general meeting of the stockholders of the Company or (ii) the date one year from the Vesting Commencement Date, subject to the Reporting Person's continuous service as a member of the Company's Board of Directors until such date.

F2 · balance_after: Includes 23,937 shares issuable on the settlement of restricted stock units granted to the Reporting Person. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001562180-24-005337 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,315

F1 · shares: On June 27, 2024, the Reporting Person filed a Form 4 which inadvertently reported the wrong number of shares issuable on the settlement of restricted stock units. The correct number of shares issuable on the settlement of restricted stock unit is 18,315 shares. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The shares subject to the restricted stock unit will be vesting in a series of 12 equal quarterly increments starting on the Vesting Commencement Date, subject to the Reporting Person's continuous service as a member of the Issuer's Board of Directors on each applicable vesting date.

SEC source: 0001562180-24-005335 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,791

F1 · shares: Reflects shares issuable on the settlement of restricted stock units granted to the Reporting Person. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. The shares subject to the restricted stock unit will be vesting in a series of 12 equal quarterly increments starting on the Vesting Commencement Date, subject to the Reporting Person's continuous service as a member of the Issuer's Board of Directors on each applicable vesting date.

SEC source: 0000950170-24-070890 · ownership.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,677

F1 · shares: The reported shares wee acquired pursuant to a restricted stock unit award, which shall vest on the earlier of (i) the one-year anniversary of the date of grant or (ii) the day prior to the date of the Annual Meeting of the Issuer's stockholders next following the date of grant, in each case, subject to the reporting person continuing to be a service provider through the applicable vesting schedule.

SEC source: 0001209191-23-034065 · doc4.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,806

F1 · shares: The reported shares were acquired pursuant to a restricted stock unit award, which shall vest on the earlier of (i) the one-year anniversary of the date of grant or (ii) the day prior to the date of the Annual Meeting of the Issuer's stockholders next following the date of grant, in each case, subject to the reporting person continuing to be a service provider through the applicable vesting schedule.

SEC source: 0001209191-23-023039 · doc4.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,712

F1 · shares: The reported shares were acquired pursuant to a restricted stock unit award, which shall vest on the earlier of (i) June 8, 2023, or (ii) the day prior to the date of the Annual Meeting of the Issuer's stockholders next following the date of grant, in each case, subject to the reporting person continuing to be a service provider through the applicable vesting schedule.

SEC source: 0001209191-23-003009 · doc5.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,055

F1 · shares: Shares purchased pursuant to the Orthofix Medical Inc. Second Amended and Restated Stock Purchase Plan, as Amended (the "Stock Purchase Plan") for the plan period ended October 31, 2022.

F2 · price: Pursuant to the terms of the Stock Purchase Plan, shares are purchased at 85% of the fair market value of the Orthofix stock on the first day of the plan period or, if lower, on the last day of the plan period. Accordingly, shares were purchased at $13.65 per share, or at 85% of the quoted market price of $16.06 on October 31, 2022.

SEC source: 0001209191-22-035043 · doc4.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,543

F1 · shares: Deferred stock unit award subject to deferred distribution after termination of service as a director of the Issuer, an exempt transaction, pursuant to Rule 16(b)-3(d) under the Securities Exchange Act of 1934, as amended. The award vest in full on the first anniversary of the grant date, June 6, 2022.

SEC source: 0001562180-22-004071 · primarydocument.xml · derivative · entry 7

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 427,147 shares

Expires 2029-07-21

F5 · kind: Pursuant to the Merger Agreement, at the Effective Time, each option granted by the Issuer to purchaser Issuer Common Stock that is subject to performance-based vesting conditions that was outstanding and unexercised and became vested immediately prior to or upon the Effective Time (each, a 'Vested Performance Based Option') was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Performance Based Option and (2) the excess, if any, of the Common Stock Merger Consideration over the exercise price of such Vested Performance Based Option, subject to any required withholding of taxes.

F5 · price: Pursuant to the Merger Agreement, at the Effective Time, each option granted by the Issuer to purchaser Issuer Common Stock that is subject to performance-based vesting conditions that was outstanding and unexercised and became vested immediately prior to or upon the Effective Time (each, a 'Vested Performance Based Option') was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Performance Based Option and (2) the excess, if any, of the Common Stock Merger Consideration over the exercise price of such Vested Performance Based Option, subject to any required withholding of taxes.

F5 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option granted by the Issuer to purchaser Issuer Common Stock that is subject to performance-based vesting conditions that was outstanding and unexercised and became vested immediately prior to or upon the Effective Time (each, a 'Vested Performance Based Option') was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Performance Based Option and (2) the excess, if any, of the Common Stock Merger Consideration over the exercise price of such Vested Performance Based Option, subject to any required withholding of taxes.

SEC source: 0001562180-22-004071 · primarydocument.xml · derivative · entry 6

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 97,960 shares

Expires 2029-07-21

F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each option granted by the Issuer to purchase Issuer Common Stock other than options subject to performance-based vesting conditions (each, an 'Issuer Option') that was outstanding and unexercised as of immediately prior to the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer Option and (2) the excess, if any, of the Common Stock Merger Consideration over the exercise price of such Issuer Option, subject to any required withholding of taxes.

F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each option granted by the Issuer to purchase Issuer Common Stock other than options subject to performance-based vesting conditions (each, an 'Issuer Option') that was outstanding and unexercised as of immediately prior to the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer Option and (2) the excess, if any, of the Common Stock Merger Consideration over the exercise price of such Issuer Option, subject to any required withholding of taxes.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option granted by the Issuer to purchase Issuer Common Stock other than options subject to performance-based vesting conditions (each, an 'Issuer Option') that was outstanding and unexercised as of immediately prior to the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer Option and (2) the excess, if any, of the Common Stock Merger Consideration over the exercise price of such Issuer Option, subject to any required withholding of taxes.

SEC source: 0001562180-22-004071 · primarydocument.xml · derivative · entry 5

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 118,461 shares

Expires 2031-02-01

F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each option granted by the Issuer to purchase Issuer Common Stock other than options subject to performance-based vesting conditions (each, an 'Issuer Option') that was outstanding and unexercised as of immediately prior to the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer Option and (2) the excess, if any, of the Common Stock Merger Consideration over the exercise price of such Issuer Option, subject to any required withholding of taxes.

F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each option granted by the Issuer to purchase Issuer Common Stock other than options subject to performance-based vesting conditions (each, an 'Issuer Option') that was outstanding and unexercised as of immediately prior to the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer Option and (2) the excess, if any, of the Common Stock Merger Consideration over the exercise price of such Issuer Option, subject to any required withholding of taxes.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option granted by the Issuer to purchase Issuer Common Stock other than options subject to performance-based vesting conditions (each, an 'Issuer Option') that was outstanding and unexercised as of immediately prior to the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer Option and (2) the excess, if any, of the Common Stock Merger Consideration over the exercise price of such Issuer Option, subject to any required withholding of taxes.

SEC source: 0001562180-22-004071 · primarydocument.xml · derivative · entry 4

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 78,700 shares

Expires 2030-02-03

F4 · kind: Pursuant to the Merger Agreement, at the Effective Time, each option granted by the Issuer to purchase Issuer Common Stock other than options subject to performance-based vesting conditions (each, an 'Issuer Option') that was outstanding and unexercised as of immediately prior to the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer Option and (2) the excess, if any, of the Common Stock Merger Consideration over the exercise price of such Issuer Option, subject to any required withholding of taxes.

F4 · price: Pursuant to the Merger Agreement, at the Effective Time, each option granted by the Issuer to purchase Issuer Common Stock other than options subject to performance-based vesting conditions (each, an 'Issuer Option') that was outstanding and unexercised as of immediately prior to the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer Option and (2) the excess, if any, of the Common Stock Merger Consideration over the exercise price of such Issuer Option, subject to any required withholding of taxes.

F4 · derivative.exercise_date: Pursuant to the Merger Agreement, at the Effective Time, each option granted by the Issuer to purchase Issuer Common Stock other than options subject to performance-based vesting conditions (each, an 'Issuer Option') that was outstanding and unexercised as of immediately prior to the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer Option and (2) the excess, if any, of the Common Stock Merger Consideration over the exercise price of such Issuer Option, subject to any required withholding of taxes.

SEC source: 0001562180-22-004071 · primarydocument.xml · nonDerivative · entry 3

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · kind: Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit that was subject to vesting conditions based solely on continued employment with or service to the Company or any of its subsidiaries (each, an 'Issuer RSU') that was outstanding and unvested immediately prior to the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer RSU and (2) the Common Stock Merger Consideration, subject to any required withholding of taxes.

F3 · price: Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit that was subject to vesting conditions based solely on continued employment with or service to the Company or any of its subsidiaries (each, an 'Issuer RSU') that was outstanding and unvested immediately prior to the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer RSU and (2) the Common Stock Merger Consideration, subject to any required withholding of taxes.

SEC source: 0001562180-22-004071 · primarydocument.xml · nonDerivative · entry 2

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,592

F2 · kind: Reflects disposition of Issuer common stock in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger (the 'Merger Agreement'), dated August 6, 2021, by and among the Issuer, Medtronic, Inc. ('Parent') and Project Kraken Merger Sub, Inc., a wholly-owned subsidiary of Parent ('Merger Sub'), including the consummation of the merger (the 'Merger') between Issuer and Merger Sub on May 13, 2022. Pursuant to the Merger Agreement, as of the effective time of the Merger (the 'Effective Time'), [each outstanding share of Issuer common stock, $0.001 par value per share ('Issuer Common Stock'), was cancelled, retired and converted into the right to receive an amount equal to $28.25 in cash, without interest thereon (the 'Common Stock Merger Consideration'), subject to any required withholding of taxes].

F2 · price: Reflects disposition of Issuer common stock in connection with the consummation of the transactions contemplated by the Agreement and Plan of Merger (the 'Merger Agreement'), dated August 6, 2021, by and among the Issuer, Medtronic, Inc. ('Parent') and Project Kraken Merger Sub, Inc., a wholly-owned subsidiary of Parent ('Merger Sub'), including the consummation of the merger (the 'Merger') between Issuer and Merger Sub on May 13, 2022. Pursuant to the Merger Agreement, as of the effective time of the Merger (the 'Effective Time'), [each outstanding share of Issuer common stock, $0.001 par value per share ('Issuer Common Stock'), was cancelled, retired and converted into the right to receive an amount equal to $28.25 in cash, without interest thereon (the 'Common Stock Merger Consideration'), subject to any required withholding of taxes].

SEC source: 0001562180-22-004071 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,048

F1 · kind: Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit that was subject to performance-based vesting conditions (each, an 'Issuer PSU') that was outstanding and became vested prior to or upon the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer PSU and (2) the Common Stock Merger Consideration, subject to any required withholding of taxes.

F1 · price: Pursuant to the Merger Agreement, at the Effective Time, each restricted stock unit that was subject to performance-based vesting conditions (each, an 'Issuer PSU') that was outstanding and became vested prior to or upon the Effective Time was cancelled and automatically converted into the right to receive an amount in cash equal to the product of (1) the aggregate number of Issuer Common Stock subject to such Issuer PSU and (2) the Common Stock Merger Consideration, subject to any required withholding of taxes.

SEC source: 0001562180-22-001158 · primarydocument.xml · nonDerivative · entry 3

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 351,748

F3 · shares: Shares tendered in payment of the tax withholding obligation in compliance and as required by the company's equity documents.

F6 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.23 to $27.33, inclusive. The Reporting Person undertakes to provide, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F7 · balance_after: Includes 247,292 restricted stock units, of which 39,700 are performance based.

SEC source: 0001562180-22-001158 · primarydocument.xml · nonDerivative · entry 2

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,571

F3 · shares: Shares tendered in payment of the tax withholding obligation in compliance and as required by the company's equity documents.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.20 to $27.55, inclusive. The Reporting Person undertakes to provide, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F5 · balance_after: Includes 260,526 restricted stock units, of which 39,700 are performance based.

SEC source: 0001562180-22-001158 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 364,334

F1 · security: Represents restricted stock units granted pursuant to the Intersect ENT, Inc. 2014 Equity Incentive Plan. Each restricted stock unit represents a right to receive one share of Intersect ENT, Inc. common stock upon vesting. The restricted stock units vest in three equal annual installments commencing one year after the Vesting Commencement Date of February 1, 2022.

F2 · balance_after: Includes 500 shares purchased on 11/15/21 with ESPP plan and 281,359 restricted stock units, of which 39,700 are performance based.

SEC source: 0001209191-21-069810 · doc4.xml · derivative · entry 1

West Thomas A. · CIK 0001620705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,450

Underlying: Common Stock · 29,450 shares

Expires 2031-12-13

F1 · derivative.exercise_date: These stock options vest in 25% increments on the first, second, third and fourth anniversaries of the grant date, December 13, 2021.

SEC source: 0001562180-21-005070 · primarydocument.xml · nonDerivative · entry 2

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,294

F1 · shares: Shares tendered in payment of the tax withholding obligation in compliance and as required by the company's equity documents.

F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.12 to $20.44, inclusive. The Reporting Person undertakes to provide, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 500 shares purchased on 5/14/2021 with ESPP plan and 174,819 restricted stock units, of which 39,700 are performance based.

SEC source: 0001562180-21-005070 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 259,304

F1 · shares: Shares tendered in payment of the tax withholding obligation in compliance and as required by the company's equity documents.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.12 to $20.10, inclusive. The Reporting Person undertakes to provide, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 500 shares purchased on 5/14/2021 with ESPP plan and 174,819 restricted stock units, of which 39,700 are performance based.

SEC source: 0001562180-21-000980 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,047

F1 · shares: Shares tendered in payment of the tax withholding obligation in compliance and as required by the company's equity documents.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.85 to $24.78, inclusive. The Reporting Person undertakes to provide, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 220,970 restricted stock units, of which 39,700 are performance based.

SEC source: 0001562180-21-000883 · primarydocument.xml · derivative · entry 2

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,461

Underlying: Common Stock · 118,461 shares

Expires 2031-02-01

F3 · derivative.exercise_date: The vesting commencement date of the option is February 1, 2021. 1/8th of the shares subject to the option shall vest on August 1, 2021 and 1/48th of the shares subject to the option shall vest monthly thereafter over 42 months.

SEC source: 0001562180-21-000883 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 283,060

F1 · security: Represents restricted stock units granted pursuant to the Intersect ENT, Inc. 2014 Equity Incentive Plan. Each restricted stock unit represents a right to receive one share of Intersect ENT, Inc. common stock upon vesting. The restricted stock units vest in three equal annual installments commencing one year after the grant date.

F2 · balance_after: Includes 500 shares purchased on 11/13/2020 with ESPP plan and 234,203 restricted stock units, of which 39,700 are performance based.

SEC source: 0001562180-20-005216 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,060

F1 · shares: Shares tendered in payment of the tax withholding obligation.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.08 to $17.87, inclusive. The Reporting Person undertakes to provide, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.

F3 · balance_after: Includes 171,703 restricted stock units, of which 39,700 are performance based.

SEC source: 0001562180-20-002619 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,890

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $8.24 to $8.72, inclusive. The Reporting Person undertakes to provide, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote to this Form 4.

F2 · balance_after: Includes 217,855 restricted stock units, of which 39,700 are performance based.

SEC source: 0001562180-20-000896 · primarydocument.xml · derivative · entry 3

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,700

Underlying: Common Stock · 78,700 shares

Expires 2030-02-03

F4 · derivative.exercise_date: The vesting commencement date of the option is February 3, 2020. 1/8th of the shares subject to the option shall vest on August 3, 2020 and 1/48th of the shares subject to the option shall vest monthly thereafter over 42 months.

SEC source: 0001562180-20-000896 · primarydocument.xml · nonDerivative · entry 2

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,855

F3 · security: Represents restricted stock units granted pursuant to the Intersect ENT, Inc. 2014 Equity Incentive Plan. Each restricted stock unit represents a right to receive one share of Intersect ENT, Inc. common stock upon vesting. The restricted stock units vest in three equal annual installments commencing one year after the grant date.

F2 · balance_after: Restricted stock units, of which 39,700 are performance based.

SEC source: 0001562180-20-000896 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 178,155

F1 · security: Represents restricted stock units granted pursuant to the Intersect ENT, Inc. 2014 Equity Incentive Plan. Each restricted stock unit represents a right to receive one share of Intersect ENT, Inc. common stock upon vesting. The restricted stock units shall vest on the third anniversary from the date of grant provided that certain 30-day trailing average stock price (the "Average Closing Price") targets are achieved at any time during the three year period following the date of grant. 33 1/3%, 66 2/3% or 100% of the shares will vest if the Average Closing Price equals or exceeds specific stock price targets.

F2 · balance_after: Restricted stock units, of which 39,700 are performance based.

SEC source: 0001562180-19-004053 · primarydocument.xml · derivative · entry 3

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 427,147

Underlying: Common Stock · 427,147 shares

Expires 2029-07-21

F4 · derivative.exercise_date: Shares subject to this option shall vest on the third anniversary from the date of grant provided that certain 30-day trailing average stock price (the "Average Closing Price") targets are achieved at any time during the three year period following the date of grant. 33 1/3%, 66 2/3% or 100% of the shares will vest if the Average Closing Price equals or exceeds specific stock price targets.

SEC source: 0001562180-19-004053 · primarydocument.xml · derivative · entry 2

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,960

Underlying: Common Stock · 97,960 shares

Expires 2029-07-21

F3 · derivative.exercise_date: The vesting commencement date of the option is July 22, 2019. 1/8th of the shares subject to the option shall vest on January 22, 2020 and 1/48th of the shares subject to the option shall vest monthly thereafter over 42 months.

SEC source: 0001562180-19-004053 · primarydocument.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,455

F1 · security: Represents restricted stock units granted pursuant to the Intersect ENT, Inc. 2014 Equity Incentive Plan. Each restricted stock unit represents a right to receive one share of Intersect ENT, Inc. common stock upon vesting. The restricted stock units vest in three equal annual installments commencing one year after the grant date.

F2 · balance_after: Restricted Stock Units.

SEC source: 0001127602-18-035126 · form4.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,753

F1 · balance_after: Includes 34,527 restricted stock units/performance share units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan.

SEC source: 0001127602-18-033042 · form4.xml · derivative · entry 2

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,491

Underlying: Common Stock · 20,491 shares

Expires 2028-11-12

F4 · derivative.exercise_date: This option to purchase common stock becomes exercisable in equal installments on each of the first four anniversaries of the grant date, November 12, 2018.

SEC source: 0001127602-18-033042 · form4.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,764

F1 · shares: Represents restricted stock units which vest in equal installments on each of the first three anniversaries of the grant date, November 12, 2018.

F2 · price: Restricted stock units are settled in shares of common stock on a one-for-one basis.

F3 · balance_after: Includes 34,527 restricted stock units/performance share units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan.

SEC source: 0001127602-18-032441 · form4.xml · derivative · entry 5

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,086 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.

F2 · derivative.exercise_price: Restricted stock units and performance stock units are settled in shares of common stock on a one-for-one basis.

F2 · price: Restricted stock units and performance stock units are settled in shares of common stock on a one-for-one basis.

F9 · derivative.exercise_date: Represents restricted stock units which vest in equal installments on each of the first three anniversaries of the grant date, November 5, 2015.

F9 · derivative.expiration_date: Represents restricted stock units which vest in equal installments on each of the first three anniversaries of the grant date, November 5, 2015.

SEC source: 0001127602-18-032441 · form4.xml · nonDerivative · entry 3

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,052

F6 · shares: Represents vested performance stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan and are being voluntarily reported on Table I.

F2 · price: Restricted stock units and performance stock units are settled in shares of common stock on a one-for-one basis.

F4 · balance_after: Includes 608 shares acquired pursuant to the Issuer's employee stock purchase plan since the date of the Reporting Person's most recently filed Form 4.

F7 · balance_after: Includes 34, 527 restricted stock units/performance share units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan.

SEC source: 0001127602-18-032441 · form4.xml · nonDerivative · entry 2

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,664

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: Represents vested restricted stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan and are voluntarily being reported on Table I.

F2 · price: Restricted stock units and performance stock units are settled in shares of common stock on a one-for-one basis.

F4 · balance_after: Includes 608 shares acquired pursuant to the Issuer's employee stock purchase plan since the date of the Reporting Person's most recently filed Form 4.

F5 · balance_after: Includes 20,139 restricted stock units/performance stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan.

SEC source: 0001127602-18-032441 · form4.xml · derivative · entry 4

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,064 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.

F2 · derivative.exercise_price: Restricted stock units and performance stock units are settled in shares of common stock on a one-for-one basis.

F2 · price: Restricted stock units and performance stock units are settled in shares of common stock on a one-for-one basis.

F8 · derivative.exercise_date: This restricted stock unit award vests in four installments beginning on first anniversary of the grant date, October 3, 2014.

F8 · derivative.expiration_date: This restricted stock unit award vests in four installments beginning on first anniversary of the grant date, October 3, 2014.

SEC source: 0001127602-18-032441 · form4.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,970

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: Represents vested restricted stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan and are voluntarily being reported on Table I.

F2 · price: Restricted stock units and performance stock units are settled in shares of common stock on a one-for-one basis.

F3 · balance_after: Includes 18,053 restricted stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan.

SEC source: 0001127602-17-033941 · form4.xml · derivative · entry 3

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,215

Underlying: Common Stock · 19,215 shares

Expires 2027-12-01

F4 · derivative.exercise_date: This option to purchase common stock becomes exercisable in equal installments on each of the first four anniversaries of the grant date.

SEC source: 0001127602-17-033941 · form4.xml · nonDerivative · entry 2

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,906

F2 · shares: Represents restricted stock units which vest in equal installments on each of the first three anniversaries of the grant date.

F3 · price: Restricted stock units are settled in shares of common stock on a one-for-one basis.

F1 · balance_after: Includes 13,989 restricted stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan.

SEC source: 0001127602-17-033941 · form4.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,787

F1 · balance_after: Includes 13,989 restricted stock units, the settlement of which has been deferred pursuant to the Issuer's Deferred Equity Plan.

SEC source: 0001127602-17-031753 · form4.xml · derivative · entry 2

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,086

Underlying: Common Stock · 2,085 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.

F2 · derivative.exercise_price: RSUs are settled in shares of common stock on a one-for-one basis upon vesting.

F1 · timeliness: Represents vested Restricted Stock Units (RSUs) that are subject to deferral pursuant to the Issuer's Deferred Equity Plan and are voluntarily being reported on Table I.

F2 · price: RSUs are settled in shares of common stock on a one-for-one basis upon vesting.

F4 · derivative.exercise_date: This RSU award vests in three installments beginning on the first anniversary of the grant date.

F4 · derivative.expiration_date: This RSU award vests in three installments beginning on the first anniversary of the grant date.

SEC source: 0001127602-17-031753 · form4.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,869

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 · timeliness: Represents vested Restricted Stock Units (RSUs) that are subject to deferral pursuant to the Issuer's Deferred Equity Plan and are voluntarily being reported on Table I.

F2 · price: RSUs are settled in shares of common stock on a one-for-one basis upon vesting.

F3 · balance_after: Includes 13,989 shares subject to deferral pursuant to the Issuer's Deferred Equity Plan.

SEC source: 0001127602-17-029444 · form4.xml · derivative · entry 2

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,064

Underlying: Common Stock · 4,063 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 · timeliness: Represents vested RSUs that are subject to deferral pursuant to the Issuer's Deferred Equity Plan and are voluntarily being reported on Table I.

F2 · price: RSUs convert into common stock on a one-for-one basis upon vesting.

F5 · derivative.exercise_date: This RSU award vests in four equal installments beginning on first anniversary of the grant date.

F5 · derivative.expiration_date: This RSU award vests in four equal installments beginning on first anniversary of the grant date.

SEC source: 0001127602-17-029444 · form4.xml · nonDerivative · entry 1

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,784

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 · timeliness: Represents vested RSUs that are subject to deferral pursuant to the Issuer's Deferred Equity Plan and are voluntarily being reported on Table I.

F2 · price: RSUs convert into common stock on a one-for-one basis upon vesting.

F3 · balance_after: Includes 11,904 shares subject to deferral pursuant to the Issuer's Deferred Equity Plan.

F4 · balance_after: Includes 662 shares acquired pursuant to the Issuer's employee stock purchase plan since the date of the Reporting Person's most recently filed Form 4.

SEC source: 0001127602-16-069203 · form4.xml · derivative · entry 4

West Thomas A. · CIK 0001620705 · Div President & GM, Diagnostic

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,683

Underlying: Common Stock · 26,683 shares

Expires 2026-12-01

F5 · derivative.exercise_date: This option to purchase common stock becomes exercisable in equal installments on each of the first four anniversaries of the grant date.