RASTETTER WILLIAM H

SEC source: 0001401914-26-000034 · wk-form4_1783023676.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,721

F1 · shares: Represents shares underlying restricted stock units ("RSU") granted to the reporting person in lieu of cash compensation for service on the issuer's board of directors and its committees. Each RSU represents a contingent right to receive one share when vested. The RSUs vests on January 4, 2027.

SEC source: 0001193125-26-271072 · ownership.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 87,900

Underlying: Common Stock · 87,900 shares

Expires 2036-06-12

F1 · 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.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 12, 2027 or (ii) the date of the Issuer's 2027 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

SEC source: 0001205903-26-000005 · wk-form4_1781211925.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common stock · 10,000 shares

Expires 2036-06-11

F1 · derivative.exercise_date: This option will vest in full on the earlier of the first anniversary of the grant date or immediately prior to the issuer's first annual meeting of stockholders occurring after the grant date, subject to the director's continued service as a director, and will become exercisable in full upon a change in control of the issuer.

SEC source: 0001205903-26-000004 · wk-form4_1780092129.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,567

Underlying: Common Stock · 2,567 shares

Expires not disclosed

F1 · security: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting.

F2 · derivative.exercise_date: The RSUs will vest in full on May 27, 2027.

F2 · derivative.expiration_date: The RSUs will vest in full on May 27, 2027.

SEC source: 0001205903-26-000002 · wk-form4_1779405838.xml · derivative · entry 2

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,318 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: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting.

F3 · derivative.exercise_date: This RSU award was granted to the Reporting Person on May 21, 2025 and is fully vested.

F3 · derivative.expiration_date: This RSU award was granted to the Reporting Person on May 21, 2025 and is fully vested.

SEC source: 0001205903-26-000002 · wk-form4_1779405838.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 43,678

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 · balance_after: 43,678 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power.

SEC source: 0001193125-26-208891 · ownership.xml · derivative · entry 4

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2026-05-11

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 shares subject to the option vested and became exercisable on the date of the 2017 Annual Meeting of Stockholders.

SEC source: 0001193125-26-208891 · ownership.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,331

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: 0001205903-25-000005 · wk-form4_1762467929.xml · derivative · entry 3

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,000 shares

Expires 2026-05-20

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.

F4 · derivative.exercise_date: The option was granted May 20, 2016 and vested in 12 equal monthly installments beginning June 20, 2016. These options were due to expire on May 20, 2026.

SEC source: 0001205903-25-000005 · wk-form4_1762467929.xml · nonDerivative · entry 2

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 40,360

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person on August 6, 2025. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $150.00 to $153.01. The Reporting Person has provided to the issuer, and will provide to 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.

F3 · balance_after: 40,360 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power.

SEC source: 0001205903-25-000005 · wk-form4_1762467929.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 58,360

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: 0001401914-25-000040 · wk-form4_1752177952.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,500

Underlying: Common stock · 4,500 shares

Expires 2035-07-09

F1 · derivative.exercise_date: This option will vest in full on the earlier of the first anniversary of the grant date or immediately prior to the issuer's first annual meeting of stockholders occurring after the grant date, subject to the director's continued service as a director, and will become exercisable in full upon a change in control of the issuer.

SEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 10

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Rastetter Family Trust

Disclosed balance after: 0

Underlying: Common Stock · 60,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share.

F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent.

F5 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

F5 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

F5 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

SEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 9

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Rastetter Family Trust

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share.

F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent.

F5 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

F5 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

F5 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

SEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 8

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Rastetter Family Trust

Disclosed balance after: 0

Underlying: Common Stock · 15,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share.

F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent.

F5 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

F5 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

F5 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

SEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 7

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Rastetter Family Trust

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share.

F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent.

F5 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

F5 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

F5 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

SEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 6

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Rastetter Family Trust

Disclosed balance after: 0

Underlying: Common Stock · 9,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share.

F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent.

F5 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

F5 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

F5 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

SEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 5

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Rastetter Family Trust

Disclosed balance after: 0

Underlying: Common Stock · 4,000 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share.

F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent.

F6 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option).

F6 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option).

F6 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option).

SEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 4

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Rastetter Family Trust

Disclosed balance after: 0

Underlying: Common Stock · 2,325 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share.

F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent.

F6 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option).

F6 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option).

F6 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised with a per Share exercise price equal to or greater than the Closing Amount but less than $14.00 (each, an "Out-of-the-Money Option") was automatically canceled and terminated and converted into the right to receive one CVR with respect to each Share subject to such Out-of-the-Money Option immediately prior to the Effective Time, and therefore may become entitled to receive, as of the date of the Milestone Payment (as defined in the Merger Agreement), an amount in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (i) the aggregate number of CVRs received in respect of such Out-of-the-Money Option by (ii) an amount equal to $14.00, less the per Share exercise price of such Out-of-the-Money Option (provided if no Milestone Payment is made, then no payments will be made with respect to any Out-of-the-Money Option).

SEC source: 0000950170-25-091036 · ownership.xml · derivative · entry 3

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Rastetter Family Trust

Disclosed balance after: 0

Underlying: Common Stock · 4,650 shares

Expires not disclosed

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share.

F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent.

F5 · price: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

F5 · derivative.exercise_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

F5 · derivative.expiration_date: Pursuant to terms of the Merger Agreement, each stock option that was outstanding and unexercised immediately prior to the Effective Time with a per Share exercise price less than the Closing Amount (each, an "In-the-Money Option") was automatically canceled and terminated and converted into the right to receive (i) a payment in cash (without interest and subject to applicable withholding), if any, equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such In-the-Money Option immediately prior to the Effective Time by (B) an amount equal to the Closing Amount less the per Share exercise price of such In-the-Money Option plus (ii) one CVR with respect to each Share subject to such In-the-Money Option immediately prior to the Effective Time.

SEC source: 0000950170-25-091036 · ownership.xml · nonDerivative · entry 2

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Rastetter Family Trust

Disclosed balance after: 0

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share.

F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent.

F4 · price: Pursuant to terms of the Merger Agreement, each restricted stock unit that was subject to vesting or forfeiture conditions that was outstanding immediately prior to the Effective Time was automatically canceled and terminated and converted into the right to receive (i) an amount in cash (without interest and subject to applicable withholding) equal to the product obtained by multiplying (A) the aggregate number of Shares underlying such restricted stock unit immediately prior to the Effective Time by (B) the Closing Amount, plus (ii) one CVR with respect to each Share subject to such restricted stock unit immediately prior to the Effective Time.

SEC source: 0000950170-25-091036 · ownership.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · By The Rastetter Family Trust

Disclosed balance after: 57,292

F1 · kind: This Form 4 reports securities disposed pursuant to that certain Agreement and Plan of Merger, dated as of April 29, 2025 (the "Merger Agreement"), by and among Regulus Therapeutics Inc. (the "Issuer"), Redwood Merger Sub Inc. ("Merger Sub"), a wholly owned, indirect subsidiary of Novartis AG ("Parent"), and Parent. Pursuant to the Merger Agreement, Merger Sub completed a cash tender offer to acquire all of the issued and outstanding shares of common stock of the Issuer, par value $0.001 (the "Shares"), in exchange for (a) $7.00 in cash per Share (the "Closing Amount"), subject to any applicable withholding and without interest thereon, plus (b) one contingent value right (each, a "CVR") per Share.

F2 · kind: Each CVR represents the right to receive one contingent payment of $7.00 in cash (the Closing Amount and one CVR, collectively, the "Offer Price"), subject to any applicable withholding and without interest thereon, upon the achievement of the milestone specified in, and on the other terms and subject to the other conditions set forth in, that certain CVR Agreement entered into between Parent and a rights agent. Effective as of June 25, 2025, Merger Sub merged with and into the Issuer (the "Effective Time"), with the Issuer continuing as the surviving corporation and as a wholly owned subsidiary of Parent.

F3 · price: Pursuant to the terms of the Merger Agreement, each Share was tendered in exchange for the Offer Price.

SEC source: 0000950170-25-079717 · ownership.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,000

Underlying: Common Stock · 55,000 shares

Expires 2035-05-29

F1 · 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.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) May 29, 2026 or (ii) the date of the Issuer's 2026 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

SEC source: 0000914475-25-000134 · wk-form4_1747952144.xml · derivative · entry 3

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,869 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 · security: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting.

F4 · derivative.exercise_date: This RSU award was granted to the Reporting Person on May 22, 2024 and is fully vested.

F4 · derivative.expiration_date: This RSU award was granted to the Reporting Person on May 22, 2024 and is fully vested.

SEC source: 0000914475-25-000134 · wk-form4_1747952144.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,360

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 · balance_after: 40,360 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power.

SEC source: 0000914475-25-000134 · wk-form4_1747952144.xml · derivative · entry 2

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,318

Underlying: Common Stock · 3,318 shares

Expires not disclosed

F2 · security: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting.

F3 · derivative.exercise_date: The RSUs will vest in full on May 21, 2026.

F3 · derivative.expiration_date: The RSUs will vest in full on May 21, 2026.

SEC source: 0000914475-25-000103 · wk-form4_1746659129.xml · derivative · entry 3

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 30,000 shares

Expires 2025-05-28

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.

F4 · derivative.exercise_date: The option was granted May 28, 2015 and vested in 12 equal monthly installments beginning June 28, 2015. These options were due to expire on May 28, 2025.

SEC source: 0000914475-25-000103 · wk-form4_1746659129.xml · nonDerivative · entry 2

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 37,491

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person on June 14, 2024. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $108.13 to $111.16. The Reporting Person has provided to the issuer, and will provide to 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.

F3 · balance_after: 37,491 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power.

SEC source: 0000914475-25-000103 · wk-form4_1746659129.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 67,491

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: 0000950170-25-061111 · ownership.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · The Rastetter Family Trust

Disclosed balance after: 101,556

F1 · shares: On April 30, 2025, the Reporting Person was granted 62,500 Restricted Stock Units (the "Award"). The Award vests in equal monthly installments over the 12 months from the date of grant.

SEC source: 0000914475-24-000197 · wk-form4_1723842044.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,491

F1 · price: The Reporting Person contributed Issuer common stock to an exchange fund for shares of the exchange fund. The Issuer common stock was valued at $146.69 per share for the purpose of determining the number of shares of the exchange fund issuable to the Reporting Person.

F2 · balance_after: All of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power.

SEC source: 0000950170-24-071970 · ownership.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2034-06-07

F1 · 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.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 7, 2025 or (ii) the date of the Issuer's 2025 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

SEC source: 0001493152-24-023179 · ownership.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common stock · 40,000 shares

Expires 2034-06-05

F1 · derivative.exercise_date: This option will vest in full on the earlier of the first anniversary of the grant date or immediately prior to the issuer's first annual meeting of stockholders occurring after the grant date, subject to the director's continued service as a director, and will become exercisable in full upon a change in control of the issuer.

SEC source: 0000914475-24-000158 · wk-form4_1716504649.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,869

Underlying: Common Stock · 2,869 shares

Expires not disclosed

F1 · security: Each Restricted Stock Unit ("RSU") represents the right to receive one share of the Issuer's common stock upon vesting.

F2 · derivative.exercise_date: The RSUs will vest in full on May 22, 2025.

F2 · derivative.expiration_date: The RSUs will vest in full on May 22, 2025.

SEC source: 0000950170-24-062936 · ownership.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Rastetter Family Trust

Disclosed balance after: 60,000

Underlying: Common Stock · 60,000 shares

Expires 2034-05-19

F1 · derivative.exercise_date: The options will vest ratably over the following twelve months such that the option will be fully vested one year after the date of grant or on the date of the Company's next annual shareholder meeting, whichever occurs first, subject to the Reporting Person's continuous service.

SEC source: 0000950170-24-061744 · ownership.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Rastetter Family Trust

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2034-05-15

F1 · derivative.exercise_date: Pursuant to the Company's Non Employee Director's Compensation policy, the options are automatically granted on the date of the Company's Annual Meeting of Stockholders and will vest ratably over the following twelve months such that the option will be fully vested one year after the date of grant or on the date of the Company's next annual stockholder meeting, whichever occurs first, subject to the Reporting Person's continuous service.

SEC source: 0000914475-24-000006 · wk-form4_1704410754.xml · derivative · entry 3

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2024-05-22

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.

F4 · derivative.exercise_date: The option was granted May 22, 2014 and vested in 12 equal monthly installments beginning June 22, 2014. These options will expire ten years from the date of grant on May 22, 2024.

SEC source: 0000914475-24-000006 · wk-form4_1704410754.xml · nonDerivative · entry 2

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 51,741

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted by the Reporting Person on May 31, 2023. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $130.76 to $133.33. The Reporting Person has provided to the issuer, and will provide to 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.

F3 · balance_after: 42,785 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power

SEC source: 0000914475-24-000006 · wk-form4_1704410754.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 62,785

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: 0001209191-23-045639 · doc4.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · The Rastetter Family Trust

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2033-08-09

F1 · derivative.exercise_date: The options will vest ratably over the following twelve months such that the option will be fully vested one year after the date of grant, subject to the Reporting Person's continuous service.

SEC source: 0001401914-23-000028 · wk-form4_1687397979.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common stock · 40,000 shares

Expires 2033-06-21

F1 · derivative.exercise_date: This option will vest in full on the earlier of the first anniversary of the grant date or immediately prior to the issuer's first annual meeting of stockholders occurring after the grant date, subject to the director's continued service as a director, and will become exercisable in full upon a change in control of the issuer.

SEC source: 0001209191-23-036777 · doc4.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · The Rastetter Family Trust

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2033-06-12

F1 · derivative.exercise_date: Pursuant to the Company's Non Employee Director's Compensation policy, the options are automatically granted on the date of the Company's Annual Meeting of Stockholders and will vest ratably over the following twelve months such that the option will be fully vested one year after the date of grant or on the date of the Company's next annual stockholder meeting, whichever occurs first, subject to the Reporting Person's continuous service.

SEC source: 0001209191-23-035062 · doc4.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,000

Underlying: Common Stock · 40,000 shares

Expires 2033-06-06

F1 · 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.

F2 · derivative.exercise_date: The shares subject to this option shall vest and become exercisable on the earlier of (i) June 6, 2024 or (ii) the date of the Issuer's 2024 Annual Meeting of Stockholders, subject to the Reporting Person's continued service on the Issuer's Board of Directors.

SEC source: 0001209191-23-031119 · doc4.xml · derivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,579

Underlying: Common Stock · 8,579 shares

Expires 2033-05-17

F1 · derivative.exercise_date: Option vests in 12 monthly installments beginning June 17, 2023.

SEC source: 0001209191-23-027095 · doc4.xml · derivative · entry 3

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,625 shares

Expires 2023-05-23

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.

F4 · derivative.exercise_date: The option was granted May 23, 2013 and vested in 12 equal monthly installments beginning June 23, 2013.

SEC source: 0001209191-23-027095 · doc4.xml · nonDerivative · entry 2

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 42,785

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted on May 19, 2022. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F2 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $100.87 to $101.84. The Reporting Person has provided to the issuer, and will provide to 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.

F3 · balance_after: 34,022 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power.

SEC source: 0001209191-23-027095 · doc4.xml · nonDerivative · entry 1

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 47,085

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: 0001209191-23-025273 · doc4.xml · derivative · entry 6

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 7,625

Underlying: Common Stock · 10,765 shares

Expires 2023-05-23

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 was granted May 23, 2013 and vested in 12 equal monthly installments beginning June 23, 2013.

SEC source: 0001209191-23-025273 · doc4.xml · nonDerivative · entry 4

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 39,460

F1 · kind: The disposition reported in this Form 4 was effected by a broker pursuant to instructions set forth in a Rule 10b5-1 trading plan adopted on May 19, 2022. Additionally, Issuer policy restricts the Reporting Person from amending or otherwise modifying any 10b5-1 trading plan subsequent to adoption of the plan.

F3 · price: Represents a weighted average sales price per share. These shares were sold in multiple transactions at prices ranging from $105.00 to $105.11. The Reporting Person has provided to the issuer, and will provide to 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.

F4 · ownership.direct: 34,022 of the reported shares are held by the Rastetter Family Trust established September 2, 2010, of which the Reporting Person has voting and investment power.

SEC source: 0001209191-23-025273 · doc4.xml · nonDerivative · entry 3

RASTETTER WILLIAM H · CIK 0001205903 · Director

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 45,494

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.