AEIS

SEC source: 0001209191-19-007745 · doc4.xml · nonDerivative · entry 1

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,215

F1 · shares: Payment of tax liability by withholding securities incident to vesting of restricted stock units.

F2 · balance_after: Represents 21,009 shares of Restricted Stock Units and 109,206 shares of common stock.

SEC source: 0001209191-18-047610 · doc4.xml · nonDerivative · entry 1

MCGIMPSEY THOMAS O · CIK 0001245088 · EVP Interim CFO & Gen Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,777

F1 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 plan.

F2 · price: The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $58.95 to $59.78. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set for the in this footnote.

F3 · balance_after: Represents 11,513 shares of Restricted Stock units and 30,264 shares of common stock.

SEC source: 0001209191-18-043344 · doc4.xml · nonDerivative · entry 1

Brinker Neil David · CIK 0001743693 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,862

F1 · shares: Employee Restricted Stock Units granted on 7/17/18 are a one-time new hire grant and will vest in 2 equal installments beginning on the first anniversary date of the grant.

F2 · balance_after: Represents 10,862 shares granted as Restricted Stock Units. As of the transaction date, the restricted stock units have vested as to zero shares.

SEC source: 0001209191-18-038764 · doc4.xml · derivative · entry 2

Brinker Neil David · CIK 0001743693 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,662

Underlying: Common Stock · 6,662 shares

Expires not disclosed

F3 · derivative.exercise_date: These performance share awards were issued under the 2018 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F3 · derivative.expiration_date: These performance share awards were issued under the 2018 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

SEC source: 0001209191-18-038764 · doc4.xml · nonDerivative · entry 1

Brinker Neil David · CIK 0001743693 · EVP, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,331

F1 · shares: Employee Restricted Stock Units granted on 6/18/2018 under the Company's 2018 Long Term Incentive Plan (LTI Plan) will vest in 3 equal installments beginning on the first anniversary date of the grant.

F2 · balance_after: Represents 3331 shares granted as Restricted Stock Units. As of the transaction date, the restricted stock units have vested as to zero shares.

SEC source: 0001209191-18-033532 · doc4.xml · nonDerivative · entry 3

ROHRS THOMAS M · CIK 0001254354 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 14,000

F4 · ownership.nature: Shares held by the Thomas M. Rohrs and Marion Rohrs Revocable Trust. The reporting person is a trustee of the trust and disclaims beneficial ownership of the reported securities except herein to the extent of he pecuniary interest.

SEC source: 0001209191-18-028690 · doc4.xml · derivative · entry 21

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,013 shares

Expires 2021-04-28

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.

F1 · shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

F1 · derivative.underlying_shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · derivative · entry 20

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,429

Underlying: Common Stock · 13,171 shares

Expires 2024-01-01

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

F1 · shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

F1 · derivative.underlying_shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · derivative · entry 19

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,500 shares

Expires 2022-01-03

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

F1 · shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

F1 · derivative.underlying_shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · derivative · entry 18

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,813 shares

Expires 2021-10-26

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: Shares exercised and sold in accordance with 10b5-1 trading plan.

F1 · derivative.underlying_shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · derivative · entry 17

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,876 shares

Expires 2021-07-22

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

F1 · shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

F1 · derivative.underlying_shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · derivative · entry 16

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,938 shares

Expires 2021-02-15

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: Shares exercised and sold in accordance with 10b5-1 trading plan.

F1 · derivative.underlying_shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · derivative · entry 15

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,361 shares

Expires 2020-04-20

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.

F1 · shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

F1 · derivative.underlying_shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · derivative · entry 14

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,938 shares

Expires 2020-02-16

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

F1 · shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

F1 · derivative.underlying_shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · derivative · entry 13

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 930 shares

Expires 2019-10-27

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: Shares exercised and sold in accordance with 10b5-1 trading plan.

F1 · derivative.underlying_shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · nonDerivative · entry 12

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,999

F1 · shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

F4 · price: The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $62.86 to $63.13. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F5 · balance_after: Represents 45,388 shares of Restricted Stock Units and 95,611 shares of common stock.

SEC source: 0001209191-18-028690 · doc4.xml · nonDerivative · entry 11

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,809

F1 · shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

F3 · price: The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $61.85 to $62.85. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001209191-18-028690 · doc4.xml · nonDerivative · entry 10

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,194

F1 · shares: Shares exercised and sold in accordance with 10b5-1 trading plan.

F2 · price: The price reported in Column 4 is an average price. These shares sold in multiple transactions at prices ranging from $60.78 to $61.71. The reporting person undertakes to provide to Advanced Energy, any security holder of Advanced Energy, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

SEC source: 0001209191-18-028690 · doc4.xml · nonDerivative · entry 9

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,539

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: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · nonDerivative · entry 8

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,526

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: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · nonDerivative · entry 7

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,355

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: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · nonDerivative · entry 6

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,855

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: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · nonDerivative · entry 5

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,042

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: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · nonDerivative · entry 4

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,166

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: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · nonDerivative · entry 3

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,228

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: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · nonDerivative · entry 2

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,867

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: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028690 · doc4.xml · nonDerivative · entry 1

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,929

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: Shares exercised and sold in accordance with 10b5-1 trading plan.

SEC source: 0001209191-18-028415 · doc4.xml · nonDerivative · entry 1

BEARD GRANT H · CIK 0001173731 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,000

F1 · shares: The restricted stock units granted on May 3, 2018 will vest 100% at the anniversary of the grant date. This is an annual non-employee director grant as outlined in the 2018 proxy.

F2 · balance_after: As of the reporting date Mr. Beard holds 42,000 shares in street name.

SEC source: 0001209191-18-028412 · doc4.xml · nonDerivative · entry 1

Roush John A · CIK 0001308225 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,000

F1 · shares: The restricted stock units granted on May 3, 2018 will vest 100% at the first anniversary of the grant date. This is an annual non-employee director grant as outlined in the 2018 proxy.

F2 · balance_after: As of this filing date, Mr. Roush holds 11,000 RSU shares in street name.

SEC source: 0001209191-18-028405 · doc4.xml · nonDerivative · entry 1

FOSTER RONALD C · CIK 0001222896 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,000

F1 · shares: The restricted stock units granted on May 3, 2018 will vest 100% at the first anniversary of the grant date. This is an annual non-employee director grant as outlined in the 2018 proxy.

F2 · balance_after: At the time of this filing Mr. Foster holds 29,500 shares in street name.

SEC source: 0001209191-18-028403 · doc4.xml · nonDerivative · entry 1

BALL FREDERICK · CIK 0001175993 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

F1 · shares: The restricted stock units granted on May 3, 2018 will vest 100% at the first anniversary of the grant date. This is an annual non-employee director grant as outlined in the 2018 proxy.

F2 · balance_after: Represents shares of restricted stock units.

SEC source: 0001209191-18-028401 · doc4.xml · nonDerivative · entry 1

GRADY EDWARD C · CIK 0001234453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,800

F1 · shares: The restricted stock units granted on May 3, 2018 will vest 100% on the first anniversary of the grant date. This is an annual non-employee director grant as outlined in the 2018 proxy.

F2 · balance_after: As of this filing date, Mr. Grady holds 34,800 RSU shares in street name.

SEC source: 0001209191-18-028398 · doc4.xml · nonDerivative · entry 1

ROHRS THOMAS M · CIK 0001254354 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,750

F1 · shares: The restricted stock units granted on May 3, 2018 will vest 100% on the first anniversary of the grant date. This is an annual non-employee director grant as outlined in the 2018 proxy.

F2 · balance_after: As of this filing Mr. Rohrs holds 24,750 shares in street name.

SEC source: 0001209191-18-028396 · doc4.xml · nonDerivative · entry 1

Donikowski Tina · CIK 0001700872 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,000

F1 · shares: The restricted stock units granted on May 3, 2018 will vest 100% at the first anniversary of the grant date. This is an annual non-employee director grant as outlined in the 2018 proxy.

F2 · balance_after: At the time of this filing Ms. Donikowski holds zero shares in street name.

SEC source: 0001209191-18-058776 · doc4a.xml · nonDerivative · entry 1

GRADY EDWARD C · CIK 0001234453 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,800

F1 · balance_after: Due to administrative error, the total in section 5 on Table 1 was listed incorrectly. Mr. Grady owns 34,800 in street name for a total of 40,800 shares beneficially owned.

SEC source: 0001209191-18-028206 · doc4.xml · derivative · entry 2

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,519

Underlying: Common Stock · 8,519 shares

Expires not disclosed

F3 · derivative.exercise_date: These performance share awards were issued under the 2018 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

F3 · derivative.expiration_date: These performance share awards were issued under the 2018 LTI Plan at 200% of target and have a 3-year vest period and will vest in all or in part upon achievement of performance metrics. Any awards that have not vested earned and released at the end of the 3-year period will be cancelled.

SEC source: 0001209191-18-028206 · doc4.xml · nonDerivative · entry 1

Oldham Paul R · CIK 0001421764 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,260

F1 · shares: Employee Restricted Stock Units granted on 05/02/2018 under the Company's 2018 Long Term Incentive Plan (LTI Plan) will vest in 3 equal installments beginning on the first anniversary date of the grant.

F2 · balance_after: Represents 4260 shares granted as Restricted Stock Units. As of the transaction date, the restricted stock units have vested as to zero shares.

SEC source: 0001209191-18-015839 · doc4.xml · nonDerivative · entry 1

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,999

F1 · shares: Payment of tax liability by withholding securities incident to vesting of restricted stock units.

F2 · balance_after: Represents 45,388 shares of Restricted Stock Units and 95,611 shares of common stock.

SEC source: 0001209191-18-015823 · doc4.xml · nonDerivative · entry 1

MCGIMPSEY THOMAS O · CIK 0001245088 · EVP Interim CFO & Gen Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,168

F1 · shares: Payment of tax liability by witholding securities incident to vesting of restricted stock units.

F2 · balance_after: Represents 11,513 shares of Restricted Stock units and 38,655 shares of common stock.

SEC source: 0001209191-18-011412 · doc4.xml · nonDerivative · entry 6

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,794

F2 · shares: Payment of tax liability by withholding securities incident to vesting of performance stock units.

F5 · balance_after: Represents 77,977 shares of Restricted Stock Units and 19,501 Performance Stock Units. 52,316 of these total shares are held in street name.

SEC source: 0001209191-18-011412 · doc4.xml · nonDerivative · entry 5

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,332

F4 · shares: These performance stock units were reported voluntarily 2/6/2017. Certain 2017 EPS performance metrics were met under the LTI Plan and the shares were approved for a 2/15/2018 release by the Board of Directors.

SEC source: 0001209191-18-011412 · doc4.xml · nonDerivative · entry 4

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,642

F2 · shares: Payment of tax liability by withholding securities incident to vesting of performance stock units.

SEC source: 0001209191-18-011412 · doc4.xml · nonDerivative · entry 3

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,026

F3 · shares: These performance stock units were reported voluntarily 2/6/2017. Certain 2017 Revenue performance metrics were met under the LTI Plan and the shares were approved for a 2/15/2018 release by the Board of Directors.

SEC source: 0001209191-18-011412 · doc4.xml · nonDerivative · entry 2

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,604

F2 · shares: Payment of tax liability by withholding securities incident to vesting of performance stock units.

SEC source: 0001209191-18-011412 · doc4.xml · nonDerivative · entry 1

WASSERMAN YUVAL · CIK 0001416894 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,987

F1 · shares: These performance stock units were reported voluntarily 2/8/2016. Certain 2016 Revenue performance metrics were met under the LTI Plan and the shares were approved for a 2/15/2018 release by the Board of Directors.

SEC source: 0001209191-18-011410 · doc4.xml · nonDerivative · entry 6

MCGIMPSEY THOMAS O · CIK 0001245088 · EVP Gen Counsel & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,366

F2 · shares: Payment of tax liability by witholding securities incident to vesting of performance stock units.

F5 · balance_after: Represents 23,014 shares of Restricted Stock units and 11,259 shares of Performance Stock Units and 18,093 shares of common stock.

SEC source: 0001209191-18-011410 · doc4.xml · nonDerivative · entry 5

MCGIMPSEY THOMAS O · CIK 0001245088 · EVP Gen Counsel & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,749

F4 · shares: These performance stock units were reported voluntarily 2/6/2017. Certain 2017 EPS performance metrics were met under the LTI Plan and the shares were approved for a 2/15/2018 release by the Board of Directors.

SEC source: 0001209191-18-011410 · doc4.xml · nonDerivative · entry 4

MCGIMPSEY THOMAS O · CIK 0001245088 · EVP Gen Counsel & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,326

F2 · shares: Payment of tax liability by witholding securities incident to vesting of performance stock units.

SEC source: 0001209191-18-011410 · doc4.xml · nonDerivative · entry 3

MCGIMPSEY THOMAS O · CIK 0001245088 · EVP Gen Counsel & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,921

F3 · shares: These performance stock units were reported voluntarily 2/6/2017. Certain 2017 Revenue performance metrics were met under the LTI Plan and the shares were approved for a 2/15/2018 release by the Board of Directors.

SEC source: 0001209191-18-011410 · doc4.xml · nonDerivative · entry 2

MCGIMPSEY THOMAS O · CIK 0001245088 · EVP Gen Counsel & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,566

F2 · shares: Payment of tax liability by witholding securities incident to vesting of performance stock units.