AGO

SEC source: 0001209191-19-059297 · doc4.xml · nonDerivative · entry 1

Bieling Laura · CIK 0001770196 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,299

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: 0001209191-19-058555 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 477,995

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $49.58 and $49.87 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-058331 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 469,470

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $49.22 and $49.66 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-058114 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 456,690

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $48.75 and $49.36 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-058114 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 443,910

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $48.32 and $48.82 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-057839 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 431,130

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $48.47 and $48.85 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-057839 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 418,350

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $48.42 and $48.86 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-057443 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 405,570

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $48.58 and $48.92 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-057443 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 392,790

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $48.02 and $48.73 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-056943 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,010

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $48.27 and $48.58 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-056943 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 367,399

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $48.17 and $48.43 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-056590 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,788

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $47.94 and $48.45 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-056584 · doc4.xml · derivative · entry 6

Stern Bruce E. · CIK 0001539879 · Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 8,202 shares

Expires 2020-02-07

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 · balance_after: All options of this tranche have been exercised. The total number of performance share units from tranches with different performance measures, performance periods and vesting dates is 20,258.

SEC source: 0001209191-19-056584 · doc4.xml · derivative · entry 5

Stern Bruce E. · CIK 0001539879 · Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 10,000 shares

Expires 2020-02-24

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: Options vested as follows: 1/3 on 02/24/2011, 1/3 on 02/24/2012 and 1/3 on 02/24/2013.

F5 · balance_after: All options of this tranche have been exercised. The total number of performance share units from tranches with different performance measures, performance periods and vesting dates is 20,258.

SEC source: 0001209191-19-056584 · doc4.xml · nonDerivative · entry 4

Stern Bruce E. · CIK 0001539879 · Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,144.3073

F2 · price: The Common Shares sold by the Reporting Person and reported herein were sold at a range of between $48.04 and $48.13 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such price range.

F3 · balance_after: Total includes 650 shares purchased on 06/30/2019 pursuant to the Assured Guaranty Ltd. Employee Stock Purchase Plan which meets the requirements of Rule 16b-3.

SEC source: 0001209191-19-056584 · doc4.xml · nonDerivative · entry 3

Stern Bruce E. · CIK 0001539879 · Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,196.3073

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: 0001209191-19-056584 · doc4.xml · nonDerivative · entry 2

Stern Bruce E. · CIK 0001539879 · Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 168,994.3073

F1 · price: The Common Shares sold by the Reporting Person and reported herein were sold at a range of between $48.04 and $48.14 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such price range.

SEC source: 0001209191-19-056584 · doc4.xml · nonDerivative · entry 1

Stern Bruce E. · CIK 0001539879 · Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,005.3073

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: 0001209191-19-056590 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342,177

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $47.73 and $48.48 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-056073 · doc4.xml · nonDerivative · entry 5

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329,566

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F6 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $47.94 and $47.97 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-056073 · doc4.xml · nonDerivative · entry 4

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329,404

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F5 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.94 and $47.92 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-056088 · doc4.xml · derivative · entry 6

Bailenson Robert · CIK 0001326822 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 6,835 shares

Expires 2020-02-07

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 · balance_after: All options of this tranche have been exercised. The total number of performance share units from tranches with different performance measures, performance periods and vesting dates is 37,826.

SEC source: 0001209191-19-056088 · doc4.xml · derivative · entry 5

Bailenson Robert · CIK 0001326822 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 20,000 shares

Expires 2020-02-24

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: Options vested as follows: 1/3 on 02/24/2011, 1/3 on 02/24/2012 and 1/3 on 02/24/2013.

F4 · balance_after: All options of this tranche have been exercised. The total number of performance share units from tranches with different performance measures, performance periods and vesting dates is 37,826.

SEC source: 0001209191-19-056088 · doc4.xml · nonDerivative · entry 4

Bailenson Robert · CIK 0001326822 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,767.0819

F2 · price: The Common Shares sold by the Reporting Person and reported herein were sold at a range of between $46.99 and $47.17 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such price range.

SEC source: 0001209191-19-056088 · doc4.xml · nonDerivative · entry 3

Bailenson Robert · CIK 0001326822 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 276,602.0819

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: 0001209191-19-056088 · doc4.xml · nonDerivative · entry 2

Bailenson Robert · CIK 0001326822 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 269,767.0819

F1 · price: The Common Shares sold by the Reporting Person and reported herein were sold at a range of between $46.91 and $47.14 per share. The sale price reported above represents the weighted average sale price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such price range.

SEC source: 0001209191-19-056088 · doc4.xml · nonDerivative · entry 1

Bailenson Robert · CIK 0001326822 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 289,767.0819

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: 0001209191-19-056073 · doc4.xml · nonDerivative · entry 3

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 316,955

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F4 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $49.35 and $49.81 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-056073 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,102

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $48.35 and $49.34 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-056073 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,717

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $48.27 and $48.58 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-055688 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 292,479

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $47.91 and $48.51 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-055688 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,241

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $47.55 and $47.90 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-055239 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 268,003

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $47.26 and $47.74 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-054958 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,765

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $47.16 and $47.52 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-054958 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,830

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.72 and $47.33 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-054632 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,200

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.90 and $47.45 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-054632 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 232,800

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.81 and $47.24 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-054381 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,400

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.66 and $47.09 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-054381 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 210,000

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.37 and $46.90 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-054097 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,500

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.60 and $46.91 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-054097 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 187,000

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.34 and $46.95 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-053846 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 175,500

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.52 and $47.02 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-053846 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,000

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.97 and $47.32 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-053704 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,500

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.73 and $46.97 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-053704 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,800

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.42 and $46.76 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-053420 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,100

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $46.11 and $46.52 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-053420 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,400

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $45.70 and $46.48 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-053189 · doc4.xml · nonDerivative · entry 3

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,700

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F4 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $45.25 and $45.66 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-053189 · doc4.xml · nonDerivative · entry 2

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,000

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F3 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $45.56 and $46.00 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.

SEC source: 0001209191-19-053189 · doc4.xml · nonDerivative · entry 1

Feldstein Andrew T · CIK 0001584585 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,400

F1 · kind: The Reporting Person has agreed with the issuer to purchase Common Shares of the issuer during the two-month period ending November 30, 2019 for an aggregate purchase price of $22,500,000, representing a portion of the cash consideration he received in the acquisition of BlueMountain Capital Management, LLC and its associated entities by a subsidiary of the issuer.

F2 · price: The Common Shares purchased by the Reporting Person and reported herein were purchased at a range of between $44.87 and $45.62 per share. The purchase price reported above represents the weighted average purchase price for the reported transaction and has been rounded to the nearest cent. The Reporting Person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within such price range.