BFH

SEC source: 0001062993-22-015146 · form4.xml · nonDerivative · entry 1

Kimbrough Karin · CIK 0001771242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,164

F1 · kind: The new grant is for 2,650 shares of common stock represented by restricted stock units, which will vest on the earlier of (i) June 15, 2032 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2023.

F1 · price: The new grant is for 2,650 shares of common stock represented by restricted stock units, which will vest on the earlier of (i) June 15, 2032 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2023.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 1,408 unvested restricted stock units granted 6/15/21; (b) 106 unvested restricted stock units granted 3/15/22; and (c) the new grant for 2,650 restricted stock units.

SEC source: 0001062993-22-015141 · form4.xml · nonDerivative · entry 1

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,960

F1 · kind: The new grant is for 2,650 shares of common stock represented by restricted stock units, which will vest on the earlier of (i) June 15, 2032 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2023.

F1 · price: The new grant is for 2,650 shares of common stock represented by restricted stock units, which will vest on the earlier of (i) June 15, 2032 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2023.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 10,803 unrestricted shares; (b) 1,595 unvested restricted stock units granted 6/29/12; (c) 789 unvested restricted stock units granted 7/1/13; (d) 568 unvested restricted stock units granted 7/1/14; (e) 486 unvested restricted stock units granted 6/29/15; (f) 699 unvested restricted stock units granted 6/27/16; (g) 655 unvested restricted stock units granted 6/26/17; (h) 761 unvested restricted stock units granted 6/25/18; (i) 1,114 unvested restricted stock units granted 6/24/19; (j) 3,432 unvested restricted stock units granted 6/22/20; (k) 1,408 unvested restricted stock units granted 6/15/21; and (l) the new grant for 2,650 restricted stock units.

SEC source: 0001062993-22-015144 · form4.xml · nonDerivative · entry 1

Gerspach John C · CIK 0001321140 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,315

F1 · kind: The new grant is for 2,650 shares of common stock represented by restricted stock units, which will vest on the earlier of (i) June 15, 2032 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2023.

F1 · price: The new grant is for 2,650 shares of common stock represented by restricted stock units, which will vest on the earlier of (i) June 15, 2032 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2023.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 5,000 unrestricted shares; (b) 5,981 unvested restricted stock units granted 6/22/20; (c) 2,241 unvested restricted stock units granted 6/15/21; (d) 431 unvested restricted stock units granted 9/15/21; (e) 474 unvested restricted stock units granted 12/15/21; (f) 538 unvested restricted stock units granted 3/15/22; and (g) the new grant for 2,650 restricted stock units.

SEC source: 0001062993-22-008034 · form4.xml · nonDerivative · entry 1

Tucker Laurie Anne · CIK 0001391264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,164

F1 · kind: The new grant is for 257 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 3/15/32 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than March 15, 2023.

F1 · price: The new grant is for 257 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 3/15/32 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than March 15, 2023.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 4,000 unrestricted shares; (b) 486 unvested restricted stock units granted 6/29/15; (c) 1,179 unvested restricted stock units granted 6/27/16; (d) 1,085 unvested restricted stock units granted 6/26/17; (e) 1,341 unvested restricted stock units granted 6/25/18; (f) 1,645 unvested restricted stock units granted 6/24/19; (g) 5,007 unvested restricted stock units granted 6/22/20; (h) 1,731 unvested restricted stock units granted 6/15/21; (i) 206 unvested restricted stock units granted 9/15/21; (j) 227 unvested restricted stock units granted 12/15/21; and (k) the new grant for 257 restricted stock units.

SEC source: 0001062993-22-008032 · form4.xml · nonDerivative · entry 1

Kimbrough Karin · CIK 0001771242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,514

F1 · kind: The new grant is for 106 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 3/15/32 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than March 15, 2023.

F1 · price: The new grant is for 106 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 3/15/32 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than March 15, 2023.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 1,408 unvested restricted stock units granted 6/15/21; and (b) the new grant for 106 restricted stock units.

SEC source: 0001062993-22-008031 · form4.xml · nonDerivative · entry 1

Gerspach John C · CIK 0001321140 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,665

F1 · kind: The new grant is for 538 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 3/15/32 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than March 15, 2023.

F1 · price: The new grant is for 538 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 3/15/32 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than March 15, 2023.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 5,000 unrestricted shares; (b) 5,981 unvested restricted stock units granted 6/22/20; (c) 2,241 unvested restricted stock units granted 6/15/21; (d) 431 unvested restricted stock units granted 9/15/21; (e) 474 unvested restricted stock units granted 12/15/21; and (f) the new grant for 538 restricted stock units.

SEC source: 0001062993-22-005416 · form4.xml · nonDerivative · entry 1

Motes Joseph L III · CIK 0001648042 · EVP, CAO, Gen Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,746

F1 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

F2 · balance_after: The total number of securities beneficially owned includes: (a) 10,908 unrestricted shares; (b) 726 unvested units from an award of 2,037 time-based restricted stock units granted 2/18/20; (c) 363 unvested units from an award of 1,018 performance-based restricted stock units granted 2/18/20; (d) 14,697 unvested units from an award of 21,934 time-based restricted stock units granted 2/16/21; (e) 10,340 unvested performance-based restricted stock units granted 2/16/21; (f) 6,685 unvested time-based restricted stock units granted 2/15/22; and (g) 10,027 unvested performance-based restricted stock units granted 2/15/22.

F3 · balance_after: The grant for 4,804 performance-based restricted stock units awarded on 2/18/20 was forfeited due to failure to meet the relative total shareholder return metric for 2020 and 2021.

SEC source: 0001062993-22-005415 · form4.xml · nonDerivative · entry 1

McConnaughey Tammy M · CIK 0001801426 · EVP, Opn's & Credit Risk, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,800.055

F1 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

F2 · balance_after: The total number of securities beneficially owned includes: (a) 19,018.055 unrestricted shares; (b) 693 unvested units from an award of 1,946 time-based restricted stock units granted 2/18/20; (c) 10,497 unvested units from an award of 15,667 time-based restricted stock units granted 2/16/21; (d) 9,400 unvested performance-based restricted stock units granted 2/16/21; (e) 6,077 unvested time-based restricted stock units granted 2/15/22; and (f) 9,115 unvested performance-based restricted stock units granted 2/15/22.

SEC source: 0001062993-22-005414 · form4.xml · nonDerivative · entry 1

Andretta Ralph J · CIK 0001801850 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,102

F1 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

F2 · balance_after: The total number of securities beneficially owned includes: (a) 34,681 unrestricted shares; (b) 2,695 unvested units from an award of 7,563 time-based restricted stock units granted 2/18/20; (c) 2,434 unvested units from an award of 6,829 time-based restricted stock units granted 2/18/20; (d) 1,616 unvested units from an award of 4,538 performance-based restricted stock units granted 2/18/20; (e) 7,275 unvested units from an award of 20,419 performance-based restricted stock units granted 2/18/20; (f) 44,083 unvested units from an award of 65,795 time-based restricted stock units granted 2/16/21; (g) 39,476 unvested performance-based restricted stock units granted 2/16/21; (h) 26,737 unvested time-based restricted stock units granted 2/15/22; and (i) 40,105 unvested performance-based restricted stock units granted 2/15/22.

F3 · balance_after: The grant for 14,263 performance-based restricted stock units awarded on 2/18/20 was forfeited due to failure to meet the relative total shareholder return metric for 2020 and 2021.

SEC source: 0001062993-22-004792 · form4.xml · nonDerivative · entry 4

Motes Joseph L III · CIK 0001648042 · EVP, CAO, Gen Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,967

F3 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

F4 · balance_after: The total number of securities beneficially owned includes: (a) 10,268 unrestricted shares; (b) 1,431 unvested units from an award of 2,037 time-based restricted stock units granted 2/18/20; (c) 4,804 unvested performance-based restricted stock units granted 2/18/20; (d) 715 unvested units from an award of 1,018 performance-based restricted stock units granted 2/18/20; (e) 14,697 unvested units from an award of 21,934 time-based restricted stock units granted 2/16/21; (f) 10,340 unvested performance-based restricted stock units granted 2/16/21; (g) the new grant for 6,685 time-based restricted stock units; and (h) the new grant for 10,027 performance-based restricted stock units.

SEC source: 0001062993-22-004791 · form4.xml · nonDerivative · entry 4

McConnaughey Tammy M · CIK 0001801426 · EVP, Opn's & Credit Risk, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,089.055

F3 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

F4 · balance_after: The total number of securities beneficially owned includes: (a) 18,633.055 unrestricted shares; (b) 1,367 unvested units from an award of 1,946 time-based restricted stock units granted 2/18/20; (c) 10,497 unvested units from an award of 15,667 time-based restricted stock units granted 2/16/21; (d) 9,400 unvested performance-based restricted stock units granted 2/16/21; (e) the new grant for 6,077 time-based restricted stock units; and (f) the new grant for 9,115 performance-based restricted stock units.

SEC source: 0001062993-22-004790 · form4.xml · nonDerivative · entry 3

Greer Valerie E · CIK 0001843064 · EVP, Chief Comm'l Off'r, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,658

F3 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

F4 · balance_after: The total number of securities beneficially owned includes: (a) 7,274 unrestricted shares; (b) 15,784 unvested units from an award of 22,481 time-based restricted stock units granted 7/15/20; (c) 11,548 unvested units from an award of 17,234 time-based restricted stock units granted 2/16/21; (d) 10,340 unvested performance-based restricted stock units granted 2/16/21; (e) the new grant for 6,685 time-based restricted stock units; and (f) the new grant for 10,027 performance-based restricted stock units.

SEC source: 0001062993-22-004786 · form4.xml · nonDerivative · entry 3

Andretta Ralph J · CIK 0001801850 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,542

F3 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

F4 · balance_after: The total number of securities beneficially owned includes: (a) 22,423 unrestricted shares; (b) 5,311 unvested units from an award of 7,563 time-based restricted stock units granted 2/18/20; (c) 4,795 unvested units from an award of 6,829 time-based restricted stock units granted 2/18/20; (d) 8,827 unvested units from an award of 16,430 time-based restricted stock units granted 2/18/20; (e) 14,263 unvested performance-based restricted stock units granted 2/18/20; (f) 3,186 unvested units from an award of 4,538 performance-based restricted stock units granted 2/18/20; (g) 14,336 unvested units from an award of 20,419 performance-based restricted stock units granted 2/18/20; (h) 44,083 unvested units from an award of 65,795 time-based restricted stock units granted 2/16/21; (i) 39,476 unvested performance-based restricted stock units granted 2/16/21; (j) the new grant for 26,737 time-based restricted stock units; and (k) the new grant for 40,105 performance-based restricted stock units.

SEC source: 0001062993-22-004792 · form4.xml · nonDerivative · entry 3

Motes Joseph L III · CIK 0001648042 · EVP, CAO, Gen Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,757

F3 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

SEC source: 0001062993-22-004792 · form4.xml · nonDerivative · entry 2

Motes Joseph L III · CIK 0001648042 · EVP, CAO, Gen Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,828

F2 · kind: The new grant is for 10,027 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 2/18/25 contingent on meeting predetermined performance measures and subject to continued employment by the Reporting Person on the vesting date.

F2 · price: The new grant is for 10,027 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 2/18/25 contingent on meeting predetermined performance measures and subject to continued employment by the Reporting Person on the vesting date.

SEC source: 0001062993-22-004792 · form4.xml · nonDerivative · entry 1

Motes Joseph L III · CIK 0001648042 · EVP, CAO, Gen Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,801

F1 · kind: The new grant is for 6,685 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,206 units on each of 2/15/23 and 2/15/24 and on 2,273 units on 2/18/25, subject to continued employment by the Reporting Person on the vesting dates.

F1 · price: The new grant is for 6,685 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,206 units on each of 2/15/23 and 2/15/24 and on 2,273 units on 2/18/25, subject to continued employment by the Reporting Person on the vesting dates.

SEC source: 0001062993-22-004791 · form4.xml · nonDerivative · entry 3

McConnaughey Tammy M · CIK 0001801426 · EVP, Opn's & Credit Risk, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,916.055

F3 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

SEC source: 0001062993-22-004791 · form4.xml · nonDerivative · entry 2

McConnaughey Tammy M · CIK 0001801426 · EVP, Opn's & Credit Risk, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,048.055

F2 · kind: The new grant is for 9,115 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 2/18/25 contingent on meeting predetermined performance measures and subject to continued employment by the Reporting Person on the vesting date.

F2 · price: The new grant is for 9,115 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 2/18/25 contingent on meeting predetermined performance measures and subject to continued employment by the Reporting Person on the vesting date.

SEC source: 0001062993-22-004791 · form4.xml · nonDerivative · entry 1

McConnaughey Tammy M · CIK 0001801426 · EVP, Opn's & Credit Risk, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,933.055

F1 · kind: The new grant is for 6,077 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,005 units on each of 2/15/23 and 2/15/24 and on 2,067 units on 2/18/25, subject to continued employment by the Reporting Person on the vesting dates.

F1 · price: The new grant is for 6,077 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,005 units on each of 2/15/23 and 2/15/24 and on 2,067 units on 2/18/25, subject to continued employment by the Reporting Person on the vesting dates.

SEC source: 0001062993-22-004790 · form4.xml · nonDerivative · entry 2

Greer Valerie E · CIK 0001843064 · EVP, Chief Comm'l Off'r, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,074

F2 · kind: The new grant is for 10,027 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 2/18/25 contingent on meeting predetermined performance measures and subject to continued employment by the Reporting Person on the vesting date.

F2 · price: The new grant is for 10,027 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 2/18/25 contingent on meeting predetermined performance measures and subject to continued employment by the Reporting Person on the vesting date.

SEC source: 0001062993-22-004790 · form4.xml · nonDerivative · entry 1

Greer Valerie E · CIK 0001843064 · EVP, Chief Comm'l Off'r, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,047

F1 · kind: The new grant is for 6,685 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,206 units on each of 2/15/23 and 2/15/24 and on 2,273 units on 2/18/25, subject to continued employment by the Reporting Person on the vesting dates.

F1 · price: The new grant is for 6,685 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,206 units on each of 2/15/23 and 2/15/24 and on 2,273 units on 2/18/25, subject to continued employment by the Reporting Person on the vesting dates.

SEC source: 0001062993-22-004788 · form4.xml · nonDerivative · entry 1

Campbell Jonathan Bryan · CIK 0001893356 · SVP, Chief Acctg. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,681

F1 · kind: The new grant is for 8,681 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,864 units on 2/15/23, on 2,865 units on 2/15/24 and on 2,952 units on 2/18/25, subject to continued employment by the Reporting Person on the vesting dates.

F1 · price: The new grant is for 8,681 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,864 units on 2/15/23, on 2,865 units on 2/15/24 and on 2,952 units on 2/18/25, subject to continued employment by the Reporting Person on the vesting dates.

SEC source: 0001062993-22-004787 · form4.xml · nonDerivative · entry 2

Beberman Perry S · CIK 0001869941 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,073

F2 · kind: The new grant is for 13,239 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 2/18/25 contingent on meeting predetermined performance measures and subject to continued employment by the Reporting Person on the vesting date.

F2 · price: The new grant is for 13,239 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 2/18/25 contingent on meeting predetermined performance measures and subject to continued employment by the Reporting Person on the vesting date.

F3 · balance_after: The total number of securities beneficially owned includes: (a) 11,385 unvested time-based restricted stock units granted 7/15/21; (b) 3,623 unvested performance-based restricted stock units granted 7/15/21; (c) the new grant for 8,826 time-based restricted stock units; and (d) the new grant for 13,239 performance-based restricted stock units.

SEC source: 0001062993-22-004787 · form4.xml · nonDerivative · entry 1

Beberman Perry S · CIK 0001869941 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,834

F1 · kind: The new grant is for 8,826 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,912 units on 2/15/23, on 2,913 units on 2/15/24 and on 3,001 units on 2/18/25, subject to continued employment by the Reporting Person on the vesting dates.

F1 · price: The new grant is for 8,826 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 2,912 units on 2/15/23, on 2,913 units on 2/15/24 and on 3,001 units on 2/18/25, subject to continued employment by the Reporting Person on the vesting dates.

SEC source: 0001062993-22-004786 · form4.xml · nonDerivative · entry 2

Andretta Ralph J · CIK 0001801850 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,389

F2 · kind: The new grant is for 40,105 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 2/18/25 contingent on meeting predetermined performance measures and subject to continued employment by the Reporting Person on the vesting date.

F2 · price: The new grant is for 40,105 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 2/18/25 contingent on meeting predetermined performance measures and subject to continued employment by the Reporting Person on the vesting date.

SEC source: 0001062993-22-004786 · form4.xml · nonDerivative · entry 1

Andretta Ralph J · CIK 0001801850 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,284

F1 · kind: The new grant is for 26,737 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 8,823 units on each of 2/15/23 and 2/15/24 and on 9,091 units on 2/18/25, subject to continued employment by the Reporting Person on the vesting dates.

F1 · price: The new grant is for 26,737 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 8,823 units on each of 2/15/23 and 2/15/24 and on 9,091 units on 2/18/25, subject to continued employment by the Reporting Person on the vesting dates.

SEC source: 0001062993-21-013155 · form4.xml · nonDerivative · entry 1

Tucker Laurie Anne · CIK 0001391264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,907

F1 · kind: The new grant is for 227 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 12/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than December 15, 2022.

F1 · price: The new grant is for 227 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 12/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than December 15, 2022.

F2 · balance_after: In connection with the spin-off of Loyalty Ventures Inc. by the Issuer, outstanding unvested restricted stock units ("RSUs"), including RSUs previously granted to the Reporting Person, were subject to anti-dilution adjustments ("Anti-Dilution Adjustment"). To the extent that the outstanding RSUs granted to the Reporting Person were previously reported under Table I, the total number of shares reported include the additional RSUs held by the Reporting Person as a result of the Anti-Dilution Adjustment. The outstanding RSUs will continue to vest pursuant to the original vesting schedule for each grant.

F3 · balance_after: The total amount of securities beneficially owned includes: (a) 4,000 unrestricted shares; (b) 486 unvested restricted stock units granted 6/29/15; (c) 1,179 unvested restricted stock units granted 6/27/16; (d) 1,085 unvested restricted stock units granted 6/26/17; (e) 1,341 unvested restricted stock units granted 6/25/18; (f) 1,645 unvested restricted stock units granted 6/24/19; (g) 5,007 unvested restricted stock units granted 6/22/20; (h) 1,731 unvested restricted stock units granted 6/15/21; (i) 206 unvested restricted stock units granted 9/15/21; and (j) the new grant for 227 restricted stock units.

SEC source: 0001062993-21-013154 · form4.xml · nonDerivative · entry 1

Natarajan Rajesh · CIK 0001812674 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,947

F1 · kind: The new grant is for 373 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 12/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than December 15, 2022.

F1 · price: The new grant is for 373 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 12/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than December 15, 2022.

F2 · balance_after: In connection with the spin-off of Loyalty Ventures Inc. by the Issuer, outstanding unvested restricted stock units ("RSUs"), including RSUs previously granted to the Reporting Person, were subject to anti-dilution adjustments ("Anti-Dilution Adjustment"). To the extent that the outstanding RSUs granted to the Reporting Person were previously reported under Table I, the total number of shares reported include the additional RSUs held by the Reporting Person as a result of the Anti-Dilution Adjustment. The outstanding RSUs will continue to vest pursuant to the original vesting schedule for each grant.

F3 · balance_after: The total amount of securities beneficially owned includes: (a) 3,432 unvested restricted stock units granted 6/22/20; (b) 1,803 unvested restricted stock units granted 6/15/21; (c) 339 unvested restricted stock units granted 9/15/21; and (d) the new grant for 373 restricted stock units.

SEC source: 0001062993-21-013153 · form4.xml · nonDerivative · entry 1

Gerspach John C · CIK 0001321140 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,127

F1 · kind: The new grant is for 474 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 12/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than December 15, 2022.

F1 · price: The new grant is for 474 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 12/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than December 15, 2022.

F2 · balance_after: In connection with the spin-off of Loyalty Ventures Inc. by the Issuer, outstanding unvested restricted stock units ("RSUs"), including RSUs previously granted to the Reporting Person, were subject to anti-dilution adjustments ("Anti-Dilution Adjustment"). To the extent that the outstanding RSUs granted to the Reporting Person were previously reported under Table I, the total number of shares reported include the additional RSUs held by the Reporting Person as a result of the Anti-Dilution Adjustment. The outstanding RSUs will continue to vest pursuant to the original vesting schedule for each grant.

F3 · balance_after: The total amount of securities beneficially owned includes: (a) 5,000 unrestricted shares; (b) 5,981 unvested restricted stock units granted 6/22/20; (c) 2,241 unvested restricted stock units granted 6/15/21; (d) 431 unvested restricted stock units granted 9/15/21; and (e) the new grant for 474 restricted stock units.

SEC source: 0001062993-21-009870 · form4.xml · nonDerivative · entry 1

Santillan Laura · CIK 0001485473 · SVP, Chief Acctg. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,249

F1 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

F2 · kind: In connection with the planned spinoff of Loyalty Ventures Inc. from Alliance Data Systems Corporation, expected to be completed after market close on November 5, 2021, Ms. Santillan will be joining the executive team of Loyalty Ventures Inc. Certain of Ms. Santillan's outstanding equity awards have been accelerated effective October 22, 2021 and the remainder will be forfeited and replaced in equivalent value by Loyalty Ventures Inc. at a future date, consistent with the terms of the Employee Matters Agreement described in, and filed on, Form 10-12B/A by Loyalty Ventures Inc.

F3 · balance_after: The total number of securities beneficially owned includes: (a) 22,193 unrestricted shares; (b) 400 shares held in an IRA account; (c) 9,785 unvested time-based restricted stock units granted 2/16/21; and (d) 5,871 unvested performance-based restricted stock units granted 2/16/21.

SEC source: 0001062993-21-009869 · form4.xml · nonDerivative · entry 1

Chesnut John Jeffrey · CIK 0001804171 · SVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,140.678

F1 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

F2 · kind: In connection with the planned spinoff of Loyalty Ventures Inc. from Alliance Data Systems Corporation, expected to be completed after market close on November 5, 2021, Mr. Chesnut will be joining the executive team of Loyalty Ventures Inc. Certain of Mr. Chesnut's outstanding equity awards have been accelerated effective October 22, 2021 and the remainder will be forfeited and replaced in equivalent value by Loyalty Ventures Inc. at a future date, consistent with the terms of the Employee Matters Agreement described in, and filed on, Form 10-12B/A by Loyalty Ventures Inc.

F3 · balance_after: The total number of securities beneficially owned includes: (a) 4,564.678 unrestricted shares; (b) 9,110 unvested time-based restricted stock units granted 2/16/21; and (c) 5,466 unvested performance-based restricted stock units granted 2/16/21.

SEC source: 0001062993-21-008730 · form4.xml · nonDerivative · entry 1

Tucker Laurie Anne · CIK 0001391264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,920

F1 · kind: The new grant is for 177 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 9/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than September 15, 2022.

F1 · price: The new grant is for 177 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 9/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than September 15, 2022.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 4,000 unrestricted shares; (b) 418 unvested restricted stock units granted 6/29/15; (c) 1,015 unvested restricted stock units granted 6/27/16; (d) 934 unvested restricted stock units granted 6/26/17; (e) 1,155 unvested restricted stock units granted 6/25/18; (f) 1,417 unvested restricted stock units granted 6/24/19; (g) 4,313 unvested restricted stock units granted 6/22/20; (h) 1,491 unvested restricted stock units granted 6/15/21; and (i) the new grant for 177 restricted stock units.

SEC source: 0001062993-21-008729 · form4.xml · nonDerivative · entry 1

Natarajan Rajesh · CIK 0001812674 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,801

F1 · kind: The new grant is for 292 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 9/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than September 15, 2022.

F1 · price: The new grant is for 292 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 9/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than September 15, 2022.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 2,956 unvested restricted stock units granted 6/22/20; (b) 1,553 unvested restricted stock units granted 6/15/21; and (c) the new grant for 292 restricted stock units.

SEC source: 0001062993-21-008728 · form4.xml · nonDerivative · entry 1

Gerspach John C · CIK 0001321140 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,453

F1 · kind: The new grant is for 371 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 9/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than September 15, 2022.

F1 · price: The new grant is for 371 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 9/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than September 15, 2022.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 5,000 unrestricted shares; (b) 5,152 unvested restricted stock units granted 6/22/20; (c) 1,930 unvested restricted stock units granted 6/15/21; and (d) the new grant for 371 restricted stock units.

SEC source: 0001062993-21-006588 · form4.xml · nonDerivative · entry 1

Greer Valerie E · CIK 0001843064 · EVP, Chief Comm'l Off'r, Card

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,358

F1 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

F2 · balance_after: The total number of securities beneficially owned includes: (a) 4,004 unrestricted shares; (b) 13,599 unvested units from an award of 20,296 time-based restricted stock units granted 7/15/20; (c) 14,847 unvested time-based restricted stock units granted 2/16/21; and (d) 8,908 unvested performance-based restricted stock units granted 2/16/21.

SEC source: 0001062993-21-006587 · form4.xml · nonDerivative · entry 2

Beberman Perry S · CIK 0001869941 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,929

F2 · kind: The new grant is for 3,121 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 7/15/24 contingent on meeting predetermined performance measures and subject to continued employment by the Reporting Person on the vesting date.

F2 · price: The new grant is for 3,121 shares of common stock represented by performance-based restricted stock units, which may be adjusted up or down at the time the performance restriction lapses. The restriction may lapse with respect to 100% of such shares on 7/15/24 contingent on meeting predetermined performance measures and subject to continued employment by the Reporting Person on the vesting date.

F3 · balance_after: The total number of securities beneficially owned includes: (a) the new grant for 9,808 time-based restricted stock units; and (b) the new grant for 3,121 performance-based restricted stock units.

SEC source: 0001062993-21-006587 · form4.xml · nonDerivative · entry 1

Beberman Perry S · CIK 0001869941 · EVP, Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,808

F1 · kind: The new grant is for 9,808 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 3,236 units on 7/15/22 , on 3,237 units on 7/17/23 and on 3,335 units on 7/15/24, subject to continued employment by the Reporting Person on the vesting dates.

F1 · price: The new grant is for 9,808 shares of common stock represented by time-based restricted stock units. The restrictions will lapse on 3,236 units on 7/15/22 , on 3,237 units on 7/17/23 and on 3,335 units on 7/15/24, subject to continued employment by the Reporting Person on the vesting dates.

SEC source: 0001062993-21-005764 · form4.xml · nonDerivative · entry 1

TURNEY SHAREN J · CIK 0001363500 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,853

F1 · kind: The new grant is for 1,213 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F1 · price: The new grant is for 1,213 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 1,725 unrestricted shares; (b) 959 unvested restricted stock units granted 6/24/19; (c) 2,956 unvested restricted stock units granted 6/22/20; and (d) the new grant for 1,213 restricted stock units.

SEC source: 0001062993-21-005763 · form4.xml · nonDerivative · entry 1

Tucker Laurie Anne · CIK 0001391264 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,743

F1 · kind: The new grant is for 1,491 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F1 · price: The new grant is for 1,491 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 4,000 unrestricted shares; (b) 418 unvested restricted stock units granted 6/29/15; (c) 1,015 unvested restricted stock units granted 6/27/16; (d) 934 unvested restricted stock units granted 6/26/17; (e) 1,155 unvested restricted stock units granted 6/25/18; (f) 1,417 unvested restricted stock units granted 6/24/19; (g) 4,313 unvested restricted stock units granted 6/22/20; and (h) the new grant for 1,491 restricted stock units.

SEC source: 0001062993-21-005762 · form4.xml · nonDerivative · entry 1

THERIAULT TIMOTHY J · CIK 0001190305 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,294

F1 · kind: The new grant is for 1,213 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F1 · price: The new grant is for 1,213 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 1,500 unrestricted shares; (b) 447 unvested restricted stock units granted 10/17/16; (c) 564 unvested restricted stock units granted 6/26/17; (d) 655 unvested restricted stock units granted 6/25/18; (e) 959 unvested restricted stock units granted 6/24/19; (f) 2,956 unvested restricted stock units granted 6/22/20; and (g) the new grant for 1,213 restricted stock units.

SEC source: 0001062993-21-005761 · form4.xml · nonDerivative · entry 1

Natarajan Rajesh · CIK 0001812674 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,509

F1 · kind: The new grant is for 1,553 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F1 · price: The new grant is for 1,553 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 2,956 unvested restricted stock units granted 6/22/20; and (b) the new grant for 1,553 restricted stock units.

SEC source: 0001062993-21-005760 · form4.xml · nonDerivative · entry 1

Kimbrough Karin · CIK 0001771242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,213

F1 · kind: The new grant is for 1,213 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F1 · price: The new grant is for 1,213 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

SEC source: 0001062993-21-005759 · form4.xml · nonDerivative · entry 1

Gerspach John C · CIK 0001321140 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,082

F1 · kind: The new grant is for 1,930 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F1 · price: The new grant is for 1,930 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 5,000 unrestricted shares; (b) 5,152 unvested restricted stock units granted 6/22/20; and (c) the new grant for 1,930 restricted stock units.

SEC source: 0001062993-21-005758 · form4.xml · nonDerivative · entry 1

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,712

F1 · kind: The new grant is for 1,213 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F1 · price: The new grant is for 1,213 shares of common stock represented by restricted stock units. The restrictions on 100% of the shares will lapse on the earlier of (i) 6/15/31 or (ii) termination of the director's service on the Company's board of directors, but in any case not earlier than June 15, 2022.

F2 · balance_after: The total amount of securities beneficially owned includes: (a) 8,888 unrestricted shares; (b) 1,915 unvested restricted stock units granted 6/30/11; (c) 1,374 unvested restricted stock units granted 6/29/12; (d) 679 unvested restricted stock units granted 7/1/13; (e) 489 unvested restricted stock units granted 7/1/14; (f) 418 unvested restricted stock units granted 6/29/15; (g) 602 unvested restricted stock units granted 6/27/16; (h) 564 unvested restricted stock units granted 6/26/17; (i) 655 unvested restricted stock units granted 6/25/18; (j) 959 unvested restricted stock units granted 6/24/19; (k) 2,956 unvested restricted stock units granted 6/22/20; and (l) the new grant for 1,213 restricted stock units.

SEC source: 0001062993-21-005029 · form4.xml · nonDerivative · entry 1

BALLOU ROGER H · CIK 0001158369 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,499

F1 · kind: On May 24, 2021, the Reporting Person withdrew 3,178 shares of ADS common stock from the Roger H. Ballou 2020 Grantor Retained Annuity Trust. In exchange for the shares, the Reporting Person contributed cash in the amount of $374,733.87 to the trust. The withdrawal of shares from the trust resulted in a decrease in the number of shares the Reporting Person beneficially owns indirectly through the trust and a corresponding increase in the number of shares the Reporting Person beneficially owns directly. The Reporting Person believes that his withdrawal of shares from the trust constitutes a change in form of beneficial ownership of the shares, exempted by Rule 16a-13 under the Securities Exchange Act of 1934.

F3 · balance_after: The total amount of securities beneficially owned includes: (a) 8,888 unrestricted shares; (b) 1,915 unvested restricted stock units granted 6/30/11; (c) 1,374 unvested restricted stock units granted 6/29/12; (d) 679 unvested restricted stock units granted 7/1/13; (e) 489 unvested restricted stock units granted 7/1/14; (f) 418 unvested restricted stock units granted 6/29/15; (g) 602 unvested restricted stock units granted 6/27/16; (h) 564 unvested restricted stock units granted 6/26/17; (i) 655 unvested restricted stock units granted 6/25/18; (j) 959 unvested restricted stock units granted 6/24/19; and (k) 2,956 unvested restricted stock units granted 6/22/20.

SEC source: 0001062993-21-004253 · form4.xml · nonDerivative · entry 1

Santillan Laura · CIK 0001485473 · SVP, Chief Acctg. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,524

F1 · kind: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 17, 2021.

F2 · balance_after: The total number of securities beneficially owned includes: (a) 21,345 unrestricted shares; (b) 400 shares held in an IRA account; (c) 260 unvested units from an award of 762 time-based restricted stock units granted 2/15/19; (d) 863 unvested units from an award of 1,288 time-based restricted stock units granted 2/18/20; (e) 9,785 unvested time-based restricted stock units granted 2/16/21; and (f) 5,871 unvested performance-based restricted stock units granted 2/16/21.

SEC source: 0001062993-21-002160 · form4.xml · nonDerivative · entry 1

Santillan Laura · CIK 0001485473 · SVP, Chief Acctg. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,686

F1 · kind: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 17, 2021.

F2 · balance_after: The total number of securities beneficially owned includes: (a) 22,507 unrestricted shares; (b) 400 shares held in an IRA account; (c) 260 unvested units from an award of 762 time-based restricted stock units granted 2/15/19; (d) 863 unvested units from an award of 1,288 time-based restricted stock units granted 2/18/20; (e) 9,785 unvested time-based restricted stock units granted 2/16/21; and (f) 5,871 unvested performance-based restricted stock units granted 2/16/21.

SEC source: 0001062993-21-002159 · form4.xml · nonDerivative · entry 1

Chesnut John Jeffrey · CIK 0001804171 · SVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,417.678

F1 · kind: The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 22, 2020.

F2 · balance_after: The total number of securities beneficially owned includes: (a) 3,709.678 unrestricted shares; (b) 86 unvested units from an award of 251 time-based restricted stock units granted 12/17/18; (c) 244 unvested units from an award of 716 time-based restricted stock units granted 2/15/19; (d) 802 unvested units from an award of 1,196 time-based restricted stock units granted 2/18/20; (e) 9,110 unvested time-based restricted stock units granted 2/16/21; and (f) 5,466 unvested performance-based restricted stock units granted 2/16/21.

SEC source: 0001062993-21-001840 · form4.xml · nonDerivative · entry 1

Santillan Laura · CIK 0001485473 · SVP, Chief Acctg. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,389

F1 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

F2 · balance_after: The total number of securities beneficially owned includes: (a) 24,210 unrestricted shares; (b) 400 shares held in an IRA account; (c) 260 unvested units from an award of 762 time-based restricted stock units granted 2/15/19; (d) 863 unvested units from an award of 1,288 time-based restricted stock units granted 2/18/20; (e) 9,785 unvested time-based restricted stock units granted 2/16/21; and (f) 5,871 unvested performance-based restricted stock units granted 2/16/21.

SEC source: 0001062993-21-001839 · form4.xml · nonDerivative · entry 1

Motes Joseph L III · CIK 0001648042 · EVP, CAO, Gen Counsel & Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,643

F1 · kind: Shares withheld by the Company to satisfy the Reporting Person's tax withholding obligation upon the vesting of restricted stock units.

F2 · balance_after: The total number of securities beneficially owned includes: (a) 5,604 unrestricted shares; (b) 248 unvested units from an award of 728 time-based restricted stock units granted 2/15/19; (c) 1,233 unvested units from an award of 1,839 time-based restricted stock units granted 2/18/20; (d) 4,138 unvested performance-based restricted stock units granted 2/18/20; (e) 616 unvested units from an award of 919 performance-based restricted stock units granted 2/18/20; (f) 18,896 unvested time-based restricted stock units granted 2/16/21; and (g) 8,908 unvested performance-based restricted stock units granted 2/16/21.

F3 · balance_after: Based on meeting strategic and operational objectives performance metrics for 2020, 100% of the original award of 919 performance-based restricted stock units granted 2/18/20 were earned. The restrictions will lapse with respect to 303 units on 2/18/22 and with respect to 313 units on 2/18/23, subject to continued employment by the Reporting Person on the remaining vesting dates.