CENX

SEC source: 0000949157-21-000004 · wf-form4_160988476116347.xml · nonDerivative · entry 3

Gary Jesse E · CIK 0001568817 · EVP, COO & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,546

F4 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-21-000004 · wf-form4_160988476116347.xml · nonDerivative · entry 2

Gary Jesse E · CIK 0001568817 · EVP, COO & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,605

F3 · shares: Represents shares of common stock acquired by the Reporting Person upon the vesting of performance share units granted in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d).

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-21-000004 · wf-form4_160988476116347.xml · nonDerivative · entry 1

Gary Jesse E · CIK 0001568817 · EVP, COO & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,297

F1 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of time vesting share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-21-000006 · wf-form4_160988508175750.xml · nonDerivative · entry 3

Conti Craig C · CIK 0001747814 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,214

F4 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-21-000006 · wf-form4_160988508175750.xml · nonDerivative · entry 2

Conti Craig C · CIK 0001747814 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,792

F3 · shares: Represents shares of common stock acquired by the Reporting Person upon the vesting of performance share units granted in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d).

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-21-000006 · wf-form4_160988508175750.xml · nonDerivative · entry 1

Conti Craig C · CIK 0001747814 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,658

F1 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of time vesting share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-21-000002 · wf-form4_160988397088547.xml · nonDerivative · entry 3

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,837

F4 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting units granted to the Reporting Person pursuant to Issuer's 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-21-000002 · wf-form4_160988397088547.xml · nonDerivative · entry 2

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 489,792

F3 · shares: Represents shares of common stock acquired by the Reporting Person upon the vesting of performance share units granted in connection with the Issuer's 2018-2020 Long-Term Incentive Plan under Rule 16b-3(d).

F2 · balance_after: Includes unvested time vesting units granted to the Reporting Person pursuant to Issuer's 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-21-000002 · wf-form4_160988397088547.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,823

F1 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of time vesting share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting units granted to the Reporting Person pursuant to Issuer's 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0001104659-21-000681 · tm211646d1_4.xml · derivative · entry 2

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,588.39

Underlying: Common Stock · 245,027 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0001104659-21-000681 · tm211646d1_4.xml · nonDerivative · entry 1

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,147,108

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

F1 · price: Represents shares of Common Stock acquired upon conversion of 2,450.27 shares of Series A Convertible Preferred Stock on December 31, 2020.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0001104659-20-140962 · tm2039686-1_4.xml · derivative · entry 1

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,729,302 shares

Expires not disclosed

F1 · derivative.exercise_price: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F2 · derivative.exercise_price: Upon expiration of the Swap, (i) Glencore International would have been obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $9.71927 per share volume weighted average price calculated during the initial averaging period for the Swap (which ended on September 15, 2010) to the volume weighted average price of the common stock during the final valuation period preceding the expiration of the term of the Swap, or (ii) Citi would have been obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F4 · derivative.exercise_price: On September 28, 2020 the parties terminated the Swap, and a net settlement amount of $679,865 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period between the termination date and December 29, 2020, and (ii) the original valuation amount equal to the per share initial reference price of $9.71927 multiplied by the 4,729,302 shares referenced by the Swap), became due from Glencore International to Citi.

F4 · date: On September 28, 2020 the parties terminated the Swap, and a net settlement amount of $679,865 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period between the termination date and December 29, 2020, and (ii) the original valuation amount equal to the per share initial reference price of $9.71927 multiplied by the 4,729,302 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · price: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F2 · price: Upon expiration of the Swap, (i) Glencore International would have been obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $9.71927 per share volume weighted average price calculated during the initial averaging period for the Swap (which ended on September 15, 2010) to the volume weighted average price of the common stock during the final valuation period preceding the expiration of the term of the Swap, or (ii) Citi would have been obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F3 · price: Under the terms of the Swap, generally, Glencore International was obligated to pay to Citi certain fees and commissions and Citi was obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the Subject Shares.

F4 · price: On September 28, 2020 the parties terminated the Swap, and a net settlement amount of $679,865 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period between the termination date and December 29, 2020, and (ii) the original valuation amount equal to the per share initial reference price of $9.71927 multiplied by the 4,729,302 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · derivative.exercise_date: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F2 · derivative.exercise_date: Upon expiration of the Swap, (i) Glencore International would have been obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $9.71927 per share volume weighted average price calculated during the initial averaging period for the Swap (which ended on September 15, 2010) to the volume weighted average price of the common stock during the final valuation period preceding the expiration of the term of the Swap, or (ii) Citi would have been obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F4 · derivative.exercise_date: On September 28, 2020 the parties terminated the Swap, and a net settlement amount of $679,865 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period between the termination date and December 29, 2020, and (ii) the original valuation amount equal to the per share initial reference price of $9.71927 multiplied by the 4,729,302 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · derivative.expiration_date: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F2 · derivative.expiration_date: Upon expiration of the Swap, (i) Glencore International would have been obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $9.71927 per share volume weighted average price calculated during the initial averaging period for the Swap (which ended on September 15, 2010) to the volume weighted average price of the common stock during the final valuation period preceding the expiration of the term of the Swap, or (ii) Citi would have been obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F4 · derivative.expiration_date: On September 28, 2020 the parties terminated the Swap, and a net settlement amount of $679,865 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period between the termination date and December 29, 2020, and (ii) the original valuation amount equal to the per share initial reference price of $9.71927 multiplied by the 4,729,302 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · derivative.underlying_shares: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F2 · derivative.underlying_shares: Upon expiration of the Swap, (i) Glencore International would have been obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $9.71927 per share volume weighted average price calculated during the initial averaging period for the Swap (which ended on September 15, 2010) to the volume weighted average price of the common stock during the final valuation period preceding the expiration of the term of the Swap, or (ii) Citi would have been obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F1 · balance_after: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F2 · balance_after: Upon expiration of the Swap, (i) Glencore International would have been obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the common stock from the $9.71927 per share volume weighted average price calculated during the initial averaging period for the Swap (which ended on September 15, 2010) to the volume weighted average price of the common stock during the final valuation period preceding the expiration of the term of the Swap, or (ii) Citi would have been obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F4 · balance_after: On September 28, 2020 the parties terminated the Swap, and a net settlement amount of $679,865 (equal to the difference between (i) a final valuation amount based on the volume weighted average price of the common stock during a final valuation period between the termination date and December 29, 2020, and (ii) the original valuation amount equal to the per share initial reference price of $9.71927 multiplied by the 4,729,302 shares referenced by the Swap), became due from Glencore International to Citi.

F1 · ownership.direct: Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, previously received economic exposure with respect to 4,729,302 shares of common stock pursuant to a cash-settled total return swap (the "Swap") entered into between Glencore International and Citigroup Global Markets Inc. (together with its successors in interest under the Swap, "Citi"), with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F5 · ownership.direct: The Swap was held directly by Glencore International, and may be deemed to have been beneficially owned indirectly by Glencore plc. The Swap did not give the reporting persons direct or indirect voting, investment or dispositive control over any securities of the issuer, and accordingly, the reporting persons disclaim any beneficial ownership in the shares of common stock referenced by the swaps.

SEC source: 0000949157-20-000155 · wf-form4_160832656538055.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 336,109

F1 · price: This transaction was executed in multiple trades at prices ranging from $11.22 to $11.34. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-20-000153 · wf-form4_160824138646646.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 346,109

F1 · price: This transaction was executed in multiple trades at prices ranging from $10.67 to $10.88. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-20-000149 · wf-form4_160772249209867.xml · nonDerivative · entry 1

Gary Jesse E · CIK 0001568817 · EVP, COO & GC

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 48,024

F1 · price: This transaction was executed in multiple trades at prices ranging from $11.60 to $11.81. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Represents shares transferred by the Reporting Person to a self-settled, revocable trust for estate planning purposes. The Reporting Person serves as the trustee of the trust.

SEC source: 0000949157-20-000147 · wf-form4_160772221090266.xml · nonDerivative · entry 2

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 361,109

F3 · price: This transaction was executed in multiple trades at prices ranging from $11.63 to $12.02. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000151 · wf-form4_160772322771486.xml · nonDerivative · entry 1

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,272

F1 · price: This transaction was executed in multiple trades at prices ranging from $11.73 to $11.965. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000147 · wf-form4_160772221090266.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 386,109

F1 · price: This transaction was executed in multiple trades at prices ranging from $11.53 to $11.76. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0001104659-20-110457 · tm2032132d1_4.xml · derivative · entry 1

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,729,302 shares

Expires 2020-12-29

F1 · derivative.exercise_price: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. (together with its successors in interest under the Swap Agreement, "Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F2 · derivative.exercise_price: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F3 · derivative.exercise_price: Upon expiration of the First Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,729,302 shares of common stock referenced by the First Swap (the "First Subject Shares") from the $9.719270 per share volume weighted average price calculated during the initial averaging period for the First Swap (which ended on September 15, 2010) to the volume weighted average price of the First Subject Shares during the final valuation period preceding the expiration of the term of the First Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F5 · derivative.exercise_price: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to pay to Citi certain fees and commissions and Citi will be obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the First Subject Shares.

F6 · derivative.exercise_price: The cash settled total return swaps under the Swap Agreement are held directly by Glencore International, and may be deemed to be beneficially owned indirectly by Glencore plc. The cash settled total return swaps do not give the reporting persons direct or indirect voting, investment or dispositive control over any securities of the issuer, and accordingly, the reporting persons disclaim any beneficial ownership in the shares of common stock referenced by the swaps.

F4 · date: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

F1 · kind: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. (together with its successors in interest under the Swap Agreement, "Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F2 · kind: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F3 · kind: Upon expiration of the First Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,729,302 shares of common stock referenced by the First Swap (the "First Subject Shares") from the $9.719270 per share volume weighted average price calculated during the initial averaging period for the First Swap (which ended on September 15, 2010) to the volume weighted average price of the First Subject Shares during the final valuation period preceding the expiration of the term of the First Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F4 · kind: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

F5 · kind: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to pay to Citi certain fees and commissions and Citi will be obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the First Subject Shares.

F4 · shares: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

F1 · price: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. (together with its successors in interest under the Swap Agreement, "Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F2 · price: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F3 · price: Upon expiration of the First Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,729,302 shares of common stock referenced by the First Swap (the "First Subject Shares") from the $9.719270 per share volume weighted average price calculated during the initial averaging period for the First Swap (which ended on September 15, 2010) to the volume weighted average price of the First Subject Shares during the final valuation period preceding the expiration of the term of the First Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F4 · price: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

F5 · price: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to pay to Citi certain fees and commissions and Citi will be obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the First Subject Shares.

F2 · derivative.exercise_date: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F4 · derivative.exercise_date: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

F2 · derivative.expiration_date: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F4 · derivative.expiration_date: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

F1 · derivative.underlying_shares: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. (together with its successors in interest under the Swap Agreement, "Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F2 · derivative.underlying_shares: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F3 · derivative.underlying_shares: Upon expiration of the First Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,729,302 shares of common stock referenced by the First Swap (the "First Subject Shares") from the $9.719270 per share volume weighted average price calculated during the initial averaging period for the First Swap (which ended on September 15, 2010) to the volume weighted average price of the First Subject Shares during the final valuation period preceding the expiration of the term of the First Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F5 · derivative.underlying_shares: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to pay to Citi certain fees and commissions and Citi will be obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the First Subject Shares.

F6 · derivative.underlying_shares: The cash settled total return swaps under the Swap Agreement are held directly by Glencore International, and may be deemed to be beneficially owned indirectly by Glencore plc. The cash settled total return swaps do not give the reporting persons direct or indirect voting, investment or dispositive control over any securities of the issuer, and accordingly, the reporting persons disclaim any beneficial ownership in the shares of common stock referenced by the swaps.

F1 · balance_after: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. (together with its successors in interest under the Swap Agreement, "Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F2 · balance_after: Pursuant to the Swap Agreement, on September 15, 2010, Glencore International received economic exposure pursuant to a Swap (the "First Swap") entered into between Glencore International and Citi with an initial expiration date of September 17, 2012 (subsequently extended to April 17, 2021).

F3 · balance_after: Upon expiration of the First Swap, (i) Glencore International will be obligated to make a cash payment to Citi with respect to any depreciation in the volume weighted average price of the 4,729,302 shares of common stock referenced by the First Swap (the "First Subject Shares") from the $9.719270 per share volume weighted average price calculated during the initial averaging period for the First Swap (which ended on September 15, 2010) to the volume weighted average price of the First Subject Shares during the final valuation period preceding the expiration of the term of the First Swap, or (ii) Citi will be obligated to make a cash payment to Glencore International with respect to any appreciation in such volume weighted average price based on the above period.

F4 · balance_after: On September 28, 2020 the parties terminated the September 15, 2010 swap. The final settlement payment is scheduled to be made on December 29, 2020, and will be based on a final reference price based on the volume weighted average price of the Common Stock during a final valuation period between the termination date and the settlement date.

F5 · balance_after: Under the terms of the Swap Agreement, generally, Glencore International will be obligated to pay to Citi certain fees and commissions and Citi will be obligated to pay to Glencore International an amount in cash equal to any dividends that would have been paid by the issuer on the First Subject Shares.

F1 · ownership.direct: On July 2, 2010, Glencore International AG ("Glencore International"), a direct wholly-owned subsidiary of Glencore plc, entered into a Master Terms and Conditions for Swap Transactions agreement (the "Swap Agreement") with Citigroup Global Markets Inc. (together with its successors in interest under the Swap Agreement, "Citi"), pursuant to which Glencore International and Citi may, from time to time, enter into cash-settled total return swaps (the "Swaps"). On September 14, 2017 Glencore International transferred all of its rights and obligations under the Swap Agreement and all agreements and transactions thereunder to Glencore Canada Corporation, an indirect wholly-owned subsidiary of Glencore plc ("Glencore Canada"), which rights and obligations were transferred back to Glencore International on April 17, 2018.

F6 · ownership.direct: The cash settled total return swaps under the Swap Agreement are held directly by Glencore International, and may be deemed to be beneficially owned indirectly by Glencore plc. The cash settled total return swaps do not give the reporting persons direct or indirect voting, investment or dispositive control over any securities of the issuer, and accordingly, the reporting persons disclaim any beneficial ownership in the shares of common stock referenced by the swaps.

SEC source: 0000949157-20-000126 · wf-form4_159847542918085.xml · nonDerivative · entry 1

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,272

F1 · price: This transaction was executed in multiple trades at prices ranging from $9.09 to $9.11. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000124 · wf-form4_159830141987776.xml · nonDerivative · entry 1

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 183,272

F1 · price: This transaction was executed in multiple trades at prices ranging from $9.35 to $9.38. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000119 · wf-form4_159743559111787.xml · nonDerivative · entry 1

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 193,272

F1 · price: This transaction was executed in multiple trades at prices ranging from $9.88 to $10.07. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000122 · wf-form4_159743774074940.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 399,548

F1 · price: This transaction was executed in multiple trades at prices ranging from $10.025 to $10.35. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000117 · wf-form4_159735136643151.xml · nonDerivative · entry 2

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 436,872

F3 · price: This transaction was executed in multiple trades at prices ranging from $10.13 to $10.35. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000117 · wf-form4_159735136643151.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 481,154

F1 · price: This transaction was executed in multiple trades at prices ranging from $10.19 to $10.41. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000115 · wf-form4_159735088603800.xml · nonDerivative · entry 1

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,991

F1 · price: This transaction was executed in multiple trades at prices ranging from $10.74 to $10.80. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000114 · wf-form4_159735073940871.xml · nonDerivative · entry 1

Harrison Michelle · CIK 0001365895 · Sr. VP Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,637

F1 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-20-000111 · wf-form4_159684450289875.xml · nonDerivative · entry 1

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,256

F1 · price: This transaction was executed in multiple trades at prices ranging from $10.06 to $10.12. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0001104659-20-080353 · tm2024033d1_4.xml · derivative · entry 2

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,038.66

Underlying: Common Stock · 10,243 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0001104659-20-080353 · tm2024033d1_4.xml · nonDerivative · entry 1

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,902,081

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

F1 · price: Represents shares of Common Stock acquired upon conversion of 102.43 shares of Series A Convertible Preferred Stock on June 30, 2020.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0000949157-20-000095 · wf-form4_159346938128301.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 516,154

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000093 · wf-form4_159320543717182.xml · nonDerivative · entry 2

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 531,154

F2 · price: This transaction was executed in multiple trades at prices ranging from $6.61 to $6.62. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000091 · wf-form4_159311917695323.xml · nonDerivative · entry 4

Gary Jesse E · CIK 0001568817 · EVP, COO & GC

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 57,774

F4 · price: This transaction was executed in multiple trades at prices ranging from $6.845 to $7.005. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · balance_after: Represents shares transferred by the Reporting Person to a self-settled, revocable trust for estate planning purposes. The Reporting Person serves as the trustee of the trust.

SEC source: 0000949157-20-000093 · wf-form4_159320543717182.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 571,154

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000089 · wf-form4_159303287782622.xml · nonDerivative · entry 2

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 621,154

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000091 · wf-form4_159311917695323.xml · nonDerivative · entry 3

Gary Jesse E · CIK 0001568817 · EVP, COO & GC

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 100,168

F3 · price: This transaction was executed in multiple trades at prices ranging from $7.245 to $7.28. The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F1 · balance_after: Represents shares transferred by the Reporting Person to a self-settled, revocable trust for estate planning purposes. The Reporting Person serves as the trustee of the trust.

SEC source: 0000949157-20-000089 · wf-form4_159303287782622.xml · nonDerivative · entry 1

BLESS MICHAEL A · CIK 0001204903 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 668,066

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000079 · wf-form4_159190760473898.xml · nonDerivative · entry 1

Berntzen Jarl · CIK 0001355035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,183

F1 · shares: Includes (i) 18,220 time-vesting share units granted to the reporting person on June 9, 2020 pursuant to a Rule 16b-3(d) plan representing the annual grant of time-vesting share units made to directors which vest on the one year anniversary of the grant date or earlier upon the occurrence of certain other events and (ii) 8,631 time-vesting share units granted to the reporting person on June 9, 2020 pursuant to a Rule 16b-3(d) plan representing the reporting person's annual retainer which will vest in four equal quarterly installments.

F2 · shares: Settlement of the 8,631 time-vesting share units granted to the reporting person on June 9, 2020 pursuant to a Rule 16b-3(d) plan representing the reporting person's annual retainer has been deferred until the termination of the reporting person's service as a director of the Company.

F3 · balance_after: Includes deferred time-vesting share units to the Reporting Person in connection with previous annual grants of time-vesting share units made to the Reporting Person pursuant to a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000077 · wf-form4_159190680582322.xml · nonDerivative · entry 2

Michelmore Andrew G · CIK 0001493775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,352

F2 · shares: Represents shares withheld by the Issuer in connection with the vesting of grant of time-vesting share units made to the Reporting Person pursuant to a Rule 16b-3(d) plan to satisfy tax obligations at a net settlement price equal to the closing price on Nasdaq on June 9, 2020, the vesting date.

SEC source: 0000949157-20-000077 · wf-form4_159190680582322.xml · nonDerivative · entry 1

Michelmore Andrew G · CIK 0001493775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,818

F1 · shares: Annual grant of time-vesting share units made to directors on June 9, 2020, pursuant to Rule 16b-3(d) plan, all of which vest immediately.

SEC source: 0000949157-20-000073 · wf-form4_159190602974088.xml · nonDerivative · entry 1

GLASSER ERROL · CIK 0001203889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,929

F1 · shares: Annual grant of time-vesting share units made to directors on June 9, 2020 pursuant to Rule 16b-3(d) plan, all of which vest immediately.

F2 · shares: Settlement of the time-vesting share units has been deferred until the termination of the reporting person's service as a director of the Company.

F3 · balance_after: Includes deferred time-vesting share units to the Reporting Person in connection with previous annual grants of time-vesting share units made to the Reporting Person pursuant to a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000075 · wf-form4_159190633108326.xml · nonDerivative · entry 1

Carroll Cynthia B · CIK 0001367862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,220

F1 · shares: Annual grant of time-vesting share units made to directors on June 9, 2020 pursuant to Rule 16b-3(d) plan, all of which vest on the one year anniversary of the grant date or earlier upon occurrence of certain other events.

SEC source: 0000949157-20-000091 · wf-form4_159311917695323.xml · nonDerivative · entry 2

Gary Jesse E · CIK 0001568817 · EVP, COO & GC

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 116,136

F1 · shares: Represents shares transferred by the Reporting Person to a self-settled, revocable trust for estate planning purposes. The Reporting Person serves as the trustee of the trust.

F1 · balance_after: Represents shares transferred by the Reporting Person to a self-settled, revocable trust for estate planning purposes. The Reporting Person serves as the trustee of the trust.

SEC source: 0000949157-20-000091 · wf-form4_159311917695323.xml · nonDerivative · entry 1

Gary Jesse E · CIK 0001568817 · EVP, COO & GC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,599

F1 · shares: Represents shares transferred by the Reporting Person to a self-settled, revocable trust for estate planning purposes. The Reporting Person serves as the trustee of the trust.

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0001104659-20-042277 · tm2014829d1_4.xml · derivative · entry 2

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,141.09

Underlying: Common Stock · 118,146 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.exercise_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F2 · derivative.expiration_date: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0001104659-20-042277 · tm2014829d1_4.xml · nonDerivative · entry 1

Glencore AG · CIK 0001449539 · 10% owner

GLENCORE INTERNATIONAL AG · CIK 0001032383 · 10% owner

Glencore plc · CIK 0001521365 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,891,838

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

F1 · price: Represents shares of Common Stock acquired upon conversion of 1,181.46 shares of Series A Convertible Preferred Stock on March 31, 2020.

F2 · price: Each share of Series A Convertible Preferred Stock is convertible into 100 shares of Common Stock at the times and under the circumstances described in the Certificate of Designation for the Series A Convertible Preferred Stock. The Series A Convertible Preferred Stock has no expiration date.

F3 · ownership.direct: The shares of Common Stock reported in Table I and the shares of Series A Convertible Preferred Stock reported in Table II are held directly by Glencore AG, a direct wholly-owned subsidiary of Glencore International AG, and indirectly by Glencore International AG and its parent, Glencore plc.

SEC source: 0000949157-20-000043 · wf-form4_158525332432162.xml · nonDerivative · entry 1

Indriani Elisabeth · CIK 0001751475 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,812

F1 · shares: Represents time vesting share units granted to the Reporting Person in connection with the Issuer's 2020-2022 long-term incentive plan under Rule 16b-3(d), all of which will vest in the ordinary course on the last day of the Plan Period, December 31, 2022.

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 long-term incentive plans under Rule 16b-3(d).

SEC source: 0000949157-20-000042 · wf-form4_158525322901554.xml · nonDerivative · entry 2

Harrison Michelle · CIK 0001365895 · Sr. VP Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,919

F3 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-20-000042 · wf-form4_158525322901554.xml · nonDerivative · entry 1

Harrison Michelle · CIK 0001365895 · Sr. VP Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,635

F1 · shares: Represents shares of common stock acquired by the Reporting Person upon the vesting of performance share units granted in connection with the Issuer's 2017-2019 Long-Term Incentive Plan under Rule 16b-3(d).

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-20-000041 · wf-form4_158525315435759.xml · nonDerivative · entry 2

Hoerner John E. · CIK 0001529248 · EVP - N. American Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,156

F3 · shares: Reports shares withheld by the Issuer to satisfy tax obligations in connection with the vesting of performance share units granted to the Reporting Person.

F2 · balance_after: Includes unvested time vesting share units granted to the Reporting Person pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d).