CENX

SEC source: 0000949157-20-000041 · wf-form4_158525315435759.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,968

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: 0000949157-20-000039 · wf-form4_158525300994887.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 712,780

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: 0000949157-20-000039 · wf-form4_158525300994887.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 783,612

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: 0000949157-20-000040 · wf-form4_158525307948432.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,996

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: 0000949157-20-000040 · wf-form4_158525307948432.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 213,008

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: 0000949157-20-000027 · wf-form4_158395883465834.xml · nonDerivative · entry 1

Michelmore Andrew G · CIK 0001493775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,598

SEC source: 0000949157-20-000015 · wf-form4_158206527268452.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 68,616

F1 · 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 performance 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: 0000949157-20-000008 · wf-form4_157808630539708.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,038

F3 · shares: Represents time vesting performance 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.

F4 · 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: 0000949157-20-000010 · wf-form4_157808638067277.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,481

F1 · shares: Represents time vesting performance 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 ordinarycourse on the last day of the Plan Period, December 31, 2022.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person (i) pursuant to Issuer's 2018-2020, 2019-2021 and 2020-2022 Long-Term Incentive Plans under Rule 16b-3(d) and (ii) 5,776 time vesting performance share units which vest in the ordinary course on February 15, 2020.

SEC source: 0000949157-20-000006 · wf-form4_157808610717657.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,806

F3 · shares: Represents time vesting performance 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 ordinarycourse on the last day of the Plan Period, December 31, 2022.

F4 · 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: 0000949157-20-000002 · wf-form4_157808588010810.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,088

F3 · shares: Represents time vesting performance 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.

F4 · 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: 0000949157-20-000004 · wf-form4_157808598808472.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 623,721

F3 · shares: Represents time vesting performance 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 ordinarycourse on the last day of the Plan Period, December 31, 2022.

F4 · 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: 0001104659-20-000590 · tm201158d1_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: 67,322.55

Underlying: Common Stock · 125,265 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: 0001104659-20-000590 · tm201158d1_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: 10,773,692

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 1,252.65 shares of Series A Convertible Preferred Stock on December 31, 2019.

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: 0000949157-20-000008 · wf-form4_157808630539708.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,355

F1 · 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 performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020 and 2019-2021 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-20-000006 · wf-form4_157808610717657.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,187

F1 · 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 performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020 and 2019-2021 Long-Term Incentive Plans under Rule 16b-3(d)

SEC source: 0000949157-20-000012 · wf-form4_157808649364961.xml · nonDerivative · entry 2

Indriani Elisabeth · CIK 0001751475 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,203

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.

F4 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan and includes 2,432 time-vesting performance share units granted to the reporting person under a Rule 16b-3(d) plan, which vest on December 31, 2020.

SEC source: 0000949157-20-000002 · wf-form4_157808588010810.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,031

F1 · 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 performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020 and 2019-2021 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-20-000004 · wf-form4_157808598808472.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 523,864

F1 · 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 performance share units granted to the Reporting Person pursuant to Issuer's 2018-2020 and 2019-2021 Long-Term Incentive Plans under Rule 16b-3(d).

SEC source: 0000949157-19-000142 · wf-form4_157774123373322.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 549,252

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000140 · wf-form4_157739503764183.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 574,252

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000138 · wf-form4_157713635574293.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 69,739

F1 · price: This transaction was executed in multiple trades at prices ranging from $7.81 to $7.83. 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: The Reporting Person is the trustee of the Trust, the entity that owns 69,739 shares of Common Stock.

SEC source: 0000949157-19-000125 · wf-form4_157359591535646.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 599,252

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000121 · wf-form4_157325058605998.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 92,432

F1 · price: This transaction was executed in multiple trades at prices ranging from $8.35 to $8.40. 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: The Reporting Person is the trustee of the Trust, the entity that owns 92,432 shares of Common Stock.

SEC source: 0001144204-19-033488 · tv524707_from4.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: 68,575.2

Underlying: Common Stock · 36,911 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: 0001144204-19-033488 · tv524707_from4.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: 10,648,427

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 369.11 shares of Series A Convertible Preferred Stock on June 30, 2019.

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: 0000949157-19-000089 · wf-form4_156106118912644.xml · nonDerivative · entry 1

Michelmore Andrew G · CIK 0001493775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,598

SEC source: 0000949157-19-000085 · wf-form4_155976673993666.xml · nonDerivative · entry 2

Michelmore Andrew G · CIK 0001493775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,598

F2 · shares: Represents shares withheld by the Issuer in connection with the vesting of grant of Performance Shares 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 4, 2019, the vesting date.

SEC source: 0000949157-19-000085 · wf-form4_155976673993666.xml · nonDerivative · entry 1

Michelmore Andrew G · CIK 0001493775 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,477

F1 · shares: Annual grant of service based performance shares units made to directors on June 4, 2019, pursuant to Rule 16b-3(d) plan, all of which vest immediately.

SEC source: 0000949157-19-000084 · wf-form4_155976665977789.xml · nonDerivative · entry 1

Berntzen Jarl · CIK 0001355035 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 135,332

F1 · shares: Includes (i) 12,929 performance shares granted to the reporting person on June 4, 2019 pursuant to a Rule 16b-3(d) plan representing the annual grant of service based performance shares 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) 6,124 performance shares granted to the reporting person on June 4, 2019 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 performance shares has been deferred until the termination of the reporting person's service as a director of the Company.

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

SEC source: 0000949157-19-000083 · wf-form4_155976660039260.xml · nonDerivative · entry 1

GLASSER ERROL · CIK 0001203889 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,709

F1 · shares: Annual grant of service based performance shares units made to directors on June 4, 2019, pursuant to Rule 16b-3(d) plan, all of which vest immediately.

F2 · shares: Settlement of the performance shares has been deferred until the termination of the reporting person's service as a director of the Company.

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

SEC source: 0000949157-19-000072 · wf-form4_155787092885227.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 109,077

F3 · shares: Represents time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2019-2021 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, 2021.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000072 · wf-form4_155787092885227.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,001

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 performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0001144204-19-017594 · tv517875_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: 68,944.31

Underlying: Common Stock · 302,255 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: 0001144204-19-017594 · tv517875_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: 10,611,516

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 3,022.55 shares of Series A Convertible Preferred Stock on March 31, 2019.

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: 0000949157-19-000072 · wf-form4_155787092885227.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 107,676

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: 0000949157-19-000072 · wf-form4_155787092885227.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 65,012

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: 0000949157-19-000072 · wf-form4_155787092885227.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,665

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 performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000044 · wf-form4_155355268640241.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,371

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 performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000044 · wf-form4_155355268640241.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,845

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 2016-2018 Long-Term Incentive Plan under Rule 16b-3(d).

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000043 · wf-form4_155355261465880.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,340

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 performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000043 · wf-form4_155355261465880.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,158

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 2016-2018 Long-Term Incentive Plan under Rule 16b-3(d).

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000042 · wf-form4_155355254753560.xml · nonDerivative · entry 4

Gary Jesse E · CIK 0001568817 · EVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,633

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 performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000042 · wf-form4_155355254753560.xml · nonDerivative · entry 3

Gary Jesse E · CIK 0001568817 · EVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,257

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 2016-2018 Long-Term Incentive Plan under Rule 16b-3(d).

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000041 · wf-form4_155355248430168.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 649,252

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.

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000041 · wf-form4_155355248430168.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 838,735

F2 · 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 2016-2018 Long-Term Incentive Plan under Rule 16b-3(d).

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-19-000041 · wf-form4_155355248430168.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 411,012

F1 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2017-2019, 2018-2020 and 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan.

SEC source: 0000949157-20-000012 · wf-form4_157808649364961.xml · nonDerivative · entry 1

Indriani Elisabeth · CIK 0001751475 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,239

F1 · shares: Represents time vesting performance share units granted to the Reporting Person in connection with the Issuer's 2019-2021 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, 2021.

F2 · balance_after: Includes unvested performance share units granted to the Reporting Person pursuant to Issuer's 2019-2021 Performance Share Programs under a Rule 16b-3(d) plan and includes 5,967 time-vesting performance share units granted to the reporting person under a Rule 16b-3(d) plan, 3,535 of which vest on December 31, 2019 and 2,432 of which vest on December 31, 2020.

SEC source: 0000949157-19-000022 · wf-form4_155061298314416.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,269

F1 · 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 performance share units granted to the Reporting Person (i) pursuant to Issuer's 2018-2020 and 2019-2021 Long-Term Incentive Plans under Rule 16b-3(d) and (ii) 5,776 time vesting performance share units which vest in the ordinary course on February 15, 2020.

SEC source: 0000949157-19-000042 · wf-form4_155355254753560.xml · nonDerivative · entry 2

Gary Jesse E · CIK 0001568817 · EVP, Gen. Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 49,044

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.