CNP

SEC source: 0001209191-21-015450 · doc4.xml · nonDerivative · entry 1

Harkel-Rumford Lynne Louise · CIK 0001817095 · SVP and Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,469

F1 · shares: Vesting of performance shares awarded in 2018 under the Issuer's Long-term Incentive Plan.

SEC source: 0001209191-21-015448 · doc4.xml · nonDerivative · entry 2

Karuturi Monica · CIK 0001817841 · SVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,960

F2 · shares: Shares withheld for taxes upon vesting of time-based restricted stock units.

F3 · balance_after: Total includes (i) 1,243 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2022, (ii) 6,624 RSUs previously awarded under the Plan and vesting in February 2023, and (iii) 11,147 RSUs previously awarded under the Plan and vesting in February 2024. The above awards shall vest (a) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (b) in the event of her disability or death. However, for shares vesting in February 2024, any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

SEC source: 0001209191-21-015448 · doc4.xml · nonDerivative · entry 1

Karuturi Monica · CIK 0001817841 · SVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,406

F1 · shares: Vesting of performance shares awarded in 2018 under the Issuer's Long-term Incentive Plan.

SEC source: 0001209191-21-013421 · doc4.xml · nonDerivative · entry 1

Mercado Kenneth M · CIK 0001802390 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,703

F1 · shares: Shares withheld for taxes upon vesting of time-based restricted stock units.

F2 · balance_after: Total includes (i) 2,819 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2022, (ii) 7,151 RSUs previously awarded under the Plan and vesting in February 2023, and (iii) 11,439 RSUs previously awarded under the Plan and vesting in February 2024. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of his disability or death. Also, the above awards shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting. However, for shares vesting in February 2024, any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

SEC source: 0001209191-21-013430 · doc4.xml · nonDerivative · entry 1

Doyle Scott Edward · CIK 0001699158 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,817

F1 · shares: Shares withheld for taxes upon vesting of time-based restricted stock units.

F2 · balance_after: Total includes (i) time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2022, (ii) 9,648 RSUs previously awarded under the Plan and vesting in February 2023, and (iii) 11,439 RSUs previously awarded under the Plan and vesting in February 2024. The above awards shall vest (a) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (b) in the event of his disability or death. Also, the above awards shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting. However, for shares vesting in February 2024, any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

SEC source: 0001209191-21-013425 · doc4.xml · nonDerivative · entry 1

CARROLL MILTON · CIK 0001188744 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,364

F1 · shares: Shares withheld for taxes upon payment of time-based restricted stock units.

F2 · balance_after: Total includes (i) 23,742 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2022, (ii) 30,250 RSUs previously awarded under the Plan and vesting in February 2023, and (iii) 36,416 RSUs previously awarded under the Plan and vesting in February 2024. The above awards shall vest (a) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (b) in the event of his disability or death. Also, the above awards shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting. For all above awards, Reporting Person is treated as currently retirement eligible. However, for shares vesting in February 2024, any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

F3 · balance_after: Additionally, includes fully-vested RSUs previously awarded under the Plan, with 25,947 of the underlying shares paid in July 2021 and 25,947 paid in July 2022; provided, however, if the Reporting Person earlier separates from the Company such that he is neither an employee nor director, any remaining unpaid shares under the award will be payable upon his separation.

SEC source: 0001209191-21-013416 · doc4.xml · nonDerivative · entry 1

Colvin Kristie · CIK 0001618940 · SVP and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,156

F1 · shares: Shares withheld for taxes upon vesting of time-based restricted stock units.

F2 · balance_after: Total includes (i) 2,737 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2022, (ii) 4,980 RSUs previously awarded under the Plan and vesting in February 2023, and (iii) 4,472 RSUs previously awarded under the Plan and vesting in February 2024. The above awards shall vest (a) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date, (b) in the event of her disability or death, and (c) for certain of the shares otherwise vesting in February 2023, in the event of her involuntary termination without cause. Also, the above awards shall vest on a pro-rata basis in the event of her retirement unless she satisfies various conditions for full vesting. However, for shares vesting in February 2024, any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

F3 · balance_after: Additionally, includes (i) 6,863 RSUs previously awarded under the Plan and vesting in April 2023 and 5,449 RSUs previously awarded under the Plan and vesting in July 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the applicable vesting dates; (ii) in the event of her earlier disability or death; (iii) in the event of her involuntary termination without cause; or (iv) on a pro-rata basis upon her earlier retirement unless she satisfies various conditions for full vesting.

SEC source: 0001209191-21-013402 · doc4.xml · nonDerivative · entry 1

Harkel-Rumford Lynne Louise · CIK 0001817095 · SVP and Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,489

F1 · shares: Shares withheld for taxes upon vesting of time-based restricted stock units.

F2 · balance_after: Total includes (i) 1,297 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan")and vesting in February 2022, (ii) 4,202 RSUs previously awarded under the Plan and vesting in February 2023, and (iii) 6,904 RSUs previously awarded under the Plan and vesting in February 2024. The above awards shall vest (a) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (b) in the event of her disability or death. Also, the above awards shall vest on a pro-rata basis in the event of her retirement unless she satisfies various conditions for full vesting. However, for shares vesting in February 2024, any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

SEC source: 0001209191-21-013409 · doc4.xml · nonDerivative · entry 1

Ryan Jason Michael · CIK 0001772812 · SVP, Reg. Svcs. & Gov. Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,663

F1 · shares: Shares withheld for taxes upon vesting of time-based restricted stock units.

F2 · balance_after: Total includes (i) 3,845 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2022, (ii) 9,262 RSUs previously awarded under the Plan and vesting in February 2023, and (iii) 9,358 RSUs previously awarded under the Plan and vesting in February 2024. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of his disability or death. Also, the above awards shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting. However, for shares vesting in February 2024, any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

SEC source: 0001209191-21-013395 · doc4.xml · nonDerivative · entry 1

Karuturi Monica · CIK 0001817841 · SVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,522

F1 · shares: Shares withheld for taxes upon vesting of time-based restricted stock units.

F2 · balance_after: Total includes (i) 1,243 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2022, (ii) 6,624 RSUs previously awarded under the Plan and vesting in February 2023, and (iii) 11,147 RSUs previously awarded under the Plan and vesting in February 2024. The above awards shall vest (a) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (b) in the event of her disability or death. However, for shares vesting in February 2024, any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

SEC source: 0001209191-21-012854 · doc4.xml · nonDerivative · entry 1

Mercado Kenneth M · CIK 0001802390 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,532

F1 · shares: Time-based restricted stock units ("RSUs") awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting (i) in February 2024 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date, (ii) in the event of his earlier disability or death, or (iii) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting, provided, however, that any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

F2 · balance_after: Total includes (i) 2,794 RSUs previously awarded under the Plan and vesting in February 2021, (ii) 2,819 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 7,151 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of his disability or death. Also, the above awards shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-21-012859 · doc4.xml · nonDerivative · entry 1

LESAR DAVID J · CIK 0001198405 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,722

F1 · shares: Time-based restricted stock units ("RSUs") awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting (i) in February 2024 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date, (ii) in the event of his earlier disability or death, or (iii) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting, provided, however, that any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

F2 · balance_after: Total includes (i) 17,298 time-based RSUs previously awarded under the Plan and vesting in July 2021, (ii) 17,298 time-based RSUs previously awarded under the Plan and vesting in July 2022, and (iii) 17,298 time-based RSUs previously awarded under the Plan and vesting in July 2023. Reporting Person must continue to be an employee of Issuer from the grant date through the applicable vesting dates. Additionally, includes 109,289 time-based RSUs previously awarded under the Plan and vesting (a) in July 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date; (b) in the event of his earlier disability or death; or (c) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-21-012857 · doc4.xml · nonDerivative · entry 1

CARROLL MILTON · CIK 0001188744 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 242,331

F1 · shares: Time-based restricted stock units ("RSUs") awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting (i) in February 2024 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date, (ii) in the event of his earlier disability or death, or (iii) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting, provided, however, that any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

F2 · balance_after: Total includes (i) 23,906 RSUs previously awarded under the Plan and vesting in February 2021, (ii) 23,742 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 30,250 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (a) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (b) in the event of his disability or death. Also, the above awards shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting. For all above awards, Reporting Person is treated as currently retirement eligible.

F3 · balance_after: Additionally, includes fully-vested RSUs previously awarded under the Plan, with 25,947 of the underlying shares paid in July 2021 and 25,947 paid in July 2022; provided, however, if the Reporting Person earlier separates from the Company such that he is neither an employee nor director, any remaining unpaid shares under the award will be payable upon his separation.

SEC source: 0001209191-21-012858 · doc4.xml · nonDerivative · entry 1

Wells Jason P. · CIK 0001661849 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,416

F1 · shares: Time-based restricted stock units ("RSUs") awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting (i) in February 2024 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date, (ii) in the event of his earlier disability or death, or (iii) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting, provided, however, that any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

F2 · balance_after: Total includes (i) 26,288 time-based RSUs previously awarded under the Plan and vesting in September 2021 and (ii) 26,288 time-based RSUs previously awarded under the Plan and vesting in September 2022. Reporting Person must continue to be an employee of Issuer through the applicable vesting dates. Additionally, includes 25,631 time-based RSUs previously awarded under the Plan and vesting (a) in September 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date, (b) in the event of his earlier disability or death, or (c) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-21-012856 · doc4.xml · nonDerivative · entry 1

Doyle Scott Edward · CIK 0001699158 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,051

F1 · shares: Time-based restricted stock units ("RSUs") awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting (i) in February 2024 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date, (ii) in the event of his earlier disability or death, or (iii) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting, provided, however, that any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

F2 · balance_after: Total includes (i) 4,209 RSUs previously awarded under the Plan and vesting in February 2021, (ii) 6,488 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 9,648 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of his disability or death. Also, the above awards shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-21-012855 · doc4.xml · nonDerivative · entry 1

Knight Gregory E. · CIK 0001820706 · EVP Cust. Trans. & Bus. Svcs.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,311

F1 · shares: Time-based restricted stock units ("RSUs") awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting (i) in February 2024 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date, (ii) in the event of his earlier disability or death, or (iii) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting, provided, however, that any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

F2 · balance_after: Total includes (i) 4,843 RSUs previously awarded under the Plan and vesting in August 2021, (ii) 4,843 RSUs previously awarded under the Plan and vesting in August 2022 and (iii) 4,842 RSUs previously awarded under the Plan and vesting in August 2023. Reporting Person must continue to be an employee of Issuer from the grant date through the applicable vesting dates. Additionally, includes 11,274 time-based RSUs vesting (a) in August 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date; (b) in the event of his earlier disability or death; or (c) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-21-012852 · doc4.xml · nonDerivative · entry 1

Karuturi Monica · CIK 0001817841 · SVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,857

F1 · shares: Time-based restricted stock units ("RSUs") awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting (i) in February 2024 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date, (ii) in the event of her earlier disability or death, or (iii) on a pro-rata basis upon her earlier retirement unless she satisfies various conditions for full vesting, provided, however, that any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

F2 · balance_after: Total includes (i) 1,395 RSUs previously awarded under the Plan and vesting in February 2021, (ii) 1,243 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 6,624 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of her disability or death.

SEC source: 0001209191-21-012850 · doc4.xml · nonDerivative · entry 1

Harkel-Rumford Lynne Louise · CIK 0001817095 · SVP and Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,924

F1 · shares: Time-based restricted stock units ("RSUs") awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting (i) in February 2024 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date, (ii) in the event of her earlier disability or death, or (iii) on a pro-rata basis upon her earlier retirement unless she satisfies various conditions for full vesting, provided, however, that any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

F2 · balance_after: Total includes (i) 1,466 RSUs previously awarded under the Plan and vesting in February 2021, (ii) 1,297 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 4,202 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of her disability or death. Also, the above awards shall vest on a pro-rata basis in the event of her retirement unless she satisfies various conditions for full vesting.

SEC source: 0001209191-21-012848 · doc4.xml · nonDerivative · entry 1

Ryan Jason Michael · CIK 0001772812 · SVP, Reg. Svcs. & Gov. Affairs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,118

F1 · shares: Time-based restricted stock units ("RSUs") awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting (i) in February 2024 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date, (ii) in the event of his earlier disability or death, or (iii) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting, provided, however, that any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

F2 · balance_after: Total includes (i) 1,532 RSUs previously awarded under the Plan and vesting in February 2021, (ii) 3,845 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 9,262 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of his disability or death. Also, the above awards shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-21-012846 · doc4.xml · nonDerivative · entry 1

Colvin Kristie · CIK 0001618940 · SVP and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,018

F1 · shares: Time-based restricted stock units ("RSUs") awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting (i) in February 2024 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date, (ii) in the event of her earlier disability or death, or (iii) on a pro-rata basis upon her earlier retirement unless she satisfies various conditions for full vesting, provided, however, that any such vesting is conditioned upon positive operating income in the last full calendar year of the restricted period except in the case of death or disability.

F2 · balance_after: Total includes (i) 2,904 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021, (ii) 2,737 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 4,980 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date, (ii) in the event of her disability or death, and (iii) for certain of the shares otherwise vesting in February 2023, in the event of her involuntary termination without cause. Also, the above awards shall vest on a pro-rata basis in the event of her retirement unless she satisfies various conditions for full vesting.

F3 · balance_after: Additionally, includes (i) 6,863 RSUs previously awarded under the Plan and vesting in April 2023 and 5,449 RSUs previously awarded under the Plan and vesting in July 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the applicable vesting dates; (ii) in the event of her earlier disability or death; (iii) in the event of her involuntary termination without cause; or (iv) on a pro-rata basis upon her earlier retirement unless she satisfies various conditions for full vesting.

SEC source: 0001209191-20-052477 · doc4.xml · nonDerivative · entry 1

Wells Jason P. · CIK 0001661849 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,207

F1 · shares: Reflects the award of restricted stock units ("RSUs") under the Issuer's Long-Term Incentive Plan (the "Plan"). Includes (i) 26,288 time-based RSUs vesting on the first anniversary of the grant date and (ii) 26,288 time-based RSUs vesting on the second anniversary of the grant date. Reporting Person must continue to be an employee of Issuer from the grant date through the applicable vesting date. Additionally, includes 25,631 time-based RSUs vesting (a) in September 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date; (b) in the event of his earlier disability or death; or (c) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-20-047612 · doc4.xml · nonDerivative · entry 1

Knight Gregory E. · CIK 0001820706 · EVP Cust. Trans. & Bus. Svcs.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,417

F1 · shares: Reflects the award of restricted stock units ("RSUs") under the Issuer's Long-Term Incentive Plan (the "Plan"). Includes (i) 4,843 time-based RSUs vesting on the first anniversary of the grant date, (ii) 4,843 time-based RSUs vesting on the second anniversary of the grant date and (iii) 4,842 time-based RSUs vesting on the third anniversary of the grant date. Reporting Person must continue to be an employee of Issuer from the grant date through the applicable vesting date. Additionally, includes 11,274 time-based RSUs vesting (a) in August 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date; (b) in the event of his earlier disability or death; or (c) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-20-044093 · doc4.xml · nonDerivative · entry 1

Karuturi Monica · CIK 0001817841 · SVP and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,710

F1 · shares: Time-based restricted stock units ("RSUs") vesting (i) in February 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date or (ii) in the event of her earlier disability or death.

F2 · balance_after: Total includes (i) 1,395 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021, (ii) 1,243 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 1,911 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of her disability or death.

SEC source: 0001209191-20-044081 · doc4.xml · nonDerivative · entry 1

Harkel-Rumford Lynne Louise · CIK 0001817095 · SVP and Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,020

F1 · shares: Time-based restricted stock units ("RSUs") vesting (i) in February 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date; (ii) in the event of her earlier disability or death; or (iii) on a pro-rata basis upon her earlier retirement unless she satisfies various conditions for full vesting.

F2 · balance_after: Total includes (i) 1,466 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021, (ii) 1,297 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 1,597 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of her disability or death. Also, the above awards shall vest on a pro-rata basis in the event of her retirement unless she satisfies various conditions for full vesting.

SEC source: 0001209191-20-041320 · doc4.xml · nonDerivative · entry 2

CARROLL MILTON · CIK 0001188744 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,915

F2 · shares: Shares withheld for taxes upon payment of time-based restricted stock units.

F3 · balance_after: Total includes (i) 23,906 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021, (ii) 23,742 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 30,250 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (a) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (b) in the event of his disability or death. Also, the above awards shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting. For all above awards, Reporting Person is treated as currently retirement eligible.

SEC source: 0001209191-20-041320 · doc4.xml · nonDerivative · entry 1

CARROLL MILTON · CIK 0001188744 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,126

F1 · shares: Fully-vested restricted stock units, with 1/3 of the underlying shares paid upon grant, 1/3 paid in July 2021 and 1/3 paid in July 2022; provided, however, if the Reporting Person earlier separates from the Company such that he is neither an employee nor director, any remaining unpaid shares under the award will be payable upon his separation.

SEC source: 0001209191-20-041129 · doc4.xml · nonDerivative · entry 1

Cummings Earl M · CIK 0001816687 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,987

F1 · shares: Shares of common stock granted under the Issuer's Stock Plan for Outside Directors, as amended and restated.

SEC source: 0001209191-20-041278 · doc4.xml · nonDerivative · entry 1

LESAR DAVID J · CIK 0001198405 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,603

F1 · shares: Reflects the award of restricted stock units ("RSUs") under the Issuer's Long-Term Incentive Plan (the "Plan"). Includes (i) 17,298 time-based RSUs vesting on the first anniversary of the grant date, (ii) 17,298 time-based RSUs vesting on the second anniversary of the grant date and (iii) 17,298 time-based RSUs vesting on the third anniversary of the grant date. Reporting Person must continue to be an employee of Issuer from the grant date through the applicable vesting date. Additionally, includes 109,289 time-based RSUs vesting (a) in July 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date; (b) in the event of his earlier disability or death; or (c) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-20-041103 · doc4.xml · nonDerivative · entry 1

Colvin Kristie · CIK 0001618940 · Interim EVP and CFO and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,546

F1 · shares: Time-based restricted stock units vesting (i) in July 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date; (ii) in the event of her earlier disability or death; (iii) in the event of her involuntary termination without cause; or (iv) on a pro-rata basis upon her earlier retirement unless she satisfies various conditions for full vesting.

F2 · balance_after: Total includes (i) 2,904 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021, (ii) 2,737 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 4,980 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of her disability or death. Also, the above awards shall vest on a pro-rata basis in the event of her retirement unless she satisfies various conditions for full vesting.

F3 · balance_after: Total also includes 6,863 RSUs previously awarded under the Plan vesting (i) in April 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date; (ii) in the event of her earlier disability or death; (iii) in the event of her involuntary termination without cause; or (iv) on a pro-rata basis upon her earlier retirement unless she satisfies various conditions for full vesting.

SEC source: 0001209191-20-035013 · doc4.xml · nonDerivative · entry 1

Smitherman Barry T · CIK 0001698299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,310

F1 · shares: Shares of common stock granted under the Issuer's Stock Plan for Outside Directors, as amended and restated.

SEC source: 0001209191-20-035009 · doc4.xml · nonDerivative · entry 1

LESAR DAVID J · CIK 0001198405 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,420

F1 · shares: Shares of common stock granted under the Issuer's Stock Plan for Outside Directors, as amended and restated.

SEC source: 0001209191-20-034052 · doc4.xml · nonDerivative · entry 1

SOMERHALDER JOHN W II · CIK 0001145921 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,477

F1 · shares: Fully-vested restricted stock units, with 1/3 of the underlying shares paid in June 2021, 1/3 paid in June 2022 and 1/3 paid in June 2023; provided, however, if the Reporting Person earlier separates from the Company such that he is neither an employee nor director, any remaining unpaid shares under the award will be payable upon his separation.

F2 · balance_after: Total includes 57,725 fully-vested restricted stock units, with 1/3 of the underlying shares paid in March 2021, 1/3 paid in March 2022 and 1/3 paid in March 2023; provided, however, if the Reporting Person earlier separates from the Company such that he is neither an employee nor director, any remaining unpaid shares under the award will be payable upon his separation.

SEC source: 0001209191-20-028885 · doc4.xml · nonDerivative · entry 3

LESAR DAVID J · CIK 0001198405 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,110

SEC source: 0001209191-20-028885 · doc4.xml · nonDerivative · entry 2

LESAR DAVID J · CIK 0001198405 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,110

SEC source: 0001209191-20-028885 · doc4.xml · nonDerivative · entry 1

LESAR DAVID J · CIK 0001198405 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,110

SEC source: 0001209191-20-028876 · doc4.xml · nonDerivative · entry 2

Smitherman Barry T · CIK 0001698299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,000

SEC source: 0001209191-20-028876 · doc4.xml · nonDerivative · entry 1

Smitherman Barry T · CIK 0001698299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,300

SEC source: 0001209191-20-027215 · doc4.xml · nonDerivative · entry 1

Smith Phillip R · CIK 0001602281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,428

F1 · shares: Shares of common stock granted under the Issuer's Stock Plan for Outside Directors, as amended and restated.

SEC source: 0001209191-20-027210 · doc4.xml · nonDerivative · entry 1

RHENEY SUSAN · CIK 0001231489 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,928

F1 · shares: Shares of common stock granted under the Issuer's Stock Plan for Outside Directors, as amended and restated.

SEC source: 0001209191-20-027208 · doc4.xml · nonDerivative · entry 1

Pound Ted · CIK 0001304242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,294

F1 · shares: Shares of common stock granted under the Issuer's Stock Plan for Outside Directors, as amended and restated.

SEC source: 0001209191-20-027207 · doc4.xml · nonDerivative · entry 1

Nesbitt Martin H. · CIK 0001478041 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,096

F1 · shares: Shares of common stock granted under the Issuer's Stock Plan for Outside Directors, as amended and restated.

SEC source: 0001209191-20-027201 · doc4.xml · nonDerivative · entry 1

MCLEAN SCOTT J · CIK 0001186735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,928

F1 · shares: Shares of common stock granted under the Issuer's Stock Plan for Outside Directors, as amended and restated.

SEC source: 0001209191-20-027197 · doc4.xml · nonDerivative · entry 1

Biddle Leslie D. · CIK 0001700508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,096

F1 · shares: Shares of common stock granted under the Issuer's Stock Plan for Outside Directors, as amended and restated.

SEC source: 0001209191-20-025631 · doc4.xml · nonDerivative · entry 1

Liu Xia · CIK 0001644492 · Senior Advisor

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,835

F1 · shares: Shares withheld for taxes upon vesting of time-based restricted stock units ("RSUs").

F2 · balance_after: Total includes 12,500 time-based RSUs previously awarded under Issuer's Long-term Incentive Plan (the "Plan") and vesting on the second anniversary of the grant date. Reporting Person must continue to be an employee of Issuer from the grant date through the applicable vesting date. Additionally, includes (i)10,045 time-based RSUs previously awarded under the Plan and vesting in February 2022 and (ii) 15,834 time-based RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date; (b) in the event of her earlier disability or death; or (c) on a pro-rata basis upon her earlier retirement unless she satisfies various conditions for full vesting.

SEC source: 0001209191-20-023935 · doc4.xml · nonDerivative · entry 2

Colvin Kristie · CIK 0001618940 · Interim EVP and CFO and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,097

F2 · shares: Time-based restricted stock units vesting (i) in April 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date; (ii) in the event of her earlier disability or death; (iii) in the event of her involuntary termination without cause; or (iv) on a pro-rata basis upon her earlier retirement unless she satisfies various conditions for full vesting.

F3 · balance_after: Total includes (i) 2,904 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021, (ii) 2,737 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 3,396 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of her disability or death. Also, the above awards shall vest on a pro-rata basis in the event of her retirement unless she satisfies various conditions for full vesting.

SEC source: 0001209191-20-023935 · doc4.xml · nonDerivative · entry 1

Colvin Kristie · CIK 0001618940 · Interim EVP and CFO and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,234

F1 · shares: Time-based restricted stock units vesting (i) in February 2023 if the Reporting Person continues to be an employee of Issuer from the grant date through the vesting date; (ii) in the event of her earlier disability or death; (iii) in the event of her involuntary termination without cause; or (iv) on a pro-rata basis upon her earlier retirement unless she satisfies various conditions for full vesting.

SEC source: 0001209191-20-019671 · doc4.xml · nonDerivative · entry 1

SOMERHALDER JOHN W II · CIK 0001145921 · Director · Interim President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,300

F1 · shares: Fully-vested restricted stock units, with 1/3 of the underlying shares paid in March 2021, 1/3 paid in March 2022 and 1/3 paid in March 2023; provided, however, if the Reporting Person earlier separates from the Company such that he is neither an employee nor director, any remaining unpaid shares under the award will be payable upon his separation.

F2 · price: The price reported in Column 4 is based on the price as of March 4, 2020 in accordance with the terms of the Reporting Person's compensation arrangements.

SEC source: 0001209191-20-014630 · doc4.xml · nonDerivative · entry 2

Mercado Kenneth M · CIK 0001802390 · SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,093

F2 · shares: Shares withheld for taxes upon vesting of performance shares.

F3 · balance_after: Total includes (i) 2,794 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021, (ii) 2,819 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 7,151 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of his disability or death. Also, the above awards shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-20-014630 · doc4.xml · nonDerivative · entry 1

Mercado Kenneth M · CIK 0001802390 · SVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,101

F1 · shares: Vesting of performance shares awarded in 2017 under the Issuer's Long-term Incentive Plan.

SEC source: 0001209191-20-014625 · doc4.xml · nonDerivative · entry 2

CARROLL MILTON · CIK 0001188744 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,285

F2 · shares: Shares withheld for taxes upon vesting of performance shares.

F3 · balance_after: Total includes (i) 23,906 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021, (ii) 23,742 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 30,250 RSUs previously awarded under the Plan and vesting in February 2023. The above awards shall vest (i) if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and (ii) in the event of his disability or death. Also, the above awards shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting. For all above awards, Reporting Person is treated as currently retirement eligible.