CNP

SEC source: 0001209191-20-014625 · doc4.xml · nonDerivative · entry 1

CARROLL MILTON · CIK 0001188744 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 148,987

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

SEC source: 0001209191-20-014623 · doc4.xml · nonDerivative · entry 2

Colvin Kristie · CIK 0001618940 · SVP and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,650

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

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: 0001209191-20-014623 · doc4.xml · nonDerivative · entry 1

Colvin Kristie · CIK 0001618940 · SVP and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,635

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

SEC source: 0001209191-20-014619 · doc4.xml · nonDerivative · entry 2

Ryan Jason Michael · CIK 0001772812 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,760

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

F3 · balance_after: Total includes (i) 1,532 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (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: 0001209191-20-014619 · doc4.xml · nonDerivative · entry 1

Ryan Jason Michael · CIK 0001772812 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,399

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

SEC source: 0001209191-20-014615 · doc4.xml · nonDerivative · entry 2

ORTENSTONE SUSAN B · CIK 0001268627 · SVP and Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,154

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

F3 · balance_after: Total includes (i) 5,836 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021, (ii) 5,719 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 7,087 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: 0001209191-20-014615 · doc4.xml · nonDerivative · entry 1

ORTENSTONE SUSAN B · CIK 0001268627 · SVP and Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,051

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

SEC source: 0001209191-20-014609 · doc4.xml · nonDerivative · entry 2

Doyle Scott Edward · CIK 0001699158 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,612

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

F3 · balance_after: Total includes (i) 4,209 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (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: 0001209191-20-014609 · doc4.xml · nonDerivative · entry 1

Doyle Scott Edward · CIK 0001699158 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,840

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

SEC source: 0001209191-20-014611 · doc4.xml · nonDerivative · entry 2

Vortherms Joseph John · CIK 0001698758 · Senior VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,818

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

F3 · balance_after: Total includes (i) 3,519 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021, (ii) 5,383 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 6,356 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: 0001209191-20-014611 · doc4.xml · nonDerivative · entry 1

Vortherms Joseph John · CIK 0001698758 · Senior VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,758

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

SEC source: 0001209191-20-012634 · doc4.xml · nonDerivative · entry 1

CARROLL MILTON · CIK 0001188744 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,134

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

F2 · 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.

SEC source: 0001209191-20-012636 · doc4.xml · nonDerivative · entry 1

Bridge Tracy B · CIK 0001526616 · Exec VP - Div Pres

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,194

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

F2 · balance_after: Total includes (i) 10,303 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021 and (ii) 9,151 RSUs previously awarded under the Plan and vesting in February 2022. The awards to vest in 2021 and 2022 shall vest (i) if he 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 awards to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-20-012632 · doc4.xml · nonDerivative · entry 1

Vortherms Joseph John · CIK 0001698758 · Senior VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,003

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

F2 · balance_after: Total includes (i) 3,519 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021, (ii) 5,383 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 6,356 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: 0001209191-20-012629 · doc4.xml · nonDerivative · entry 1

Doyle Scott Edward · CIK 0001699158 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,334

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

F2 · balance_after: Total includes (i) 4,209 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (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: 0001209191-20-012625 · doc4.xml · nonDerivative · entry 1

Ryan Jason Michael · CIK 0001772812 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,229

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

F2 · balance_after: Total includes (i) 1,532 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (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: 0001209191-20-012623 · doc4.xml · nonDerivative · entry 1

ORTENSTONE SUSAN B · CIK 0001268627 · SVP and Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,242

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

F2 · balance_after: (i) 5,836 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2021, (ii) 5,719 RSUs previously awarded under the Plan and vesting in February 2022, and (iii) 7,087 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: 0001209191-20-012618 · doc4.xml · nonDerivative · entry 1

Colvin Kristie · CIK 0001618940 · SVP and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,781

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

F2 · balance_after: (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: 0001209191-20-011628 · doc4.xml · nonDerivative · entry 1

Vortherms Joseph John · CIK 0001698758 · Senior VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,756

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 his earlier disability or death; or (iii) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting.

F2 · balance_after: Total includes (i) 2,537 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 3,519 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 5,383 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-20-011624 · doc4.xml · nonDerivative · entry 1

Ryan Jason Michael · CIK 0001772812 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,664

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 his earlier disability or death; or (iii) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting.

F2 · balance_after: Total includes (i) 1,466 time-based RSUs previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 1,532 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 3,845 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-20-011622 · doc4.xml · nonDerivative · entry 1

ORTENSTONE SUSAN B · CIK 0001268627 · SVP and Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,685

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; 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) 5,276 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 5,836 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 5,719 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of her earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if she 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of her retirement unless she satisfies various conditions for full vesting.

SEC source: 0001209191-20-011611 · doc4.xml · nonDerivative · entry 1

Doyle Scott Edward · CIK 0001699158 · EVP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,335

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 his earlier disability or death; or (iii) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting.

F2 · balance_after: Total includes (i) 3,044 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 4,209 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 6,488 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-20-011617 · doc4.xml · nonDerivative · entry 1

Liu Xia · CIK 0001644492 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,879

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; or (iii) on a pro-rata basis upon her earlier retirement unless she satisfies various conditions for full vesting.

F2 · balance_after: Reflects the award of restricted stock units ("RSUs") under the Issuer's Long-Term Incentive Plan (the "Plan"). Includes (i) 12,500 time-based RSUs vesting on the first anniversary of the grant date and (ii) 12,500 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 10,045 time-based RSUs vesting (a) in February 2022 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: 0001209191-20-011607 · doc4.xml · nonDerivative · entry 1

Colvin Kristie · CIK 0001618940 · SVP and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,554

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; 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) 2,604 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 2,904 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 2,737 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of her earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if she 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of her retirement unless she satisfies various conditions for full vesting.

SEC source: 0001209191-20-011596 · doc4.xml · nonDerivative · entry 1

CARROLL MILTON · CIK 0001188744 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,771

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 his earlier disability or death; or (iii) on a pro-rata basis upon his earlier retirement unless he satisfies various conditions for full vesting.

F2 · balance_after: Total includes (i) 22,873 time-based restricted stock units ("RSUs") awarded under Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 23,906 RSUs awarded under Plan and vesting in February 2021 and (iii) 23,742 RSUs awarded under Plan and vesting in February 2022. The award to vest in 2020 shall vest if Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in event of his earlier retirement, disability or death. The awards to vest in 2021 and 2022 shall vest (i) if he continues to be an employee of Issuer from grant date through vesting date and (ii) in event of his disability or death. Also, the awards to vest in 2021 and 2022 shall vest on a pro-rata basis in event of his retirement unless he satisfies conditions for full vesting. For all above awards, Reporting Person is treated as currently retirement eligible.

SEC source: 0001209191-20-006997 · doc4.xml · nonDerivative · entry 1

Prochazka Scott M · CIK 0001526699 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 359,169

F1 · kind: The sale of shares reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The adoption of the trading plan was previously disclosed by the Issuer in its Current Report on Form 8-K filed with the Securities and Exchange Commission ("SEC") on March 5, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.46 to $26.75, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Total includes (i) 54,115 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 61,515 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 57,227 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-20-002024 · doc4.xml · nonDerivative · entry 1

Prochazka Scott M · CIK 0001526699 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 366,169

F1 · kind: The sale of shares reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The adoption of the trading plan was previously disclosed by the Issuer in its Current Report on Form 8-K filed with the Securities and Exchange Commission ("SEC") on March 5, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $26.69 to $27.33, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Total includes (i) 54,115 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 61,515 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 57,227 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-19-059072 · doc4.xml · nonDerivative · entry 1

Prochazka Scott M · CIK 0001526699 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 395,269

F1 · kind: The sale of shares reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The adoption of the trading plan was previously disclosed by the Issuer in its Current Report on Form 8-K filed with the Securities and Exchange Commission ("SEC") on March 5, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.40 to $24.68, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Total includes (i) 54,115 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 61,515 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 57,227 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-19-054862 · doc4.xml · nonDerivative · entry 1

Prochazka Scott M · CIK 0001526699 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 402,269

F1 · kind: The sale of shares reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The adoption of the trading plan was previously disclosed by the Issuer in its Current Report on Form 8-K filed with the Securities and Exchange Commission ("SEC") on March 5, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.98 to $29.12, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Total includes (i) 54,115 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 61,515 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 57,227 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-19-051646 · doc4.xml · nonDerivative · entry 1

Prochazka Scott M · CIK 0001526699 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 409,269

F1 · kind: The sale of shares reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The adoption of the trading plan was previously disclosed by the Issuer in its Current Report on Form 8-K filed with the Securities and Exchange Commission ("SEC") on March 5, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $29.88 to $30.29, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Total includes (i) 54,115 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 61,515 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 57,227 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-19-048576 · doc4.xml · nonDerivative · entry 1

Prochazka Scott M · CIK 0001526699 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 416,269

F1 · kind: The sale of shares reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The adoption of the trading plan was previously disclosed by the Issuer in its Current Report on Form 8-K filed with the Securities and Exchange Commission ("SEC") on March 5, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.63 to $28.14, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Total includes (i) 54,115 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 61,515 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 57,227 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-19-044559 · doc4.xml · nonDerivative · entry 1

Prochazka Scott M · CIK 0001526699 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 423,269

F1 · kind: The sale of shares reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The adoption of the trading plan was previously disclosed by the Issuer in its Current Report on Form 8-K filed with the Securities and Exchange Commission ("SEC") on March 5, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.90 to $29.15, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Total includes (i) 54,115 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 61,515 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 57,227 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-19-041135 · doc4.xml · nonDerivative · entry 1

Prochazka Scott M · CIK 0001526699 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 430,269

F1 · kind: The sale of shares reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The adoption of the trading plan was previously disclosed by the Issuer in its Current Report on Form 8-K filed with the Securities and Exchange Commission ("SEC") on March 5, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.29 to $28.60, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Total includes (i) 54,115 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 61,515 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 57,227 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-19-034750 · doc4.xml · nonDerivative · entry 1

Prochazka Scott M · CIK 0001526699 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 437,269

F1 · kind: The sale of shares reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The adoption of the trading plan was previously disclosed by the Issuer in its Current Report on Form 8-K filed with the Securities and Exchange Commission ("SEC") on March 5, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $28.31 to $28.57, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Total includes (i) 54,115 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 61,515 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 57,227 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-19-033870 · doc4.xml · nonDerivative · entry 1

Ryan Jason Michael · CIK 0001772812 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Indirect · By Savings Plan

Disclosed balance after: 3,183

F1 · ownership.nature: Equivalent shares held in CenterPoint Energy, Inc. Savings Plan.

SEC source: 0001209191-19-031768 · doc4.xml · nonDerivative · entry 2

CARROLL MILTON · CIK 0001188744 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,521

F1 · balance_after: Total includes (i) 22,873 time-based restricted stock units ("RSUs") awarded under Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 23,906 RSUs awarded under Plan and vesting in February 2021 and (iii) 23,742 RSUs awarded under Plan and vesting in February 2022. The award to vest in 2020 shall vest if Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in event of his earlier retirement, disability or death. The awards to vest in 2021 and 2022 shall vest (i) if he continues to be an employee of Issuer from grant date through vesting date and (ii) in event of his disability or death. Also, the awards to vest in 2021 and 2022 shall vest on a pro-rata basis in event of his retirement unless he satisfies conditions for full vesting. For all above awards, Reporting Person is treated as currently retirement eligible.

SEC source: 0001209191-19-031768 · doc4.xml · nonDerivative · entry 1

CARROLL MILTON · CIK 0001188744 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,301

SEC source: 0001209191-19-027549 · doc4.xml · nonDerivative · entry 1

MCLEAN SCOTT J · CIK 0001186735 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,815

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

SEC source: 0001209191-19-027425 · doc4.xml · nonDerivative · entry 1

Wareing Peter S · CIK 0001328399 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,815

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

SEC source: 0001209191-19-027417 · doc4.xml · nonDerivative · entry 1

SOMERHALDER JOHN W II · CIK 0001145921 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,575

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

SEC source: 0001209191-19-027414 · doc4.xml · nonDerivative · entry 1

Smith Phillip R · CIK 0001602281 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,315

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

SEC source: 0001209191-19-027410 · doc4.xml · nonDerivative · entry 1

RHENEY SUSAN · CIK 0001231489 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,815

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

SEC source: 0001209191-19-027404 · doc4.xml · nonDerivative · entry 1

Pound Ted · CIK 0001304242 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,181

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

SEC source: 0001209191-19-027400 · doc4.xml · nonDerivative · entry 1

Nesbitt Martin H. · CIK 0001478041 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,983

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

SEC source: 0001209191-19-027388 · doc4.xml · nonDerivative · entry 1

Biddle Leslie D. · CIK 0001700508 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,983

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

SEC source: 0001209191-19-027384 · doc4.xml · nonDerivative · entry 1

Prochazka Scott M · CIK 0001526699 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,269

F1 · kind: The sale of shares reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The adoption of the trading plan was previously disclosed by the Issuer in its Current Report on Form 8-K filed with the Securities and Exchange Commission ("SEC") on March 5, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.79 to $31.06, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Total includes (i) 54,115 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 61,515 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 57,227 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-19-026223 · doc4.xml · nonDerivative · entry 1

Ryan Jason Michael · CIK 0001772812 · SVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,402

F1 · shares: Time-based restricted stock units ("RSUs") vesting (i) in February 2022 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.

F2 · balance_after: Total includes (i) 1,466 time-based RSUs previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 1,532 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 2,163 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-19-025601 · doc4.xml · nonDerivative · entry 1

Liu Xia · CIK 0001644492 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,045

F1 · shares: Reflects the award of restricted stock units ("RSUs") under the Issuer's Long-Term Incentive Plan (the "Plan"). Includes (i) 12,500 time-based RSUs vesting on the first anniversary of the grant date and (ii) 12,500 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 10,045 time-based RSUs vesting (a) in February 2022 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: 0001209191-19-023826 · doc4.xml · nonDerivative · entry 1

Prochazka Scott M · CIK 0001526699 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 451,269

F1 · kind: The sale of shares reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. The adoption of the trading plan was previously disclosed by the Issuer in its Current Report on Form 8-K filed with the Securities and Exchange Commission ("SEC") on March 5, 2019.

F2 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.43 to $30.75, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F3 · balance_after: Total includes (i) 54,115 time-based restricted stock units ("RSUs") previously awarded under the Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 61,515 RSUs previously awarded under the Plan and vesting in February 2021, and (iii) 57,227 RSUs previously awarded under the Plan and vesting in February 2022. The award to vest in 2020 shall vest if the Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in the event of his earlier retirement, disability or death. The above awards to vest in 2021 and 2022 shall vest (i) if he 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 to vest in 2021 and 2022 shall vest on a pro-rata basis in the event of his retirement unless he satisfies various conditions for full vesting.

SEC source: 0001209191-19-017833 · doc4.xml · nonDerivative · entry 1

CARROLL MILTON · CIK 0001188744 · Director · Executive Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,301

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.02 to $30.03, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

F2 · balance_after: Total includes (i) 22,873 time-based restricted stock units ("RSUs") awarded under Issuer's Long-term Incentive Plan (the "Plan") and vesting in February 2020, (ii) 23,906 RSUs awarded under Plan and vesting in February 2021 and (iii) 23,742 RSUs awarded under Plan and vesting in February 2022. The award to vest in 2020 shall vest if Reporting Person continues to be an employee of Issuer from grant date through vesting date and on a pro-rata basis in event of his earlier retirement, disability or death. The awards to vest in 2021 and 2022 shall vest (i) if he continues to be an employee of Issuer from grant date through vesting date and (ii) in event of his disability or death. Also, the awards to vest in 2021 and 2022 shall vest on a pro-rata basis in event of his retirement unless he satisfies conditions for full vesting. For all above awards, Reporting Person is treated as currently retirement eligible.