CSWC

SEC source: 0000017313-18-000041 · wf-form4_153496929235132.xml · nonDerivative · entry 1

BATTIST CHRISTINE · CIK 0001563284 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 794

SEC source: 0000017313-18-000039 · wf-form4_153453681762516.xml · derivative · entry 3

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 50,000 shares

Expires 2024-08-28

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

F2 · derivative.exercise_date: The options, representing a right to purchase a total of 85,982 shares, became exercisable in three annual installments beginning on December 29, 2015.

SEC source: 0000017313-18-000039 · wf-form4_153453681762516.xml · nonDerivative · entry 1

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,257

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

SEC source: 0001179110-18-008896 · edgar.xml · derivative · entry 7

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 2,661 shares

Expires 2024-08-28

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

F3 · derivative.exercise_date: The options, representing a right to purchase a total of 85,982 shares, became exercisable in three annual installments beginning on December 29, 2015.

SEC source: 0001179110-18-008896 · edgar.xml · derivative · entry 6

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,123

Underlying: Common Stock · 6,247 shares

Expires 2024-03-17

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

F2 · derivative.exercise_date: The options, representing a right to purchase a total of 15,616 shares, became exercisable in three equal annual installments beginning on March 17, 2015.

SEC source: 0001179110-18-008896 · edgar.xml · derivative · entry 5

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,852

Underlying: Common Stock · 5,705 shares

Expires 2024-03-17

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

F1 · derivative.exercise_date: The options, representing a right to purchase a total of 14,261 shares, became exercisable in three equal annual installments beginning on March 17, 2015.

SEC source: 0001179110-18-008896 · edgar.xml · nonDerivative · entry 3

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,257

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

SEC source: 0001179110-18-008896 · edgar.xml · nonDerivative · entry 2

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,596

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

SEC source: 0001179110-18-008896 · edgar.xml · nonDerivative · entry 1

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,349

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

SEC source: 0000017313-18-000027 · wf-form4a_153177488321597.xml · derivative · entry 7

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 2,661 shares

Expires 2024-08-28

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

F5 · derivative.exercise_date: The options, representing a right to purchase a total of 85,982 shares, became exercisable in three annual installments beginning on December 29, 2015.

SEC source: 0000017313-18-000027 · wf-form4a_153177488321597.xml · derivative · entry 6

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,123

Underlying: Common Stock · 6,247 shares

Expires 2024-03-17

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

F4 · derivative.exercise_date: The options, representing a right to purchase a total of 15,616 shares, became exercisable in three equal annual installments beginning on March 17, 2015.

SEC source: 0000017313-18-000027 · wf-form4a_153177488321597.xml · derivative · entry 5

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,852

Underlying: Common Stock · 5,705 shares

Expires 2024-03-17

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

F3 · derivative.exercise_date: The options, representing a right to purchase a total of 14,261 shares, became exercisable in three equal annual installments beginning on March 17, 2015.

SEC source: 0000017313-18-000027 · wf-form4a_153177488321597.xml · nonDerivative · entry 3

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,257

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

SEC source: 0000017313-18-000027 · wf-form4a_153177488321597.xml · nonDerivative · entry 2

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,596

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

SEC source: 0000017313-18-000027 · wf-form4a_153177488321597.xml · nonDerivative · entry 1

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,349

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

SEC source: 0001179110-18-004836 · edgar.xml · nonDerivative · entry 1

WILSON JOHN H · CIK 0001182935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

SEC source: 0001179110-18-001887 · edgar.xml · nonDerivative · entry 1

Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,986

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.18 to $16.25, inclusive. The reporting person undertakes to provide to Capital Southwest Corporation, any security holder of Capital Southwest Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

SEC source: 0001179110-18-001885 · edgar.xml · nonDerivative · entry 2

Morgan Thomas Duane · CIK 0001391130 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Morgan Family Trust

Disclosed balance after: 14,937

SEC source: 0001179110-17-015941 · edgar.xml · nonDerivative · entry 1

Brooks David R · CIK 0001573461 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.605 to $16.70, inclusive. The reporting person undertakes to provide to Capital Southwest Corporation, any security holder of Capital Southwest Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

SEC source: 0001179110-17-014421 · edgar.xml · nonDerivative · entry 1

KELLEY DOUGLAS M. · CIK 0001631632 · Sr. VP, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,147

SEC source: 0001179110-17-014323 · edgar.xml · nonDerivative · entry 1

ASHBAUGH WILLIAM M · CIK 0001182922 · Sr. VP, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,068

F1 · shares: Represents a restricted stock award of 5,000 shares.

SEC source: 0001179110-17-014321 · edgar.xml · nonDerivative · entry 1

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,807

F1 · shares: Represents a restricted stock award of 46,800 shares.

SEC source: 0001179110-17-014319 · edgar.xml · nonDerivative · entry 1

KELLEY DOUGLAS M. · CIK 0001631632 · Sr. VP, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,767

F1 · shares: Represents a restricted stock award of 20,000 shares.

SEC source: 0001179110-17-014318 · edgar.xml · nonDerivative · entry 1

Sarner Michael Scott · CIK 0001648742 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,286

F1 · shares: Represents a restricted stock award of 39,000 shares.

SEC source: 0001179110-17-015829 · edgar.xml · nonDerivative · entry 2

KELLEY DOUGLAS M. · CIK 0001631632 · Sr. VP, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,767

F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on November 15, 2017.

F3 · balance_after: See Form 4 filed November 21, 2017 for the current amount of securities beneficially owned by the Reporting Person.

SEC source: 0001179110-17-015828 · edgar.xml · nonDerivative · entry 2

ASHBAUGH WILLIAM M · CIK 0001182922 · Sr. VP, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,068

F2 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on November 15, 2017.

SEC source: 0001179110-17-014140 · edgar.xml · nonDerivative · entry 1

KELLEY DOUGLAS M. · CIK 0001631632 · Sr. VP, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,135

SEC source: 0001179110-17-015829 · edgar.xml · nonDerivative · entry 1

KELLEY DOUGLAS M. · CIK 0001631632 · Sr. VP, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,635

F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on November 10, 2017.

SEC source: 0001179110-17-015828 · edgar.xml · nonDerivative · entry 1

ASHBAUGH WILLIAM M · CIK 0001182922 · Sr. VP, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,592

F1 · shares: Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on November 10, 2017.

SEC source: 0000899243-17-021156 · doc4.xml · nonDerivative · entry 3

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,474,742

F1 · balance_after: Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.

SEC source: 0000899243-17-021153 · doc4.xml · nonDerivative · entry 3

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,573,594

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-021156 · doc4.xml · nonDerivative · entry 2

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,476,065

F1 · balance_after: Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.

SEC source: 0000899243-17-021156 · doc4.xml · nonDerivative · entry 1

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,477,833

F1 · balance_after: Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.

SEC source: 0000899243-17-021153 · doc4.xml · nonDerivative · entry 2

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,574,994

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-021153 · doc4.xml · nonDerivative · entry 1

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,576,864

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0001179110-17-010932 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.31 to $16.32, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001179110-17-010635 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,500

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.225 to $16.30, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001179110-17-010431 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.08 to $16.15, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001179110-17-010308 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,500

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.15 to $16.23, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001179110-17-009939 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,000

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.04 to $16.32, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001179110-17-009752 · edgar.xml · nonDerivative · entry 1

WILSON JOHN H · CIK 0001182935 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

SEC source: 0001179110-17-009631 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,500

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.14 to $16.31, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001179110-17-009377 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,000

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.02 to $16.27, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001179110-17-009053 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,500

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.05 to $16.16, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001179110-17-008828 · edgar.xml · nonDerivative · entry 2

Morgan Thomas Duane · CIK 0001391130 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Morgan Family Trust

Disclosed balance after: 11,546.2233

F1 · price: The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $16.205 to $16.26, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001179110-17-008691 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.

F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.10, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001179110-17-008451 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,500

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.

SEC source: 0001179110-17-007341 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,500

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.

SEC source: 0001179110-17-006915 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,000

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.

F2 · kind: This transaction was executed in multiple trades at prices ranging from $16.01 to $16.04. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.

SEC source: 0001179110-17-006333 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,500

F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.