DAL

SEC source: 0001683168-17-003355 · bastian_f4.xml · nonDerivative · entry 2

Bastian Edward H · CIK 0001289878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,508

F1 · price: The reported shares were sold in open market transactions through a broker-dealer at prices ranging from $56.00 to $56.17 per share. The Reporting Person undertakes to provide, upon request, details regarding the number of shares sold at each separate price to the staff of the Securities and Exchange Commission, Delta Air Lines, Inc., or a security holder of Delta Air Lines, Inc.

SEC source: 0001683168-17-003355 · bastian_f4.xml · nonDerivative · entry 1

Bastian Edward H · CIK 0001289878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 338,719

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: 0001683168-17-003352 · sear_f4.xml · nonDerivative · entry 1

Sear Steven M · CIK 0001666169 · Pres. Int'l & EVP Global Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,073

SEC source: 0001683168-17-003351 · smith_f4.xml · nonDerivative · entry 1

Smith Joanne D · CIK 0001620414 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,393

SEC source: 0001683168-17-003340 · jacobson_f4.xml · derivative · entry 6

Jacobson Paul A · CIK 0001543655 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,000

Underlying: Common Stock · 35,000 shares

Expires 2018-10-28

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 option is currently exercisable.

SEC source: 0001683168-17-003340 · jacobson_f4.xml · derivative · entry 5

Jacobson Paul A · CIK 0001543655 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,900 shares

Expires 2018-04-02

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 option is currently exercisable.

SEC source: 0001683168-17-003340 · jacobson_f4.xml · nonDerivative · entry 4

Jacobson Paul A · CIK 0001543655 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,970

F1 · price: The reported shares were sold in open market transactions through a broker-dealer at prices ranging from $55.86 to $55.89 per share. The Reporting Person undertakes to provide, upon request, details regarding the number of shares sold at each separate price to the staff of the Securities and Exchange Commission, Delta Air Lines, Inc., or a security holder of Delta Air Lines, Inc.

SEC source: 0001683168-17-003340 · jacobson_f4.xml · nonDerivative · entry 3

Jacobson Paul A · CIK 0001543655 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,970

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: 0001683168-17-003340 · jacobson_f4.xml · nonDerivative · entry 2

Jacobson Paul A · CIK 0001543655 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,970

SEC source: 0001683168-17-003340 · jacobson_f4.xml · nonDerivative · entry 1

Jacobson Paul A · CIK 0001543655 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,870

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: 0001683168-17-003339 · hauenstein_f4.xml · derivative · entry 3

HAUENSTEIN GLEN W · CIK 0001193002 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 31,600 shares

Expires 2018-04-02

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 option is currently exercisable.

SEC source: 0001683168-17-003339 · hauenstein_f4.xml · nonDerivative · entry 2

HAUENSTEIN GLEN W · CIK 0001193002 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,418

F1 · price: The reported shares were sold in open market transactions through a broker-dealer at prices ranging from $55.82 to $55.83 per share. The Reporting Person undertakes to provide, upon request, details regarding the number of shares sold at each separate price to the staff of the Securities and Exchange Commission, Delta Air Lines, Inc., or a security holder of Delta Air Lines, Inc.

SEC source: 0001683168-17-003339 · hauenstein_f4.xml · nonDerivative · entry 1

HAUENSTEIN GLEN W · CIK 0001193002 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,018

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: 0001683168-17-003338 · smith_f4.xml · nonDerivative · entry 1

Smith Joanne D · CIK 0001620414 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,287

F1 · kind: The shares were gifted to the Atlanta Habitat for Humanity.

F1 · price: The shares were gifted to the Atlanta Habitat for Humanity.

SEC source: 0001683168-17-003202 · bastian_f4.xml · nonDerivative · entry 1

Bastian Edward H · CIK 0001289878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,508

F1 · price: The reported shares were sold in open market transactions through a broker-dealer at prices ranging from $52.79 to $52.83 per share. The Reporting Person undertakes to provide, upon request, details regarding the number of shares sold at each separate price to the staff of the Securities and Exchange Commission, Delta Air Lines, Inc., or a security holder of Delta Air Lines, Inc.

SEC source: 0001683168-17-003147 · carter_frm4.xml · nonDerivative · entry 1

Carter Peter W · CIK 0001647706 · EVP and Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,077

F1 · price: The reported shares were sold in open market transactions through a broker-dealer at prices ranging from $50.29 to $50.46 per share. The Reporting Person undertakes to provide, upon request, details regarding the number of shares sold at each separate price to the staff of the Securities and Exchange Commission, Delta Air Lines, Inc., or a security holder of Delta Air Lines, Inc.

SEC source: 0001683168-17-002748 · carter_frm4.xml · nonDerivative · entry 1

Carter Ashton B · CIK 0001720660 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,350

F1 · shares: Non-employee members of Delta's Board of Directors receive an annual restricted stock award. The shares reported in this Form 4 represent the annual restricted stock award to the Reporting Person, as approved by the Board of Directors as of October 23, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

F1 · price: Non-employee members of Delta's Board of Directors receive an annual restricted stock award. The shares reported in this Form 4 represent the annual restricted stock award to the Reporting Person, as approved by the Board of Directors as of October 23, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

SEC source: 0001683168-17-002667 · smith_frm4.xml · derivative · entry 4

Smith Joanne D · CIK 0001620414 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,500

Underlying: Common Stock · 30,000 shares

Expires 2018-10-28

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 option is currently exercisable.

SEC source: 0001683168-17-002667 · smith_frm4.xml · nonDerivative · entry 3

Smith Joanne D · CIK 0001620414 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,360

F2 · price: The reported shares were sold in open market transactions through a broker-dealer at prices ranging from $53.56 to $53.57 per share. The Reporting Person undertakes to provide, upon request, details regarding the number of shares sold at each separate price to the staff of the Securities and Exchange Commission, Delta Air Lines, Inc., or a security holder of Delta Air Lines, Inc.

SEC source: 0001683168-17-002667 · smith_frm4.xml · nonDerivative · entry 2

Smith Joanne D · CIK 0001620414 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,223

F1 · price: The reported shares were sold in open market transactions through a broker-dealer at prices ranging from $53.58 to $53.62 per share. The Reporting Person undertakes to provide, upon request, details regarding the number of shares sold at each separate price to the staff of the Securities and Exchange Commission, Delta Air Lines, Inc., or a security holder of Delta Air Lines, Inc.

SEC source: 0001683168-17-002667 · smith_frm4.xml · nonDerivative · entry 1

Smith Joanne D · CIK 0001620414 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,223

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: 0001683168-17-002653 · sear_frm4.xml · nonDerivative · entry 1

Sear Steven M · CIK 0001666169 · Pres. Int'l & EVP Global Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,856

SEC source: 0001683168-17-002652 · bastian_frm4.xml · derivative · entry 3

Bastian Edward H · CIK 0001289878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 159,240 shares

Expires 2022-02-01

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 option is currently exercisable.

SEC source: 0001683168-17-002652 · bastian_frm4.xml · nonDerivative · entry 2

Bastian Edward H · CIK 0001289878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,508

F1 · price: The reported shares were sold in open market transactions through a broker-dealer at prices ranging from $53.00 to $53.12 per share. The Reporting Person undertakes to provide, upon request, details regarding the number of shares sold at each separate price to the staff of the Securities and Exchange Commission, Delta Air Lines, Inc., or a security holder of Delta Air Lines, Inc.

SEC source: 0001683168-17-002652 · bastian_frm4.xml · nonDerivative · entry 1

Bastian Edward H · CIK 0001289878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,748

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: 0001683168-17-002220 · mattson_f4.xml · nonDerivative · entry 2

Mattson George N · CIK 0001559238 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By an LLC

Disclosed balance after: 7,500

F1 · ownership.nature: The shares are owned by a limited liability company controlled by the Reporting Person.

SEC source: 0001683168-17-002220 · mattson_f4.xml · nonDerivative · entry 1

Mattson George N · CIK 0001559238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,510

SEC source: 0001683168-17-001821 · smith_frm4.xml · nonDerivative · entry 1

Smith Joanne D · CIK 0001620414 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,223

SEC source: 0001683168-17-001789 · meynard_frm4.xml · nonDerivative · entry 1

Meynard Craig M · CIK 0001561337 · VP and Chief Acctg Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,437

SEC source: 0001683168-17-001788 · hauenstein_frm4.xml · derivative · entry 3

HAUENSTEIN GLEN W · CIK 0001193002 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 67,000 shares

Expires 2017-10-31

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 option is currently exercisable.

SEC source: 0001683168-17-001788 · hauenstein_frm4.xml · nonDerivative · entry 2

HAUENSTEIN GLEN W · CIK 0001193002 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,418

F1 · price: The reported shares were sold in open market transactions through a broker-dealer at prices ranging from $55.07 to $55.24 per share. The Reporting Person undertakes to provide, upon request, details regarding the number of shares sold at each separate price to the staff of the Securities and Exchange Commission, Delta Air Lines, Inc., or a security holder of Delta Air Lines, Inc.

SEC source: 0001683168-17-001788 · hauenstein_frm4.xml · nonDerivative · entry 1

HAUENSTEIN GLEN W · CIK 0001193002 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,418

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: 0001683168-17-001769 · carter_frm4.xml · nonDerivative · entry 1

Carter Peter W · CIK 0001647706 · EVP and Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,886

F1 · shares: Shares withheld for payment of tax liability upon vesting of a portion of the restricted stock award granted on July 20, 2015. This withholding was approved by the Personnel & Compensation Committee of Delta's Board of Directors and is exempt from Section 16(b) of the Securities Exchange Act of 1934 under Rules 16b-3(d)(1) and 16b-3(e).

SEC source: 0001683168-17-001706 · waller_frm4.xml · nonDerivative · entry 1

Waller Kathy N · CIK 0001469388 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,700

F1 · shares: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

F1 · price: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

SEC source: 0001683168-17-001705 · rial_frm4.xml · nonDerivative · entry 1

Rial Sergio · CIK 0001502689 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,981

F1 · shares: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

F1 · price: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

SEC source: 0001683168-17-001704 · mattson_frm4.xml · nonDerivative · entry 1

Mattson George N · CIK 0001559238 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,010

F1 · shares: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

F1 · price: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

SEC source: 0001683168-17-001703 · jackson_frm4.xml · nonDerivative · entry 1

JACKSON JEANNE P · CIK 0001179801 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,450

F1 · shares: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

F1 · price: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

SEC source: 0001683168-17-001702 · foret_frm4.xml · nonDerivative · entry 1

FORET MICKEY P · CIK 0001225114 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,994

F1 · shares: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

F1 · price: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

SEC source: 0001683168-17-001701 · easter_frm4.xml · nonDerivative · entry 1

EASTER WILLIAM H III · CIK 0001275630 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,900

F1 · shares: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

F1 · price: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

SEC source: 0001683168-17-001700 · dewalt_frm4.xml · nonDerivative · entry 1

DEWALT DAVID G · CIK 0001228853 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,070

F1 · shares: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

F1 · price: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

SEC source: 0001683168-17-001699 · carp_frm4.xml · nonDerivative · entry 1

CARP DANIEL A · CIK 0001191525 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,603

F1 · shares: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

F1 · price: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

SEC source: 0001683168-17-001698 · blake_frm4.xml · nonDerivative · entry 1

BLAKE FRANCIS S · CIK 0001194702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,220

F1 · shares: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. Delta's non-executive chairman of the Board receives an annual restricted stock award of $130,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

F1 · price: Non-employee members of Delta's Board of Directors receive an annual restricted stock award of $175,000. Delta's non-executive chairman of the Board receives an annual restricted stock award of $130,000. The shares reported in this Form 4 represent the annual restricted stock award grant to the Reporting Person, as approved by the Board of Directors on June 30, 2017. The shares were acquired in a transaction exempt under Rule 16b-3(d).

SEC source: 0001683168-17-001645 · rial_frm4.xml · nonDerivative · entry 1

Rial Sergio · CIK 0001502689 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,721

F1 · shares: Shares withheld for payment of tax liability upon vesting of the restricted stock award granted on June 10, 2016. This withholding was approved by the Personnel & Compensation Committee of Delta's Board of Directors and is exempt under Rules 16b-3(d)(1) and 16b-3(e).

SEC source: 0001683168-17-001430 · west_f4.xml · nonDerivative · entry 1

West W Gilbert · CIK 0001599979 · Sr. EVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,232

F1 · price: The reported shares were sold in open market transactions through a broker-dealer at prices ranging from $50.39 to $50.51 per share. The Reporting Person undertakes to provide, upon request, details regarding the number of shares sold at each separate price to the staff of the Securities and Exchange Commission, Delta Air Lines, Inc., or a security holder of Delta Air Lines, Inc.

SEC source: 0001683168-17-001379 · bastian_frm4.xml · nonDerivative · entry 1

Bastian Edward H · CIK 0001289878 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,508

F1 · price: The reported shares were sold in open market transactions through a broker-dealer at prices ranging from $48.49 to $48.65 per share. The Reporting Person undertakes to provide, upon request, details regarding the number of shares sold at each separate price to the staff of the Securities and Exchange Commission, Delta Air Lines, Inc., or a security holder of Delta Air Lines, Inc.

SEC source: 0001683168-17-001264 · smith_frm4.xml · nonDerivative · entry 2

Smith Joanne D · CIK 0001620414 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,923

SEC source: 0001683168-17-001264 · smith_frm4.xml · nonDerivative · entry 1

Smith Joanne D · CIK 0001620414 · EVP & Chief HR Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,398

F1 · price: The shares were gifted to California Polytechnic State University.

SEC source: 0001683168-17-000973 · blake_f4.xml · nonDerivative · entry 2

BLAKE FRANCIS S · CIK 0001194702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,540

SEC source: 0001683168-17-000973 · blake_f4.xml · nonDerivative · entry 1

BLAKE FRANCIS S · CIK 0001194702 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,187

SEC source: 0001683168-17-000499 · jacobson_f4.xml · derivative · entry 3

Jacobson Paul A · CIK 0001543655 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,100 shares

Expires 2017-04-29

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 · shares: The option was exercised pursuant to the Trading Plan.

F4 · derivative.exercise_date: The option is currently exercisable.