ENS

SEC source: 0001209191-23-022745 · doc4.xml · nonDerivative · entry 4

Wynter Rudolph W. · CIK 0001941344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,006.6344

F4 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on January 20, 2023, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022745 · doc4.xml · nonDerivative · entry 3

Wynter Rudolph W. · CIK 0001941344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,006.5135

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on October 14, 2022, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022745 · doc4.xml · nonDerivative · entry 2

Wynter Rudolph W. · CIK 0001941344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,006.4388

F2 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the Dividend, with respect to vested RSUs granted to the reporting person on various dates, under the EnerSys Deferred Compensation Plan for Non-Employee Directors (the "Plan"). These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022745 · doc4.xml · nonDerivative · entry 1

Wynter Rudolph W. · CIK 0001941344 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,005.2995

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on March 31, 2023 to stockholders of record as of March 17, 2023 (the "Dividend"), with respect to an aggregate of 3,318 vested DSUs granted to the reporting person on various dates, and adjusted for previously and declared paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.

SEC source: 0001209191-23-022744 · doc4.xml · nonDerivative · entry 6

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,505.8372

F6 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on January 20, 2023, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022744 · doc4.xml · nonDerivative · entry 5

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,505.7526

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on October 14, 2022, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022744 · doc4.xml · nonDerivative · entry 4

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,505.6658

F4 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on July 14, 2022, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022744 · doc4.xml · nonDerivative · entry 3

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,505.601

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on April 15, 2022, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022744 · doc4.xml · nonDerivative · entry 2

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,505.5766

F2 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the Dividend, with respect to vested RSUs granted to the reporting person on various dates under the EnerSys Deferred Compensation Plan for Non-Employee Directors (the "Plan"), and adjusted for previously declared and paid cash dividends. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022744 · doc4.xml · nonDerivative · entry 1

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,488.5236

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on March 31, 2023 to stockholders of record as of March 17, 2023 (the "Dividend"), with respect to 18,296 vested DSUs granted to the reporting person on various dates, and adjusted for previously declared and paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.

SEC source: 0001209191-23-022742 · doc4.xml · nonDerivative · entry 6

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,395.4562

F6 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on January 20, 2023, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022742 · doc4.xml · nonDerivative · entry 5

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,395.3656

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on October 14, 2022, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022742 · doc4.xml · nonDerivative · entry 4

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,395.2727

F4 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on July 14, 2022, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022742 · doc4.xml · nonDerivative · entry 3

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,395.2018

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on April 15, 2022, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022742 · doc4.xml · nonDerivative · entry 2

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,395.1754

F2 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the Dividend, with respect to vested RSUs granted to the reporting person on various dates under the EnerSys Deferred Compensation Plan for Non-Employee Directors (the "Plan"), and adjusted for previously declared and paid cash dividends. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022742 · doc4.xml · nonDerivative · entry 1

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,372.6083

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on March 31,2023 to stockholders of record as of March 17, 2023 (the "Dividend"), with respect to 24,003 vested DSUs granted to the reporting person on various dates, and adjusted for previously declared and paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.

SEC source: 0001209191-23-022740 · doc4.xml · nonDerivative · entry 5

Tinnemeyer Joern · CIK 0001911037 · Sr. VP & CTO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,777.9745

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 6,349 unvested RSUs granted to the reporting person on August 12, 2022, and adjusted for a previously declared and paid cash dividend. These RSUs will be payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022740 · doc4.xml · nonDerivative · entry 4

Tinnemeyer Joern · CIK 0001911037 · Sr. VP & CTO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,763.914

F4 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 2,288 unvested RSUs granted to the reporting person on August 16, 2021, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022740 · doc4.xml · nonDerivative · entry 3

Tinnemeyer Joern · CIK 0001911037 · Sr. VP & CTO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,758.7968

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 2,553 unvested RSUs granted to the reporting person on August 17, 2020, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022740 · doc4.xml · nonDerivative · entry 2

Tinnemeyer Joern · CIK 0001911037 · Sr. VP & CTO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,753.0396

F2 · shares: These shares were granted in the form of Performance Share Units (PSUs), in connection with the Dividend, with respect to 1,108 PSUs granted to the reporting person on August 12, 2019, and adjusted for vesting on August 12, 2022, and previously declared and paid cash dividends. These PSUs are payable concurrent with the underlying PSUs.

SEC source: 0001209191-23-022740 · doc4.xml · nonDerivative · entry 1

Tinnemeyer Joern · CIK 0001911037 · Sr. VP & CTO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,751.3628

F1 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the cash dividend paid on March 31, 2023 to stockholders of record as of March 17, 2023 (the "Dividend"), with respect to 1,190 unvested RSUs granted to the reporting person on August 12, 2019, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022736 · doc4.xml · nonDerivative · entry 5

Shaffer David M · CIK 0001577486 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,310.1072

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 36,858 unvested RSUs granted to the reporting person on August 12, 2022, and adjusted for a previously declared and paid cash dividend. These RSUs will be payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022736 · doc4.xml · nonDerivative · entry 4

Shaffer David M · CIK 0001577486 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,228.4815

F4 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 19,054 unvested RSUs granted to the reporting person on August 16, 2021, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022736 · doc4.xml · nonDerivative · entry 3

Shaffer David M · CIK 0001577486 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,185.8666

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 13,927 unvested RSUs granted to the reporting person on August 17, 2020, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022736 · doc4.xml · nonDerivative · entry 2

Shaffer David M · CIK 0001577486 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,154.46

F2 · shares: These shares were granted in the form of Performance Share Units (PSUs), in connection with the Dividend, with respect to 16,922 PSUs granted to the reporting person on August 12, 2019, and adjusted for vesting on August 12, 2022, and previously declared and paid cash dividends. These PSUs are payable August 12, 2023, concurrent with the underlying PSUs.

SEC source: 0001209191-23-022736 · doc4.xml · nonDerivative · entry 1

Shaffer David M · CIK 0001577486 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 213,128.8315

F1 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the cash dividend paid on March 31, 2023 to stockholders of record as of March 17, 2023 (the "Dividend"), with respect to 4,545 unvested RSUs granted to the reporting person on August 12, 2019, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022734 · doc4.xml · nonDerivative · entry 5

O'Connell Shawn M. · CIK 0001772687 · Pres. Motive Power Global

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,502.7664

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 7,054 unvested RSUs granted to the reporting person on August 12, 2022, and adjusted for a previously declared and paid cash dividend. These RSUs will be payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022734 · doc4.xml · nonDerivative · entry 4

O'Connell Shawn M. · CIK 0001772687 · Pres. Motive Power Global

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,487.1446

F4 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 3,706 unvested RSUs granted to the reporting person on August 16, 2021, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022734 · doc4.xml · nonDerivative · entry 3

O'Connell Shawn M. · CIK 0001772687 · Pres. Motive Power Global

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,478.856

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 2,984 unvested RSUs granted to the reporting person on August 17, 2020, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022734 · doc4.xml · nonDerivative · entry 1

O'Connell Shawn M. · CIK 0001772687 · Pres. Motive Power Global

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,467.247

F1 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the cash dividend paid on March 31, 2023 to stockholders of record as of March 17, 2023 (the "Dividend"), with respect to 866 unvested RSUs granted to the reporting person on August 12, 2019, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022728 · doc4.xml · nonDerivative · entry 6

KATSAROS ARTHUR T · CIK 0001220007 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,495.8645

F6 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on January 20, 2023, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022728 · doc4.xml · nonDerivative · entry 5

KATSAROS ARTHUR T · CIK 0001220007 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,495.6631

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on October 14,2022, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022728 · doc4.xml · nonDerivative · entry 4

KATSAROS ARTHUR T · CIK 0001220007 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,495.4572

F4 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on July 14, 2022, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022728 · doc4.xml · nonDerivative · entry 3

KATSAROS ARTHUR T · CIK 0001220007 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,495.3154

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on April 15, 2022. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022728 · doc4.xml · nonDerivative · entry 2

KATSAROS ARTHUR T · CIK 0001220007 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,495.2565

F2 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the Dividend, with respect to vested RSUs granted to the reporting person on various dates under the EnerSys Deferred Compensation Plan for Non-Employee Directors (the "Plan"), and adjusted for previously declared and paid cash dividends. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022728 · doc4.xml · nonDerivative · entry 1

KATSAROS ARTHUR T · CIK 0001220007 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,407.946

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on March 31, 2023 to stockholders of record as of March 17, 2023 (the "Dividend"), with respect to 43,675 vested DSUs granted to the reporting person on various dates, and adjusted for previously declared and paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.

SEC source: 0001209191-23-022725 · doc4.xml · nonDerivative · entry 6

HOFFEN HOWARD I · CIK 0001208810 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,089.5072

F6 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on January 20, 2023, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

F7 · balance_after: The reporting person has no pecuniary interest in such shares and disclaims beneficial ownership to the extent ultimately realized.

SEC source: 0001209191-23-022725 · doc4.xml · nonDerivative · entry 5

HOFFEN HOWARD I · CIK 0001208810 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,089.3924

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on October 14, 2022, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022725 · doc4.xml · nonDerivative · entry 4

HOFFEN HOWARD I · CIK 0001208810 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,089.2753

F4 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on July 14, 2022, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022725 · doc4.xml · nonDerivative · entry 3

HOFFEN HOWARD I · CIK 0001208810 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,089.1963

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to unvested RSUs granted to the reporting person on April 15, 2022, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022725 · doc4.xml · nonDerivative · entry 2

HOFFEN HOWARD I · CIK 0001208810 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,089.1638

F2 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the Dividend, with respect to vested RSUs granted to the reporting person on various dates under the EnerSys Deferred Compensation Plan for Non-Employee Directors (the "Plan"), and adjusted for previously declared and paid cash dividends. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022725 · doc4.xml · nonDerivative · entry 1

HOFFEN HOWARD I · CIK 0001208810 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,086.1274

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on March 31, 2023 to stockholders of record as of March 17, 2023 (the "Dividend"), with respect to 39,754 vested DSUs granted to the reporting person on various dates, and adjusted for previously declared and paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.

SEC source: 0001209191-23-022722 · doc4.xml · nonDerivative · entry 5

Funk Andrea J. · CIK 0001713423 · EVP & Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,695.0129

F6 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 8,641 unvested RSUs granted to the reporting person on August 12, 2022, and adjusted for a previously declared and paid cash dividend. These RSUs will be payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022722 · doc4.xml · nonDerivative · entry 4

Funk Andrea J. · CIK 0001713423 · EVP & Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,675.8766

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 4,003 unvested RSUs granted to the reporting person on August 16, 2021, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022722 · doc4.xml · nonDerivative · entry 3

Funk Andrea J. · CIK 0001713423 · EVP & Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,666.9238

F4 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 1,857 unvested RSUs granted to the reporting person on August 17, 2020, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-23-022722 · doc4.xml · nonDerivative · entry 2

Funk Andrea J. · CIK 0001713423 · EVP & Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,662.7361

F3 · shares: These shares were granted in the form of Performance Share Units (PSUs), in connection with the Dividend, with respect to 806 PSUs granted to the reporting person on August 12, 2019, adjusted for vesting on August 12, 2022, and previously declared and paid cash dividends. These PSUs are payable August 12, 2023, concurrent with the underlying PSUs.

SEC source: 0001209191-23-022722 · doc4.xml · nonDerivative · entry 1

Funk Andrea J. · CIK 0001713423 · EVP & Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,661.5178

F1 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the cash dividend paid on March 31, 2023 to stockholders of record as of March 17, 2023 (the "Dividend"), with respect to 866 unvested RSUs granted to the reporting person on August 12, 2019, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

F2 · balance_after: Adjusted for previous arithmetic error.

SEC source: 0001209191-23-022713 · doc4.xml · nonDerivative · entry 1

CHUNG HWAN-YOON · CIK 0001389949 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,484.916

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on March 31, 2023 to stockholders of record as of March 17, 2023 (the "Dividend"), with respect to an aggregate of 35,300 vested DSUs granted to the reporting person on various dates, and adjusted for previously declared and paid cash dividends. These DSUs are vested and payable concurrent with the underlying DSUs.

F2 · balance_after: The reporting person has no direct pecuniary interest in 4,923.2735 shares and disclaims beneficial ownership except to the extent ultimately realized.

SEC source: 0001209191-23-010604 · doc4.xml · nonDerivative · entry 2

Zogby Andrew M. · CIK 0001772719 · Pres. Energy Systems Global

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,029.8153

SEC source: 0001209191-23-010604 · doc4.xml · nonDerivative · entry 1

Zogby Andrew M. · CIK 0001772719 · Pres. Energy Systems Global

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,381.8153

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.