ENS

SEC source: 0001209191-19-062272 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,956.5132

F2 · shares: These shares were granted in the form of Restricted Stock Units ("RSUs"), in connection with the Dividend, with respect to 759 unvested RSUs granted to the reporting person on May 16, 2016, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062272 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,954.6466

F1 · shares: These shares were granted in the form of Performance Share Units ("PSUs"), in connection with the cash dividend paid on December 27, 2019 to stockholders of record as of December 13, 2019 (the "Dividend"), with respect to 1,236 PSUs granted to the reporting person on May 16, 2016, and adjusted for vesting on May 16, 2019 and previously declared and paid cash dividends. These PSUs will be payable concurrently with the underlying PSUs.

SEC source: 0001209191-19-062276 · doc4.xml · nonDerivative · entry 6

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,781.2037

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 October 7, 2019, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062276 · doc4.xml · nonDerivative · entry 5

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,781.0299

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 July 17, 2019, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062276 · doc4.xml · nonDerivative · entry 4

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,780.8928

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 April 10, 2019, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062276 · doc4.xml · nonDerivative · entry 3

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,780.809

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 January 15, 2019. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062276 · doc4.xml · nonDerivative · entry 2

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,780.7763

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: 0001209191-19-062276 · doc4.xml · nonDerivative · entry 1

Vargo Ronald P · CIK 0001355666 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,773.286

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on December 27, 2019 to stockholders of record as of December 13, 2019 (the "Dividend"), with respect to 9,233 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: 0001209191-19-062275 · doc4.xml · nonDerivative · entry 6

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,651.1099

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 October 7, 2019, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062275 · doc4.xml · nonDerivative · entry 5

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,650.9083

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 July 17, 2019, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062275 · doc4.xml · nonDerivative · entry 4

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,650.7665

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 April 10, 2019, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062275 · doc4.xml · nonDerivative · entry 3

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,650.671

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 January 15, 2019. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062275 · doc4.xml · nonDerivative · entry 2

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,650.6313

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: 0001209191-19-062275 · doc4.xml · nonDerivative · entry 1

TUFANO PAUL J · CIK 0001201520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,636.4511

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on December 27, 2019 to stockholders of record as of December 13, 2019 (the "Dividend"), with respect to 14,940 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: 0001209191-19-062274 · doc4.xml · nonDerivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,997.5183

F10 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 20,714 PSUs granted to the reporting person on August 12, 2019, and adjusted for a previously declared and paid cash dividend. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-19-062274 · doc4.xml · nonDerivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,948.1558

F9 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 16,922 PSUs granted to the reporting person on August 12, 2019, and adjusted for a previously declared and paid cash dividend. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-19-062274 · doc4.xml · nonDerivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,907.8299

F8 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 18,182 RSUs granted to the reporting person on August 12, 2019, and adjusted for a previously declared and paid cash dividend. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062274 · doc4.xml · nonDerivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,864.5013

F7 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 14,603 PSUs granted to the reporting person on August 13, 2018, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-19-062274 · doc4.xml · nonDerivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,829.36

F6 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 11,597 PSUs granted to the reporting person on August 13, 2018, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-19-062274 · doc4.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,801.4524

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 9,977 RSUs granted to the reporting person on August 13, 2018, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062274 · doc4.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,777.4433

F4 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 18,441 unvested PSUs granted to the reporting person on May 9, 2017, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-19-062274 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,732.5306

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 5,863 unvested RSUs granted to the reporting person on May 9, 2017, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062274 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,718.2514

F2 · shares: These shares were granted in the form of restricted stock units ("RSUs"), in connection with the Dividend, with respect to 3,689 unvested RSUs granted to the reporting person on May 16, 2016, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062274 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,709.1789

F1 · shares: These shares were granted in the form of Performance Share Units ("PSUs"), in connection with the cash dividend paid on December 27, 2019 to stockholders of record as of December 13, 2019 (the "Dividend"), with respect to 24,021 PSUs granted to the reporting person on May 16, 2016, and adjusted for vesting on May 16, 2019 and previously declared and paid cash dividends. These PSUs will be payable concurrently with the underlying PSUs.

SEC source: 0001209191-19-062273 · doc4.xml · nonDerivative · entry 10

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,942.8861

F10 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 6,510 PSUs granted to the reporting person on August 12, 2019, and adjusted for a previously declared and paid cash dividend. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-19-062273 · doc4.xml · nonDerivative · entry 9

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,927.3725

F9 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 5,318 PSUs granted to the reporting person on August 12, 2019, and adjusted for a previously declared and paid cash dividend. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-19-062273 · doc4.xml · nonDerivative · entry 8

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,914.6994

F8 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 5,714 RSUs granted to the reporting person on August 12, 2019, and adjusted for a previously declared and paid cash dividend. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062273 · doc4.xml · nonDerivative · entry 7

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,901.0827

F7 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 4,819 PSUs granted to the reporting person on August 13, 2018, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-19-062273 · doc4.xml · nonDerivative · entry 6

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,889.486

F6 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 3,827 PSUs granted to the reporting person on August 13, 2018, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-19-062273 · doc4.xml · nonDerivative · entry 5

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,880.2765

F5 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 3,292 unvested RSUs granted to the reporting person on August 13, 2018, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062273 · doc4.xml · nonDerivative · entry 4

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,872.3545

F4 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 6,242 unvested PSUs granted to the reporting person on May 9, 2017, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-19-062273 · doc4.xml · nonDerivative · entry 3

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,857.1523

F3 · shares: These shares were granted in the form of RSUs, in connection with the Dividend, with respect to 1,984 unvested RSUs granted to the reporting person on May 9, 2017, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062273 · doc4.xml · nonDerivative · entry 2

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,852.3203

F2 · shares: These shares were granted in the form of restricted stock units ("RSUs"), in connection with the Dividend, with respect to 1,432 unvested RSUs granted to the reporting person on May 16, 2016, and adjusted for previously declared and paid cash dividends. These RSUs will vest and are payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062273 · doc4.xml · nonDerivative · entry 1

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,848.7985

F1 · shares: These shares were granted in the form of Performance Share Units ("PSUs"), in connection with the cash dividend paid on December 27, 2019 to stockholders of record as of December 13, 2019 (the "Dividend"), with respect to 9,326 PSUs granted to the reporting person on May 16, 2016, and adjusted for vesting on May 16, 2019 and previously declared and paid cash dividends. These PSUs will be payable concurrently with the underlying PSUs.

SEC source: 0001209191-19-062271 · doc4.xml · nonDerivative · entry 6

MARLO DENNIS S · CIK 0001222380 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,273.3976

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 October 7, 2019, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062271 · doc4.xml · nonDerivative · entry 5

MARLO DENNIS S · CIK 0001222380 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,273.3049

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 July 17, 2019, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062271 · doc4.xml · nonDerivative · entry 4

MARLO DENNIS S · CIK 0001222380 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,273.2329

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 April 10, 2019, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062271 · doc4.xml · nonDerivative · entry 3

MARLO DENNIS S · CIK 0001222380 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,273.1886

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 January 15, 2019. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062271 · doc4.xml · nonDerivative · entry 2

MARLO DENNIS S · CIK 0001222380 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,273.1699

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: 0001209191-19-062271 · doc4.xml · nonDerivative · entry 1

MARLO DENNIS S · CIK 0001222380 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,241.1375

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on December 27, 2019 to stockholders of record as of December 13, 2019 (the "Dividend"), with respect to 26,237 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: 0001209191-19-062268 · doc4.xml · nonDerivative · entry 6

LEHMAN JOHN F · CIK 0001211966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,502.1485

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 October 7, 2019, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062268 · doc4.xml · nonDerivative · entry 5

LEHMAN JOHN F · CIK 0001211966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,501.9585

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 July 17, 2019, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062268 · doc4.xml · nonDerivative · entry 4

LEHMAN JOHN F · CIK 0001211966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,501.8237

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 April 10, 2019, under the Plan. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062268 · doc4.xml · nonDerivative · entry 3

LEHMAN JOHN F · CIK 0001211966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,501.7375

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 January 15, 2019. These RSUs are vested and payable concurrent with the underlying RSUs.

SEC source: 0001209191-19-062268 · doc4.xml · nonDerivative · entry 2

LEHMAN JOHN F · CIK 0001211966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,501.7001

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: 0001209191-19-062268 · doc4.xml · nonDerivative · entry 1

LEHMAN JOHN F · CIK 0001211966 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,415.7916

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on December 27, 2019 to stockholders of record as of December 13, 2019 (the "Dividend"), with respect to 26,237 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: 0001209191-19-062264 · doc4.xml · nonDerivative · entry 1

HOFFEN HOWARD I · CIK 0001208810 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,138.6812

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on December 27, 2019 to stockholders of record as of December 13, 2019 (the "Dividend"), with respect to an aggregate of 30,691 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 such shares and disclaims beneficial ownership except to the extent ultimately realized.

SEC source: 0001209191-19-062262 · doc4.xml · nonDerivative · entry 1

CHUNG HWAN-YOON · CIK 0001389949 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,371.5999

F1 · shares: These shares were granted in the form of Deferred Stock Units ("DSUs"), in connection with the cash dividend paid on December 27, 2019 to stockholders of record as of December 13, 2019 (the "Dividend"), with respect to an aggregate of 26,237 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 4,767.0791 shares and disclaims beneficial ownership except to the extent ultimately realized.

SEC source: 0001209191-20-021820 · doc4.xml · nonDerivative · entry 10

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,113.6825

F10 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 6,510 PSUs granted to the reporting person on August 12, 2019, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.

SEC source: 0001209191-20-021820 · doc4.xml · nonDerivative · entry 9

Schmidtlein Michael J · CIK 0001345053 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,089.8832

F9 · shares: These shares were granted in the form of PSUs, in connection with the Dividend, with respect to 5,318 PSUs granted to the reporting person on August 12, 2019, and adjusted for previously declared and paid cash dividends. These PSUs will vest and are payable concurrent with the underlying PSUs.