EQH

SEC source: 0001209191-21-044935 · doc4.xml · nonDerivative · entry 1

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 406,078.46

F1 · shares: The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 19, 2021.

F2 · price: This transaction was executed in multiple trades at prices ranging from $30.3300 to $30.6700. 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.

F3 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-038900 · doc4.xml · nonDerivative · entry 1

Raju Robin M · CIK 0001854854 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,719.06

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-038877 · doc4.xml · nonDerivative · entry 1

Eckert William James IV · CIK 0001693205 · SVP and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,453.99

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-038888 · doc4.xml · nonDerivative · entry 1

HURD JEFFREY J · CIK 0001486195 · Senior EVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,278.71

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-038893 · doc4.xml · nonDerivative · entry 1

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,285.63

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-038898 · doc4.xml · nonDerivative · entry 1

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,078.46

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-038882 · doc4.xml · nonDerivative · entry 1

Gonzalez Jose Ramon · CIK 0001784571 · SEVP & Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,376.21

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-038874 · doc4.xml · nonDerivative · entry 1

BERNSTEIN SETH P · CIK 0001705584 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,606.09

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-034869 · doc4.xml · nonDerivative · entry 1

SCOTT BERTRAM L · CIK 0001221780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,359

F1 · shares: Grant of fully vested common stock under the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan exempt under Rule 16b-3.

SEC source: 0001209191-21-034864 · doc4.xml · nonDerivative · entry 1

LAMMTENNANT JOAN M · CIK 0001208239 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,885

F1 · shares: Grant of fully vested common stock under the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan exempt under Rule 16b-3.

SEC source: 0001209191-21-034867 · doc4.xml · nonDerivative · entry 1

OLIVEIRA RAMON DE · CIK 0001214685 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,695

F1 · shares: Grant of fully vested common stock under the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan exempt under Rule 16b-3.

SEC source: 0001209191-21-034870 · doc4.xml · nonDerivative · entry 1

Hondal Francis · CIK 0001823810 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,845

F1 · shares: Grant of fully vested common stock under the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan exempt under Rule 16b-3.

SEC source: 0001209191-21-034868 · doc4.xml · nonDerivative · entry 1

Stonehill Charles G.T. · CIK 0001739527 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,359

F1 · shares: Grant of fully vested common stock under the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan exempt under Rule 16b-3.

SEC source: 0001209191-21-034866 · doc4.xml · nonDerivative · entry 1

Matus Kristi Ann · CIK 0001543504 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,527

F1 · shares: Grant of fully vested common stock under the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan exempt under Rule 16b-3.

SEC source: 0001209191-21-034872 · doc4.xml · nonDerivative · entry 1

Stansfield George · CIK 0001738945 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,885

F1 · shares: Grant of fully vested common stock under the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan exempt under Rule 16b-3.

SEC source: 0001209191-21-034865 · doc4.xml · nonDerivative · entry 1

Kaye Daniel G · CIK 0001556974 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,359

F1 · shares: Grant of fully vested common stock under the Equitable Holdings, Inc. 2019 Omnibus Incentive Plan exempt under Rule 16b-3.

SEC source: 0001209191-21-022986 · doc4.xml · nonDerivative · entry 1

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,975.03

F1 · price: This transaction was executed in multiple trades at prices ranging from $31.39 to $31.55. 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.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-022561 · doc4.xml · nonDerivative · entry 1

HURD JEFFREY J · CIK 0001486195 · Senior EVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,979.09

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

SEC source: 0001209191-21-022563 · doc4.xml · nonDerivative · entry 1

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,327.03

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

SEC source: 0001209191-21-022567 · doc4.xml · nonDerivative · entry 1

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 419,926.16

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

SEC source: 0001209191-21-022565 · doc4.xml · nonDerivative · entry 1

Malmstrom Anders · CIK 0001705476 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,789.36

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

SEC source: 0001209191-21-022559 · doc4.xml · nonDerivative · entry 1

BERNSTEIN SETH P · CIK 0001705584 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,465.95

F1 · shares: Shares withheld to cover taxes upon vesting of previous restricted stock unit grants.

F2 · balance_after: Includes restricted stock units.

SEC source: 0001209191-23-037081 · doc4.xml · derivative · entry 3

HURD JEFFREY J · CIK 0001486195 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,990.22 shares

Expires not disclosed

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_price: Each Performance Restricted Stock Unit represents a contingent right to receive one share of Issuer's common stock.

F6 · derivative.exercise_date: Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vested upon the attainment of certain performance metrics and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023 and were deemed vested on March 22, 2021.

F6 · derivative.expiration_date: Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vested upon the attainment of certain performance metrics and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023 and were deemed vested on March 22, 2021.

SEC source: 0001209191-23-037081 · doc4.xml · nonDerivative · entry 1

HURD JEFFREY J · CIK 0001486195 · Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 144,431.11

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 · date: This transaction is reported late owing to an administrative error.

F2 · shares: Reflects the conversion of previously granted Performance Restricted Stock Units ("PRSUs") into shares of the Issuer's common stock in connection with the vesting of the units based on underlying performance metrics.

F3 · balance_after: Includes Restricted Stock Units ("RSUs").

SEC source: 0001209191-23-037083 · doc4.xml · derivative · entry 3

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,326.01 shares

Expires not disclosed

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_price: Each Performance Restricted Stock Unit represents a contingent right to receive one share of Issuer's common stock.

F6 · derivative.exercise_date: Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vested upon the attainment of certain performance metrics and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023 and were deemed vested on March 22, 2021.

F6 · derivative.expiration_date: Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vested upon the attainment of certain performance metrics and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023 and were deemed vested on March 22, 2021.

SEC source: 0001209191-23-037083 · doc4.xml · nonDerivative · entry 1

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 162,683

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 · date: This transaction is reported late owing to an administrative error.

F2 · shares: Reflects the conversion of previously granted Performance Restricted Stock Units ("PRSUs") into shares of the Issuer's common stock in connection with the vesting of the units based on underlying performance metrics.

F3 · balance_after: Includes Restricted Stock Units ("RSUs").

SEC source: 0001209191-23-037084 · doc4.xml · derivative · entry 3

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 99,951.11 shares

Expires not disclosed

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_price: Each Performance Restricted Stock Unit represents a contingent right to receive one share of Issuer's common stock.

F6 · derivative.exercise_date: Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vested upon the attainment of certain performance metrics and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023 and were deemed vested on March 22, 2021.

F6 · derivative.expiration_date: Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vested upon the attainment of certain performance metrics and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023 and were deemed vested on March 22, 2021.

SEC source: 0001209191-23-037084 · doc4.xml · nonDerivative · entry 1

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 693,706.78

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 · date: This transaction is reported late owing to an administrative error.

F2 · shares: Reflects the conversion of previously granted Performance Restricted Stock Units ("PRSUs") into shares of the Issuer's common stock in connection with the vesting of the units based on underlying performance metrics.

F3 · balance_after: Includes Restricted Stock Units ("RSUs").

SEC source: 0001209191-23-037079 · doc4.xml · derivative · entry 3

BERNSTEIN SETH P · CIK 0001705584 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,990.22 shares

Expires not disclosed

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_price: Each Performance Restricted Stock Unit represents a contingent right to receive one share of Issuer's common stock.

F6 · derivative.exercise_date: Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vested upon the attainment of certain performance metrics and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023 and were deemed vested on March 22, 2021.

F6 · derivative.expiration_date: Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vested upon the attainment of certain performance metrics and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023 and were deemed vested on March 22, 2021.

SEC source: 0001209191-23-037079 · doc4.xml · nonDerivative · entry 1

BERNSTEIN SETH P · CIK 0001705584 · See Remarks

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,994.48

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 · date: This transaction is reported late owing to an administrative error.

F2 · shares: Reflects the conversion of previously granted Performance Restricted Stock Units ("PRSUs") into shares of the Issuer's common stock in connection with the vesting of the units based on underlying performance metrics.

F3 · balance_after: Includes Restricted Stock Units ("RSUs").

SEC source: 0001209191-21-022329 · doc4.xml · nonDerivative · entry 1

HURD JEFFREY J · CIK 0001486195 · Senior EVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,768.31

F1 · price: This transaction was executed in multiple trades at prices ranging from $32.7200 to $32.9550. 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.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-022334 · doc4.xml · derivative · entry 7

Malmstrom Anders · CIK 0001705476 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 121,265

Underlying: Common Stock · 41,000 shares

Expires 2030-02-26

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 vested/vest in three equal annual installments beginning on February 26, 2021.

SEC source: 0001209191-21-022334 · doc4.xml · derivative · entry 6

Malmstrom Anders · CIK 0001705476 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,265

Underlying: Common Stock · 78,535 shares

Expires 2029-02-14

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 vested/vest in three equal annual installments beginning on February 14, 2020.

SEC source: 0001209191-21-022334 · doc4.xml · derivative · entry 5

Malmstrom Anders · CIK 0001705476 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 240,800

Underlying: Common Stock · 81,345 shares

Expires 2028-03-01

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.

F3 · derivative.exercise_date: The options vested in three equal annual installments beginning on March 1, 2019.

SEC source: 0001209191-21-022334 · doc4.xml · nonDerivative · entry 4

Malmstrom Anders · CIK 0001705476 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,067.8

F2 · price: This transaction was executed in multiple trades at prices ranging from $32.0600 to $33.0500. 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.

F1 · balance_after: Includes restricted stock units.

SEC source: 0001209191-21-022334 · doc4.xml · nonDerivative · entry 3

Malmstrom Anders · CIK 0001705476 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,947.8

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 · balance_after: Includes restricted stock units.

SEC source: 0001209191-21-022334 · doc4.xml · nonDerivative · entry 2

Malmstrom Anders · CIK 0001705476 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 299,947.8

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 · balance_after: Includes restricted stock units.

SEC source: 0001209191-21-022334 · doc4.xml · nonDerivative · entry 1

Malmstrom Anders · CIK 0001705476 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,412.8

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 · balance_after: Includes restricted stock units.

SEC source: 0001209191-21-020683 · doc4.xml · nonDerivative · entry 1

Hattem Dave S. · CIK 0001739394 · SEVP & Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,254.68

F1 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-020169 · doc4.xml · nonDerivative · entry 1

Eckert William James IV · CIK 0001693205 · SVP and CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,372.66

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-020176 · doc4.xml · derivative · entry 2

HURD JEFFREY J · CIK 0001486195 · Senior EVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,990.22

Underlying: Common Stock · 106.3 shares

Expires not disclosed

F3 · derivative.exercise_price: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F3 · shares: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F3 · derivative.expiration_date: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

SEC source: 0001209191-21-020176 · doc4.xml · nonDerivative · entry 1

HURD JEFFREY J · CIK 0001486195 · Senior EVP & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,268.31

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-020183 · doc4.xml · derivative · entry 2

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,326.01

Underlying: Common Stock · 113.4 shares

Expires not disclosed

F3 · derivative.exercise_price: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F3 · shares: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F3 · derivative.expiration_date: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

SEC source: 0001209191-21-020183 · doc4.xml · nonDerivative · entry 1

Lane Nick · CIK 0001441552 · (See Remarks)

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,771.03

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-020189 · doc4.xml · derivative · entry 2

Malmstrom Anders · CIK 0001705476 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,980.45

Underlying: Common Stock · 212.6 shares

Expires not disclosed

F3 · derivative.exercise_price: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F3 · shares: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F3 · derivative.expiration_date: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

SEC source: 0001209191-21-020189 · doc4.xml · nonDerivative · entry 1

Malmstrom Anders · CIK 0001705476 · Senior EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,067.8

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-020191 · doc4.xml · derivative · entry 2

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,951.11

Underlying: Common Stock · 531.49 shares

Expires not disclosed

F3 · derivative.exercise_price: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F3 · shares: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F3 · derivative.exercise_date: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F3 · derivative.expiration_date: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

SEC source: 0001209191-21-020191 · doc4.xml · nonDerivative · entry 1

Pearson Mark · CIK 0001512442 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473,120.27

F1 · shares: Dividend equivalents accrued on Restricted Stock Units ("RSUs") previously awarded pursuant to Issuer's incentive plan. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the RSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the RSUs to which they relate. Dividend equivalents are issued in the form of RSUs, each of which represents a contingent right to receive one share of common stock.

F2 · balance_after: Total includes RSUs.

SEC source: 0001209191-21-020172 · doc4.xml · derivative · entry 3

Hattem Dave S. · CIK 0001739394 · SEVP & Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,980.45

Underlying: Common Stock · 212.6 shares

Expires not disclosed

F4 · derivative.exercise_price: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F4 · shares: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F4 · derivative.exercise_date: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

F4 · derivative.expiration_date: Dividend equivalents accrued on performance restricted stock units ("PRSUs") previously awarded pursuant to Issuer's incentive plan. Each PRSU represents a contingent right to receive one share of common stock upon vesting. The PRSUs vest upon and subject to the Issuer's common stock achieving a market price of $30.00 for 30 consecutive days prior to May 14, 2023. If the PRSUs have not otherwise vested by May 14, 2023, 50% of the PRSUs will vest on May 14, 2023. Dividend equivalents accrue when and as dividends are paid on the common shares underlying the PRSUs and vest proportionately with and are subject to settlement and expiration upon the same terms as the related PRSUs. Dividend equivalents are issued as PRSUs, each representing a contingent right to receive one share of common stock.

SEC source: 0001209191-21-020172 · doc4.xml · nonDerivative · entry 2

Hattem Dave S. · CIK 0001739394 · SEVP & Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,254.68

F3 · price: This transaction was executed in multiple trades at prices ranging from $31.80 to $31.82. 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.

F2 · balance_after: Total includes RSUs.