FCEL

SEC source: 0001567619-20-010701 · doc1.xml · nonDerivative · entry 2

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,787

F1 · balance_after: On April 13, 2020, the reporting person filed a Form 4 reporting that 5,269 shares were acquired as the result of an RSU vesting, and that 5,727 shares were beneficially owned after disposing of shares withheld for taxes. This amendment is being filed to correct the number of shares acquired to 5,629 and the total number of shares beneficially owned after disposing of shares withheld for taxes to 5,787.

SEC source: 0001567619-20-010701 · doc1.xml · nonDerivative · entry 1

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,158

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 · shares: On April 13, 2020, the reporting person filed a Form 4 reporting that 5,269 shares were acquired as the result of an RSU vesting, and that 5,727 shares were beneficially owned after disposing of shares withheld for taxes. This amendment is being filed to correct the number of shares acquired to 5,629 and the total number of shares beneficially owned after disposing of shares withheld for taxes to 5,787.

SEC source: 0001567619-20-007777 · doc1.xml · derivative · entry 5

leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,701

Underlying: Common Stock · 1,701 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.

F3 · derivative.exercise_price: Restricted stock units were converted into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On April 5 2018, the reporting person was granted 3,402 restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

F4 · derivative.expiration_date: On April 5 2018, the reporting person was granted 3,402 restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

SEC source: 0001567619-20-007777 · doc1.xml · nonDerivative · entry 4

leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,488

SEC source: 0001567619-20-007777 · doc1.xml · nonDerivative · entry 3

leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,006

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 · price: Restricted stock units were converted into common stock on a one-for-one basis.

SEC source: 0001567619-20-007777 · doc1.xml · nonDerivative · entry 2

leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,305

F2 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 6, 2017.

SEC source: 0001567619-20-007777 · doc1.xml · nonDerivative · entry 1

leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,003

F1 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016.

SEC source: 0001567619-20-007775 · doc1.xml · nonDerivative · entry 2

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,602

F2 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 6, 2017.

SEC source: 0001567619-20-007775 · doc1.xml · nonDerivative · entry 1

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,877

F1 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016.

SEC source: 0001567619-20-007772 · doc1.xml · derivative · entry 7

Bishop Michael S. · CIK 0001523478 · EVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,015

Underlying: Common Stock · 4,681 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.

F2 · derivative.exercise_price: Restricted stock units were converted into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On April 5, 2018, the reporting person was granted restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

F4 · derivative.expiration_date: On April 5, 2018, the reporting person was granted restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

SEC source: 0001567619-20-007772 · doc1.xml · derivative · entry 6

Bishop Michael S. · CIK 0001523478 · EVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,697

Underlying: Common Stock · 4,861 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.

F2 · derivative.exercise_price: Restricted stock units were converted into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On April 6, 2017, the reporting person was granted restricted stock units, which vest 1/3 on each of the first, second, and third anniversaries of the date of grant, subject to continued employment.

F3 · derivative.expiration_date: On April 6, 2017, the reporting person was granted restricted stock units, which vest 1/3 on each of the first, second, and third anniversaries of the date of grant, subject to continued employment.

SEC source: 0001567619-20-007772 · doc1.xml · nonDerivative · entry 5

Bishop Michael S. · CIK 0001523478 · EVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,541

SEC source: 0001567619-20-007772 · doc1.xml · nonDerivative · entry 4

Bishop Michael S. · CIK 0001523478 · EVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,008

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

F2 · price: Restricted stock units were converted into common stock on a one-for-one basis.

SEC source: 0001567619-20-007772 · doc1.xml · nonDerivative · entry 3

Bishop Michael S. · CIK 0001523478 · EVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,327

SEC source: 0001567619-20-007772 · doc1.xml · nonDerivative · entry 2

Bishop Michael S. · CIK 0001523478 · EVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,851

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

F2 · price: Restricted stock units were converted into common stock on a one-for-one basis.

SEC source: 0001567619-20-007772 · doc1.xml · nonDerivative · entry 1

Bishop Michael S. · CIK 0001523478 · EVP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,990

F1 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016.

SEC source: 0001567619-20-007765 · doc1.xml · derivative · entry 7

Arasimowicz Jennifer D · CIK 0001702985 · EVP, Gen. Counsel, CAO, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,183

Underlying: Common Stock · 4,681 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.

F2 · derivative.exercise_price: Restricted stock units were converted into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On April 5, 2018, the reporting person was granted restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

F4 · derivative.expiration_date: On April 5, 2018, the reporting person was granted restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

SEC source: 0001567619-20-007765 · doc1.xml · derivative · entry 6

Arasimowicz Jennifer D · CIK 0001702985 · EVP, Gen. Counsel, CAO, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,864

Underlying: Common Stock · 4,166 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.

F2 · derivative.exercise_price: Restricted stock units were converted into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On April 6, 2017, the reporting person was granted restricted stock units, which vest 1/4 on each of the first, second, third, and fourth anniversaries of the date of grant, subject to continued employment.

F3 · derivative.expiration_date: On April 6, 2017, the reporting person was granted restricted stock units, which vest 1/4 on each of the first, second, third, and fourth anniversaries of the date of grant, subject to continued employment.

SEC source: 0001567619-20-007765 · doc1.xml · nonDerivative · entry 5

Arasimowicz Jennifer D · CIK 0001702985 · EVP, Gen. Counsel, CAO, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,310

SEC source: 0001567619-20-007765 · doc1.xml · nonDerivative · entry 4

Arasimowicz Jennifer D · CIK 0001702985 · EVP, Gen. Counsel, CAO, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,778

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

F2 · price: Restricted stock units were converted into common stock on a one-for-one basis.

SEC source: 0001567619-20-007765 · doc1.xml · nonDerivative · entry 3

Arasimowicz Jennifer D · CIK 0001702985 · EVP, Gen. Counsel, CAO, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,097

SEC source: 0001567619-20-007765 · doc1.xml · nonDerivative · entry 2

Arasimowicz Jennifer D · CIK 0001702985 · EVP, Gen. Counsel, CAO, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,403

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

F2 · price: Restricted stock units were converted into common stock on a one-for-one basis.

SEC source: 0001567619-20-007765 · doc1.xml · nonDerivative · entry 1

Arasimowicz Jennifer D · CIK 0001702985 · EVP, Gen. Counsel, CAO, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,237

F1 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016.

SEC source: 0001567619-20-004575 · doc1.xml · derivative · entry 1

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,347

Underlying: Common Stock · 8,302 shares

Expires not disclosed

F1 · derivative.exercise_price: Common Stock Units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, the shares of common stock underlying the Common Stock Units are payable to the reporting person, on a one-for-one basis (i.e., one share of common stock for each Common Stock Unit), on the date following the FuelCell Energy 2020 Annual Meeting of Stockholders.

F2 · kind: Forfeiture of non-employee director compensation in connection with and following appointment as CEO.

F1 · derivative.exercise_date: Common Stock Units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, the shares of common stock underlying the Common Stock Units are payable to the reporting person, on a one-for-one basis (i.e., one share of common stock for each Common Stock Unit), on the date following the FuelCell Energy 2020 Annual Meeting of Stockholders.

F1 · derivative.expiration_date: Common Stock Units issued to the reporting person pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan. In accordance with elections made by the reporting person under the Directors Deferred Compensation Plan, the shares of common stock underlying the Common Stock Units are payable to the reporting person, on a one-for-one basis (i.e., one share of common stock for each Common Stock Unit), on the date following the FuelCell Energy 2020 Annual Meeting of Stockholders.

F5 · balance_after: Balance reflects 1-for-12 reverse stock split effected May 9, 2019.

SEC source: 0001225208-20-002183 · doc4.xml · derivative · entry 3

Lisowski Michael · CIK 0001779369 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,496

Underlying: Common Stock · 1,247 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.

F1 · derivative.exercise_price: Restricted stock units were converted into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On January 31, 2018, the reporting person was granted 4,990 restricted stock units, which vest 25% on each of the first, second, third and fourth anniversaries of the date of grant, subject to continued employment.

F4 · derivative.expiration_date: On January 31, 2018 the reporting person was granted 4,990 restricted stock units, which vest 25% on each of the first. second, third and fourth anniversaries of the date of grant, subject to continued employment.

SEC source: 0001225208-20-002183 · doc4.xml · nonDerivative · entry 2

Lisowski Michael · CIK 0001779369 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,939

F2 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the restricted stock units granted on January 31, 2018.

SEC source: 0001225208-20-002183 · doc4.xml · nonDerivative · entry 1

Lisowski Michael · CIK 0001779369 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,319

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 · price: Restricted stock units were converted into common stock on a one-for-one basis.

SEC source: 0001567619-20-004575 · doc1.xml · derivative · entry 2

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,629

Underlying: Common Stock · 8,738 shares

Expires not disclosed

F3 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of common stock, or at the election of the Compensation Committee, the cash value thereof.

F2 · kind: Forfeiture of non-employee director compensation in connection with and following appointment as CEO.

F4 · derivative.exercise_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

F4 · derivative.expiration_date: These restricted stock units (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020 and (ii) are to be settled in cash or in shares of FuelCell Energy common stock, at the discretion of the Compensation Committee.

F5 · balance_after: Balance reflects 1-for-12 reverse stock split effected May 9, 2019.

SEC source: 0001567619-19-022493 · doc1.xml · derivative · entry 2

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,065

Underlying: Common Stock · 21,065 shares

Expires not disclosed

F2 · derivative.exercise_price: Each Restricted Stock Unit represents a contingent right to receive one share of common stock upon vesting of the Restricted Stock Unit.

F3 · kind: Awarded under the FuelCell Energy, Inc. 2018 Omnibus Incentive Plan.

F1 · shares: For services rendered as director.

F2 · price: Each Restricted Stock Unit represents a contingent right to receive one share of common stock upon vesting of the Restricted Stock Unit.

F4 · derivative.exercise_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan.

F4 · derivative.expiration_date: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2020, and (ii) are to be settled in cash or in shares of the Company's common stock, at the discretion of the Compensation Committee, as the administrator under the Plan.

SEC source: 0001567619-19-022493 · doc1.xml · nonDerivative · entry 1

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,012

F1 · shares: For services rendered as director.

SEC source: 0001225208-19-006611 · doc4.xml · derivative · entry 7

Rauseo Anthony · CIK 0001495929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,694

Underlying: Common Stock · 58,333 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.

F1 · derivative.exercise_price: Restricted stock units were converted into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On April 6, 2017, the reporting person was granted 175,000 restricted stock units, which vest 1/3 on each of the first, second, and third anniversaries of the date of grant, subject to continued employment.

F4 · derivative.expiration_date: On April 6, 2017, the reporting person was granted 175,000 restricted stock units, which vest 1/3 on each of the first, second, and third anniversaries of the date of grant, subject to continued employment.

SEC source: 0001225208-19-006611 · doc4.xml · derivative · entry 6

Rauseo Anthony · CIK 0001495929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 329,027

Underlying: Common Stock · 56,179 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.

F1 · derivative.exercise_price: Restricted stock units were converted into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On April 5, 2018, the reporting person was granted 168,539 restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

F3 · derivative.expiration_date: On April 5, 2018, the reporting person was granted 168,539 restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

SEC source: 0001225208-19-006611 · doc4.xml · nonDerivative · entry 5

Rauseo Anthony · CIK 0001495929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 209,883

F2 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016.

SEC source: 0001225208-19-006611 · doc4.xml · nonDerivative · entry 4

Rauseo Anthony · CIK 0001495929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,862

SEC source: 0001225208-19-006611 · doc4.xml · nonDerivative · entry 3

Rauseo Anthony · CIK 0001495929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,236

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 · price: Restricted stock units were converted into common stock on a one-for-one basis.

SEC source: 0001225208-19-006610 · doc4.xml · derivative · entry 7

Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 416,160

Underlying: Common Stock · 110,167 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.

F1 · derivative.exercise_price: Restricted stock units were converted into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On April 6, 2017. The reporting person was granted 330,500 restricted stock units, which vest 1/3 on each of the first, second, and third anniversaries of the date of grant, subject to continued employment.

F4 · derivative.expiration_date: On April 6, 2017. The reporting person was granted 330,500 restricted stock units, which vest 1/3 on each of the first, second, and third anniversaries of the date of grant, subject to continued employment.

SEC source: 0001225208-19-006610 · doc4.xml · nonDerivative · entry 5

Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 402,658

SEC source: 0001225208-19-006610 · doc4.xml · nonDerivative · entry 4

Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 434,386

F2 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016.

SEC source: 0001225208-19-006610 · doc4.xml · nonDerivative · entry 3

Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 441,776

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 · price: Restricted stock units were converted into common stock on a one-for-one basis.

SEC source: 0001225208-19-006609 · doc4.xml · derivative · entry 7

Bishop Michael S. · CIK 0001523478 · Sr VP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 270,694

Underlying: Common Stock · 58,333 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.

F1 · derivative.exercise_price: Restricted stock units were converted into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On April 6, 2017, the reporting person was granted 175,000 restricted stock units, which vest 1/3 on each of the first, second, and third anniversaries of the date of grant, subject to continued employment.

F4 · derivative.expiration_date: On April 6, 2017, the reporting person was granted 175,000 restricted stock units, which vest 1/3 on each of the first, second, and third anniversaries of the date of grant, subject to continued employment.

SEC source: 0001225208-19-006609 · doc4.xml · nonDerivative · entry 5

Bishop Michael S. · CIK 0001523478 · Sr VP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 196,156

SEC source: 0001225208-19-006609 · doc4.xml · nonDerivative · entry 4

Bishop Michael S. · CIK 0001523478 · Sr VP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,530

F2 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016.

SEC source: 0001225208-19-006609 · doc4.xml · nonDerivative · entry 3

Bishop Michael S. · CIK 0001523478 · Sr VP, CFO & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,509

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 · price: Restricted stock units were converted into common stock on a one-for-one basis.

SEC source: 0001225208-19-006608 · doc4.xml · derivative · entry 7

Arasimowicz Jennifer D · CIK 0001702985 · Sr. VP, General Counsel, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 312,360

Underlying: Common Stock · 50,000 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.

F1 · derivative.exercise_price: Restricted stock units were converted into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On April 6, 2017. the reporting person was granted 200,000 restricted stock units, which vest 1/4 on each of the first, second, third, and fourth anniversaries of the date of grant, subject to continued employment.

F4 · derivative.expiration_date: On April 6, 2017. the reporting person was granted 200,000 restricted stock units, which vest 1/4 on each of the first, second, third, and fourth anniversaries of the date of grant, subject to continued employment.

SEC source: 0001225208-19-006608 · doc4.xml · nonDerivative · entry 5

Arasimowicz Jennifer D · CIK 0001702985 · Sr. VP, General Counsel, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,590

SEC source: 0001225208-19-006608 · doc4.xml · nonDerivative · entry 4

Arasimowicz Jennifer D · CIK 0001702985 · Sr. VP, General Counsel, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,911

F2 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of a portion of the Restricted Stock granted on April 7, 2016.

SEC source: 0001225208-19-006608 · doc4.xml · nonDerivative · entry 3

Arasimowicz Jennifer D · CIK 0001702985 · Sr. VP, General Counsel, Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 130,779

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 · price: Restricted stock units were converted into common stock on a one-for-one basis.

SEC source: 0001225208-19-006611 · doc4.xml · nonDerivative · entry 2

Rauseo Anthony · CIK 0001495929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,903

SEC source: 0001225208-19-006611 · doc4.xml · nonDerivative · entry 1

Rauseo Anthony · CIK 0001495929 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,487

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 · price: Restricted stock units were converted into common stock on a one-for-one basis.

SEC source: 0001225208-19-006610 · doc4.xml · derivative · entry 6

Bottone Arthur A. Jr. · CIK 0001484341 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 526,327

Underlying: Common Stock · 102,996 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.

F1 · derivative.exercise_price: Restricted stock units were converted into common stock on a one-for-one basis.

F3 · derivative.exercise_date: On April 5, 2018, the reporting person was granted 308,989 restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.

F3 · derivative.expiration_date: On April 5, 2018, the reporting person was granted 308,989 restricted stock units, which vest 1/3 on each of the first, second and third anniversaries of the date of grant, subject to continued employment.