FCEL

SEC source: 0000897069-23-001685 · form4.xml · derivative · entry 7

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,610 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.

F6 · derivative.exercise_date: On November 24, 2020, 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.

F6 · derivative.expiration_date: On November 24, 2020, 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: 0000897069-23-001685 · form4.xml · nonDerivative · entry 6

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 128,760

F4 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of performance share units.

SEC source: 0000897069-23-001685 · form4.xml · nonDerivative · entry 5

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,883

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 · shares: Represents shares issued in settlement of earned performance share units.

F5 · price: Represents shares issued in settlement of earned performance share units.

SEC source: 0000897069-23-001685 · form4.xml · nonDerivative · entry 4

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 118,197

F4 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of performance share units.

SEC source: 0000897069-23-001685 · form4.xml · nonDerivative · entry 3

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 143,007

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

F3 · shares: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 26,769).

F3 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 26,769).

SEC source: 0000897069-23-001685 · form4.xml · nonDerivative · entry 2

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,469

F2 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of restricted stock units.

SEC source: 0000897069-23-001685 · form4.xml · nonDerivative · entry 1

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,923

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: 0000897069-23-001683 · form4.xml · derivative · entry 9

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,395 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: Represents shares issued in settlement of earned performance share units.

F5 · price: Represents shares issued in settlement of earned performance share units.

F8 · derivative.exercise_date: On November 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2023, subject to continued employment until the third anniversary of the grant date (November 24, 2023). The performance goal was the TSR of the Company relative to the TSR of the Russell 2000 Index during the performance period. The Compensation Committee certified achievement at 73.54% of the target number previously reported (16,855), resulting in the award of 12,395 shares.

F8 · derivative.expiration_date: On November 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2023, subject to continued employment until the third anniversary of the grant date (November 24, 2023). The performance goal was the TSR of the Company relative to the TSR of the Russell 2000 Index during the performance period. The Compensation Committee certified achievement at 73.54% of the target number previously reported (16,855), resulting in the award of 12,395 shares.

SEC source: 0000897069-23-001683 · form4.xml · derivative · entry 8

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 33,710 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: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 16,855).

F3 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 16,855).

F7 · derivative.exercise_date: On November 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2023, subject to continued employment until the third anniversary of the grant date (November 24, 2023). The performance goal was an increase in the Company's stock price during the performance period. The maximum number of performance shares that could be earned based on performance was two times the target number previously reported (16,855). The Compensation Committee certified achievement at 200% of the target number, resulting in the award of 33,710 shares.

F7 · derivative.expiration_date: On November 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2023, subject to continued employment until the third anniversary of the grant date (November 24, 2023). The performance goal was an increase in the Company's stock price during the performance period. The maximum number of performance shares that could be earned based on performance was two times the target number previously reported (16,855). The Compensation Committee certified achievement at 200% of the target number, resulting in the award of 33,710 shares.

SEC source: 0000897069-23-001683 · form4.xml · derivative · entry 7

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,051 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.

F6 · derivative.exercise_date: On November 24, 2020, 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.

F6 · derivative.expiration_date: On November 24, 2020, 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: 0000897069-23-001683 · form4.xml · nonDerivative · entry 6

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,053

F4 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of performance share units.

SEC source: 0000897069-23-001683 · form4.xml · nonDerivative · entry 5

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,938

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 · shares: Represents shares issued in settlement of earned performance share units.

F5 · price: Represents shares issued in settlement of earned performance share units.

SEC source: 0000897069-23-001683 · form4.xml · nonDerivative · entry 4

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 90,543

F4 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of performance share units.

SEC source: 0000897069-23-001683 · form4.xml · nonDerivative · entry 3

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,108

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

F3 · shares: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 16,855).

F3 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 16,855).

SEC source: 0000897069-23-001683 · form4.xml · nonDerivative · entry 2

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,398

F2 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of restricted stock units.

SEC source: 0000897069-23-001683 · form4.xml · nonDerivative · entry 1

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,295

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: 0000897069-23-001679 · form4.xml · derivative · entry 9

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,686 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: Represents shares issued in settlement of earned performance share units.

F5 · price: Represents shares issued in settlement of earned performance share units.

F8 · derivative.exercise_date: On November 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2023, subject to continued employment until the third anniversary of the grant date (November 24, 2023). The performance goal was the TSR of the Company relative to the TSR of the Russell 2000 Index during the performance period. The Compensation Committee certified achievement at 73.54% of the target number previously reported (26,769), resulting in the award of 19,686 shares.

F8 · derivative.expiration_date: On November 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2023, subject to continued employment until the third anniversary of the grant date (November 24, 2023). The performance goal was the TSR of the Company relative to the TSR of the Russell 2000 Index during the performance period. The Compensation Committee certified achievement at 73.54% of the target number previously reported (26,769), resulting in the award of 19,686 shares.

SEC source: 0000897069-23-001679 · form4.xml · derivative · entry 8

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 53,538 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: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 26,769).

F3 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 26,769).

F7 · derivative.exercise_date: On November 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2023, subject to continued employment until the third anniversary of the grant date (November 24, 2023). The performance goal was an increase in the Company's stock price during the performance period. The maximum number of performance shares that could be earned based on performance was two times the target number previously reported (26,769). The Compensation Committee certified achievement at 200% of the target number, resulting in the award of 53,538 shares.

F7 · derivative.expiration_date: On November 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2023, subject to continued employment until the third anniversary of the grant date (November 24, 2023). The performance goal was an increase in the Company's stock price during the performance period. The maximum number of performance shares that could be earned based on performance was two times the target number previously reported (26,769). The Compensation Committee certified achievement at 200% of the target number, resulting in the award of 53,538 shares.

SEC source: 0000897069-23-001679 · form4.xml · derivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,610 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.

F6 · derivative.exercise_date: On November 24, 2020, 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.

F6 · derivative.expiration_date: On November 24, 2020, 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: 0000897069-23-001679 · form4.xml · nonDerivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 152,028

F4 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of performance share units.

SEC source: 0000897069-23-001679 · form4.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 161,151

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 · shares: Represents shares issued in settlement of earned performance share units.

F5 · price: Represents shares issued in settlement of earned performance share units.

SEC source: 0000897069-23-001679 · form4.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 141,465

F4 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of performance share units.

SEC source: 0000897069-23-001679 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,275

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

F3 · shares: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 26,769).

F3 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 26,769).

SEC source: 0000897069-23-001679 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 112,737

F2 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of restricted stock units.

SEC source: 0000897069-23-001679 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,191

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: 0000897069-23-001482 · form4.xml · derivative · entry 1

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 260,618

Underlying: Common Stock · 22,772 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. Director Compensation Program. As such fees are being deferred pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan, deferred common stock units are being issued to the reporting person. 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), upon separation from service as a director.

F1 · derivative.exercise_date: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. Director Compensation Program. As such fees are being deferred pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan, deferred common stock units are being issued to the reporting person. 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), upon separation from service as a director.

F1 · derivative.expiration_date: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. Director Compensation Program. As such fees are being deferred pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan, deferred common stock units are being issued to the reporting person. 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), upon separation from service as a director.

SEC source: 0000897069-23-001480 · form4.xml · derivative · entry 1

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 150,419

Underlying: Common Stock · 4,070 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. Director Compensation Program. As such fees are being deferred pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan, deferred common stock units are being issued to the reporting person. 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), upon separation from service as a director.

F1 · derivative.exercise_date: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. Director Compensation Program. As such fees are being deferred pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan, deferred common stock units are being issued to the reporting person. 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), upon separation from service as a director.

F1 · derivative.expiration_date: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. Director Compensation Program. As such fees are being deferred pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan, deferred common stock units are being issued to the reporting person. 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), upon separation from service as a director.

SEC source: 0000897069-23-001478 · form4.xml · derivative · entry 1

Hansen Cynthia L · CIK 0001629601 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 108,491

Underlying: Common Stock · 13,082 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. Director Compensation Program. As such fees are being deferred pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan, deferred common stock units are being issued to the reporting person. 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), upon separation from service as a director.

F1 · derivative.exercise_date: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. Director Compensation Program. As such fees are being deferred pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan, deferred common stock units are being issued to the reporting person. 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), upon separation from service as a director.

F1 · derivative.expiration_date: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. Director Compensation Program. As such fees are being deferred pursuant to the FuelCell Energy, Inc. Directors Deferred Compensation Plan, deferred common stock units are being issued to the reporting person. 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), upon separation from service as a director.

SEC source: 0000897069-23-001277 · form4.xml · derivative · entry 9

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 42,277 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 share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 37,446).

F5 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 37,446).

F8 · derivative.exercise_date: On August 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2022, subject to continued employment until the third anniversary of the grant date (August 24, 2023). The performance goal was the TSR of the Company relative to the TSR of the Russell 2000 Index during the performance period. While the maximum number of performance shares that could have been earned based on performance was two times the target number previously reported (37,446), the Compensation Committee certified achievement at 112.9% of the target number, resulting in the award of 42,277 shares.

F8 · derivative.expiration_date: On August 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2022, subject to continued employment until the third anniversary of the grant date (August 24, 2023). The performance goal was the TSR of the Company relative to the TSR of the Russell 2000 Index during the performance period. While the maximum number of performance shares that could have been earned based on performance was two times the target number previously reported (37,446), the Compensation Committee certified achievement at 112.9% of the target number, resulting in the award of 42,277 shares.

SEC source: 0000897069-23-001277 · form4.xml · derivative · entry 8

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 74,892 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: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 37,446).

F3 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 37,446).

F7 · derivative.exercise_date: On August 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date (August 24, 2023). The performance goal was an increase in the Company's stock price during the performance period. The maximum number of performance shares that could be earned based on performance was two times the target number previously reported (37,446). The Compensation Committee certified achievement at 200% of the target number, resulting in the award of 74,892 shares.

F7 · derivative.expiration_date: On August 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date (August 24, 2023). The performance goal was an increase in the Company's stock price during the performance period. The maximum number of performance shares that could be earned based on performance was two times the target number previously reported (37,446). The Compensation Committee certified achievement at 200% of the target number, resulting in the award of 74,892 shares.

SEC source: 0000897069-23-001277 · form4.xml · derivative · entry 7

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,241 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.

F6 · derivative.exercise_date: On August 24, 2020, 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.

F6 · derivative.expiration_date: On August 24, 2020, 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: 0000897069-23-001277 · form4.xml · nonDerivative · entry 6

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,581

F4 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of performance share units.

SEC source: 0000897069-23-001277 · form4.xml · nonDerivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 127,173

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 · shares: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 37,446).

F5 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 37,446).

SEC source: 0000897069-23-001277 · form4.xml · nonDerivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 84,896

F4 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of performance share units.

SEC source: 0000897069-23-001277 · form4.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,601

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

F3 · shares: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 37,446).

F3 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 37,446).

SEC source: 0000897069-23-001277 · form4.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,709

F2 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of restricted stock units.

SEC source: 0000897069-23-001277 · form4.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 47,602

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: 0000897069-23-001279 · form4.xml · derivative · entry 9

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,601 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 share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 16,476).

F5 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 16,476).

F8 · derivative.exercise_date: On August 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2022, subject to continued employment until the third anniversary of the grant date (August 24, 2023). The performance goal was the TSR of the Company relative to the TSR of the Russell 2000 Index during the performance period. While the maximum number of performance shares that could have been earned based on performance was two times the target number previously reported (16,476), the Compensation Committee certified achievement at 112.9% of the target number, resulting in the award of 18,601 shares.

F8 · derivative.expiration_date: On August 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2022, subject to continued employment until the third anniversary of the grant date (August 24, 2023). The performance goal was the TSR of the Company relative to the TSR of the Russell 2000 Index during the performance period. While the maximum number of performance shares that could have been earned based on performance was two times the target number previously reported (16,476), the Compensation Committee certified achievement at 112.9% of the target number, resulting in the award of 18,601 shares.

SEC source: 0000897069-23-001279 · form4.xml · derivative · entry 8

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 32,952 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: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 16,476).

F3 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 16,476).

F7 · derivative.exercise_date: On August 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date (August 24, 2023). The performance goal was an increase in the Company's stock price during the performance period. The maximum number of performance shares that could be earned based on performance was two times the target number previously reported (16,476). The Compensation Committee certified achievement at 200% of the target number, resulting in the award of 32,952 shares.

F7 · derivative.expiration_date: On August 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date (August 24, 2023). The performance goal was an increase in the Company's stock price during the performance period. The maximum number of performance shares that could be earned based on performance was two times the target number previously reported (16,476). The Compensation Committee certified achievement at 200% of the target number, resulting in the award of 32,952 shares.

SEC source: 0000897069-23-001279 · form4.xml · derivative · entry 7

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,746 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.

F6 · derivative.exercise_date: On August 24, 2020, 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.

F6 · derivative.expiration_date: On August 24, 2020, 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: 0000897069-23-001279 · form4.xml · nonDerivative · entry 6

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,244

F4 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of performance share units.

SEC source: 0000897069-23-001279 · form4.xml · nonDerivative · entry 5

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,074

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 · shares: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 16,476).

F5 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 16,476).

SEC source: 0000897069-23-001279 · form4.xml · nonDerivative · entry 4

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,473

F4 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of performance share units.

SEC source: 0000897069-23-001279 · form4.xml · nonDerivative · entry 3

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,801

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

F3 · shares: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 16,476).

F3 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 16,476).

SEC source: 0000897069-23-001279 · form4.xml · nonDerivative · entry 2

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,849

F2 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of restricted stock units.

SEC source: 0000897069-23-001279 · form4.xml · nonDerivative · entry 1

Leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,710

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: 0000897069-23-001275 · form4.xml · derivative · entry 9

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 84,553 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 share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 74,892).

F5 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 74,892).

F8 · derivative.exercise_date: On August 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2022, subject to continued employment until the third anniversary of the grant date (August 24, 2023). The performance goal was the TSR of the Company relative to the TSR of the Russell 2000 Index during the performance period. While the maximum number of performance shares that could have been earned based on performance was two times the target number previously reported (74,892), the Compensation Committee certified achievement at 112.9% of the target number, resulting in the award of 84,553 shares.

F8 · derivative.expiration_date: On August 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ended October 31, 2022, subject to continued employment until the third anniversary of the grant date (August 24, 2023). The performance goal was the TSR of the Company relative to the TSR of the Russell 2000 Index during the performance period. While the maximum number of performance shares that could have been earned based on performance was two times the target number previously reported (74,892), the Compensation Committee certified achievement at 112.9% of the target number, resulting in the award of 84,553 shares.

SEC source: 0000897069-23-001275 · form4.xml · derivative · entry 8

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 149,784 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: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 74,892).

F3 · price: Each performance share unit represents the right to receive a single share of common stock, and the number of performance shares that could be earned could range up to two times the reported target number of performance share units (which was 74,892).

F7 · derivative.exercise_date: On August 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date (August 24, 2023). The performance goal was an increase in the Company's stock price during the performance period. The maximum number of performance shares that could be earned based on performance was two times the target number previously reported (74,892). The Compensation Committee certified achievement at 200% of the target number, resulting in the award of 149,784 shares.

F7 · derivative.expiration_date: On August 24, 2020, the reporting person was granted performance shares which were based on performance over the three-year performance period ending October 31, 2022, subject to continued employment until the third anniversary of the grant date (August 24, 2023). The performance goal was an increase in the Company's stock price during the performance period. The maximum number of performance shares that could be earned based on performance was two times the target number previously reported (74,892). The Compensation Committee certified achievement at 200% of the target number, resulting in the award of 149,784 shares.

SEC source: 0000897069-23-001275 · form4.xml · derivative · entry 7

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,482 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.

F6 · derivative.exercise_date: On August 24, 2020, 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.

F6 · derivative.expiration_date: On August 24, 2020, 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: 0000897069-23-001275 · form4.xml · nonDerivative · entry 6

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 633,744

F4 · kind: Represents shares withheld to satisfy tax obligations upon the vesting of performance share units.