FCEL

SEC source: 0001567619-22-016719 · doc1.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,599

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: 0001567619-22-014194 · doc1.xml · derivative · entry 1

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 145,415

Underlying: Common Stock · 8,417 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2022 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. 2022 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. 2022 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: 0001567619-22-014192 · doc1.xml · derivative · entry 1

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,637

Underlying: Common Stock · 1,505 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2022 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. 2022 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. 2022 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: 0001567619-22-014190 · doc1.xml · derivative · entry 1

Hansen Cynthia L · CIK 0001629601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,486

Underlying: Common Stock · 4,836 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2022 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. 2022 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. 2022 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: 0001567619-22-014183 · doc1.xml · derivative · entry 1

Bingham Betsy B · CIK 0001896667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,212

Underlying: Common Stock · 4,836 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2022 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 in annual installments over a three year period.

F1 · derivative.exercise_date: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2022 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 in annual installments over a three year period.

F1 · derivative.expiration_date: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2022 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 in annual installments over a three year period.

SEC source: 0001567619-22-011112 · doc1.xml · derivative · entry 3

Feasel Mark · CIK 0001921889 · EVP & Ch. Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,566

Underlying: Common Stock · 19,566 shares

Expires not disclosed

F4 · derivative.exercise_date: On May 16, 2022, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period ending October 31, 2024, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

F4 · derivative.expiration_date: On May 16, 2022, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period ending October 31, 2024, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

SEC source: 0001567619-22-011112 · doc1.xml · derivative · entry 2

Feasel Mark · CIK 0001921889 · EVP & Ch. Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,565

Underlying: Common Stock · 19,565 shares

Expires not disclosed

F1 · 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 · derivative.exercise_date: On May 16, 2022, the reporting person was granted restricted stock units, which vest 1/3 on each of December 10, 2022, December 10, 2023 and December 10, 2024, subject to continued employment.

F3 · derivative.expiration_date: On May 16, 2022, the reporting person was granted restricted stock units, which vest 1/3 on each of December 10, 2022, December 10, 2023 and December 10, 2024, subject to continued employment.

SEC source: 0001567619-22-011112 · doc1.xml · derivative · entry 1

Feasel Mark · CIK 0001921889 · EVP & Ch. Commercial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,986

Underlying: Common Stock · 166,986 shares

Expires not disclosed

F1 · 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.

F2 · derivative.exercise_date: On May 16, 2022, the reporting person was granted restricted stock units, which vest 50% on each of March 24, 2023 and March 25, 2024, subject to continued employment through such dates.

F2 · derivative.expiration_date: On May 16, 2022, the reporting person was granted restricted stock units, which vest 50% on each of March 24, 2023 and March 25, 2024, subject to continued employment through such dates.

SEC source: 0001567619-22-008676 · doc1.xml · derivative · entry 1

Bingham Betsy B · CIK 0001896667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,376

Underlying: Common Stock · 3,209 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2021 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 in annual installments over a three year period.

F1 · derivative.exercise_date: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2021 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 in annual installments over a three year period.

F1 · derivative.expiration_date: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2021 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 in annual installments over a three year period.

SEC source: 0001567619-22-008674 · doc1.xml · derivative · entry 1

Hansen Cynthia L · CIK 0001629601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,650

Underlying: Common Stock · 3,209 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2021 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. 2021 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. 2021 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: 0001567619-22-008672 · doc1.xml · derivative · entry 1

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,998

Underlying: Common Stock · 5,585 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2021 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. 2021 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. 2021 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: 0001567619-22-008670 · doc1.xml · derivative · entry 1

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,132

Underlying: Common Stock · 999 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2021 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. 2021 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. 2021 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: 0001567619-22-008393 · doc1.xml · derivative · entry 1

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,413

Underlying: Common Stock · 13,441 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred 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), upon separation from service as a director.

F1 · derivative.exercise_date: Deferred 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), upon separation from service as a director.

F1 · derivative.expiration_date: Deferred 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), upon separation from service as a director.

F2 · balance_after: Balance includes the 4/7/2022 vesting of 5,919 restricted stock units that were deferred by the reporting person.

SEC source: 0001567619-22-008390 · doc1.xml · derivative · entry 1

HILZINGER MATTHEW F · CIK 0001184017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,430

Underlying: Common Stock · 13,441 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred 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), upon separation from service as a director.

F1 · derivative.exercise_date: Deferred 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), upon separation from service as a director.

F1 · derivative.expiration_date: Deferred 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), upon separation from service as a director.

F2 · balance_after: Balance reflects the 4/7/2022 vesting of 5,919 restricted stock units that were deferred by the reporting person.

SEC source: 0001567619-22-008388 · doc1.xml · derivative · entry 1

Bingham Betsy B · CIK 0001896667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,167

Underlying: Common Stock · 13,441 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred 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), upon separation from service as a director in annual installments over a three year period.

F1 · derivative.exercise_date: Deferred 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), upon separation from service as a director in annual installments over a three year period.

F1 · derivative.expiration_date: Deferred 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), upon separation from service as a director in annual installments over a three year period.

F2 · balance_after: Balance reflects the 4/7/2022 vesting of 3,067 restricted stock units that were deferred by the reporting person.

SEC source: 0001567619-22-008385 · doc1.xml · derivative · entry 3

Hansen Cynthia L · CIK 0001629601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,441

Underlying: Common Stock · 13,441 shares

Expires not disclosed

F3 · derivative.exercise_price: Deferred 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), upon separation from service as a director.

F3 · derivative.exercise_date: Deferred 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), upon separation from service as a director.

F3 · derivative.expiration_date: Deferred 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), upon separation from service as a director.

SEC source: 0001567619-22-008385 · doc1.xml · derivative · entry 2

Hansen Cynthia L · CIK 0001629601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,165 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: Each?restricted?stock?unit?represented?a?contingent?right?to?receive?one?share?of?common?stock?or,?at?the?election?of?the?Compensation?Committee,?the?cash?value?thereof.

F2 · derivative.exercise_date: These?restricted?stock?units?(i)?vested?on?the?date?of?the?regularly?scheduled?annual?meeting?of?the?stockholders?of?the?Company?held?in?2022?(i.e., April 7, 2022) and?(ii)?were?settled?in shares?of?FuelCell?Energy?common?stock.

F2 · derivative.expiration_date: These?restricted?stock?units?(i)?vested?on?the?date?of?the?regularly?scheduled?annual?meeting?of?the?stockholders?of?the?Company?held?in?2022?(i.e., April 7, 2022) and?(ii)?were?settled?in shares?of?FuelCell?Energy?common?stock.

SEC source: 0001567619-22-008385 · doc1.xml · nonDerivative · entry 1

Hansen Cynthia L · CIK 0001629601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,579

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.

SEC source: 0001567619-22-008383 · doc1.xml · derivative · entry 3

Sims Wilson Donna · CIK 0001878855 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,441

Underlying: Common Stock · 13,441 shares

Expires not disclosed

F3 · derivative.exercise_price: Deferred 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), upon separation from service as a director.

F3 · derivative.exercise_date: Deferred 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), upon separation from service as a director.

F3 · derivative.expiration_date: Deferred 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), upon separation from service as a director.

SEC source: 0001567619-22-008383 · doc1.xml · derivative · entry 2

Sims Wilson Donna · CIK 0001878855 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,143 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: Each?restricted?stock?unit?represented?a?contingent?right?to?receive?one?share?of?common?stock?or,?at?the?election?of?the?Compensation?Committee,?the?cash?value?thereof.

F2 · derivative.exercise_date: These?restricted?stock?units?(i)?vested?on?the?date?of?the?regularly?scheduled?annual?meeting?of?the?stockholders?of?the?Company?held?in?2022?(i.e., April 7, 2022) and?(ii)?were?settled?in shares?of?FuelCell?Energy?common?stock.

F2 · derivative.expiration_date: These?restricted?stock?units?(i)?vested?on?the?date?of?the?regularly?scheduled?annual?meeting?of?the?stockholders?of?the?Company?held?in?2022?(i.e., April 7, 2022) and?(ii)?were?settled?in shares?of?FuelCell?Energy?common?stock.

SEC source: 0001567619-22-008383 · doc1.xml · nonDerivative · entry 1

Sims Wilson Donna · CIK 0001878855 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,143

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.

SEC source: 0001567619-22-008380 · doc1.xml · derivative · entry 2

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,919 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: Each restricted stock unit represented a contingent right to receive one share of common stock or, at the election of the Compensation Committee, the cash value thereof.

F2 · derivative.exercise_date: These restricted stock units (i) vested on the date of the regularly scheduled annual meeting of the stockholders of the Company held in 2022 (i.e., April 7, 2022) and (ii) were settled in shares of FuelCell Energy common stock.

F2 · derivative.expiration_date: These restricted stock units (i) vested on the date of the regularly scheduled annual meeting of the stockholders of the Company held in 2022 (i.e., April 7, 2022) and (ii) were settled in shares of FuelCell Energy common stock.

SEC source: 0001567619-22-008380 · doc1.xml · nonDerivative · entry 1

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,723

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.

SEC source: 0001567619-22-008377 · doc1.xml · derivative · entry 3

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,133

Underlying: Common Stock · 13,441 shares

Expires not disclosed

F4 · derivative.exercise_price: Deferred 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), upon separation from service as a director.

F4 · derivative.exercise_date: Deferred 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), upon separation from service as a director.

F4 · derivative.expiration_date: Deferred 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), upon separation from service as a director.

F5 · balance_after: Balance reflects the 4/7/2022 vesting of 3,946 restricted stock units that were deferred by the reporting person.

SEC source: 0001567619-22-008377 · doc1.xml · derivative · entry 2

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,973 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: Each?restricted?stock?unit?represented?a?contingent?right?to?receive?one?share?of?common?stock?or,?at?the?election?of?the?Compensation?Committee,?the?cash?value?thereof.

F3 · derivative.exercise_date: These restricted stock units (i) vested on the date of the regularly scheduled annual meeting of the stockholders of the Company held in 2022 (i.e., April 7, 2022) and (ii) were settled in shares of FuelCell Energy common stock.

F3 · derivative.expiration_date: These restricted stock units (i) vested on the date of the regularly scheduled annual meeting of the stockholders of the Company held in 2022 (i.e., April 7, 2022) and (ii) were settled in shares of FuelCell Energy common stock.

SEC source: 0001567619-22-008377 · doc1.xml · nonDerivative · entry 1

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,890

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: The balance excludes 14,367 shares inadvertently included in prior Form 4s. These shares were reported as vested in a Form 4 filed on 4/13/20, as amended by a Form 4 filed on 4/24/20. Such shares were deferred under the Directors Deferred Compensation Plan and will be received by the reporting person upon separation from service as a director.

SEC source: 0001567619-22-002290 · doc1.xml · derivative · entry 3

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,249 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: Each Restricted Stock Unit represents a contingent right to receive one share of common stock upon vesting of the Restricted Stock Unit.

F2 · 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.

F2 · 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: 0001567619-22-002290 · doc1.xml · nonDerivative · entry 2

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,614

SEC source: 0001567619-22-002290 · doc1.xml · nonDerivative · entry 1

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,078

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

SEC source: 0001567619-22-001911 · doc1.xml · nonDerivative · entry 1

Groobey John Christopher · CIK 0001795611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,804

F1 · shares: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc 2021 Director Compensation Program.

SEC source: 0001567619-22-001909 · doc1.xml · derivative · entry 1

von Althann Natica · CIK 0001477502 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,746

Underlying: Common Stock · 1,294 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2021 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. 2021 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. 2021 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: 0001567619-22-001904 · doc1.xml · derivative · entry 1

Bingham Betsy B · CIK 0001896667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,659

Underlying: Common Stock · 4,659 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2021 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. 2021 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. 2021 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: 0001567619-22-001907 · doc1.xml · nonDerivative · entry 1

Hansen Cynthia L · CIK 0001629601 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,414

F1 · shares: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc 2021 Director Compensation Program.

SEC source: 0001567619-22-001899 · doc1.xml · derivative · entry 1

England James Herbert · CIK 0001437823 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,053

Underlying: Common Stock · 6,082 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2021 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. 2021 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. 2021 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: 0001567619-22-001895 · doc1.xml · derivative · entry 1

HILZINGER MATTHEW F · CIK 0001184017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,070

Underlying: Common Stock · 1,197 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents director retainer and committee fees paid in stock pursuant to the FuelCell Energy, Inc. 2021 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. 2021 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. 2021 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: 0001567619-21-022060 · doc1.xml · derivative · entry 2

leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,131

Underlying: Common Stock · 14,131 shares

Expires not disclosed

F3 · derivative.exercise_date: On December 10, 2021, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period beginning on October 31, 2021 and ending October 31, 2024, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

F3 · derivative.expiration_date: On December 10, 2021, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period beginning on October 31, 2021 and ending October 31, 2024, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

SEC source: 0001567619-21-022060 · doc1.xml · derivative · entry 1

leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,130

Underlying: Common Stock · 14,130 shares

Expires not disclosed

F1 · 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.

F2 · derivative.exercise_date: On December 10, 2021, 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.

F2 · derivative.expiration_date: On December 10, 2021, 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: 0001567619-21-022058 · doc1.xml · derivative · entry 2

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,566

Underlying: Common Stock · 19,566 shares

Expires not disclosed

F1 · 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 · derivative.exercise_date: On December 10, 2021, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period beginning on October 31, 2021 and ending October 31, 2024, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

F3 · derivative.expiration_date: On December 10, 2021, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period beginning on October 31, 2021 and ending October 31, 2024, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

SEC source: 0001567619-21-022058 · doc1.xml · derivative · entry 1

Lisowski Michael · CIK 0001779369 · EVP & Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,565

Underlying: Common Stock · 19,565 shares

Expires not disclosed

F1 · 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.

F2 · derivative.exercise_date: On December 10, 2021, 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.

F2 · derivative.expiration_date: On December 10, 2021, 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: 0001567619-21-022052 · doc1.xml · derivative · entry 2

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

Underlying: Common Stock · 62,500 shares

Expires not disclosed

F3 · derivative.exercise_date: On December 10, 2021, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period beginning on October 31, 2021 and ending October 31, 2024, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

F3 · derivative.expiration_date: On December 10, 2021, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period beginning on October 31, 2021 and ending October 31, 2024, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

SEC source: 0001567619-21-022052 · doc1.xml · derivative · entry 1

Few Jason · CIK 0001408158 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,500

Underlying: Common Stock · 62,500 shares

Expires not disclosed

F1 · 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.

F2 · derivative.exercise_date: On December 10, 2021, 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.

F2 · derivative.expiration_date: On December 10, 2021, 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: 0001567619-21-022056 · doc1.xml · derivative · entry 3

Dolger Joshua · CIK 0001868593 · General Counsel & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,131

Underlying: Common Stock · 14,131 shares

Expires not disclosed

F4 · derivative.exercise_date: On December 10, 2021, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period beginning on October 31, 2021 and ending October 31, 2024, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

F4 · derivative.expiration_date: On December 10, 2021, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period beginning on October 31, 2021 and ending October 31, 2024, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

SEC source: 0001567619-21-022056 · doc1.xml · derivative · entry 2

Dolger Joshua · CIK 0001868593 · General Counsel & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,565

Underlying: Common Stock · 50,565 shares

Expires not disclosed

F1 · 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 · derivative.exercise_date: On December 10, 2021, the reporting person was granted restricted stock units, which vest 100% on June 25, 2024.

F3 · derivative.expiration_date: On December 10, 2021, the reporting person was granted restricted stock units, which vest 100% on June 25, 2024.

SEC source: 0001567619-21-022056 · doc1.xml · derivative · entry 1

Dolger Joshua · CIK 0001868593 · General Counsel & Corp Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,130

Underlying: Common Stock · 14,130 shares

Expires not disclosed

F1 · 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.

F2 · derivative.exercise_date: On December 10, 2021, 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.

F2 · derivative.expiration_date: On December 10, 2021, 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: 0001567619-21-022054 · doc1.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,566

Underlying: Common Stock · 19,566 shares

Expires not disclosed

F3 · derivative.exercise_date: On December 10, 2021, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period beginning on October 31, 2021 and ending October 31, 2024, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

F3 · derivative.expiration_date: On December 10, 2021, the reporting person was granted performance shares which will be earned based on performance over the three-year performance period beginning on October 31, 2021 and ending October 31, 2024, subject to continued employment until the third anniversary of the grant date. The performance goal is the TSR of the Company relative to the TSR of the Russell 2000 during the performance period. The maximum number of performance shares that can be earned based on performance is two times the target number reported in the table above.

SEC source: 0001567619-21-022054 · doc1.xml · derivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,565

Underlying: Common Stock · 19,565 shares

Expires not disclosed

F1 · 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.

F2 · derivative.exercise_date: On December 10, 2021, 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.

F2 · derivative.expiration_date: On December 10, 2021, 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: 0001567619-21-021675 · doc1.xml · derivative · entry 1

Bingham Betsy B · CIK 0001896667 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,067

Underlying: Common Stock · 3,067 shares

Expires not disclosed

F2 · derivative.exercise_price: These RSUs (i) vest on the date of the regularly scheduled annual meeting of the stockholders of the Company to be held in 2022, 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. The reporting person has elected to defer receipt of the restricted stock units until the reporting person's separation from service as a director, subject to vesting requirements.

F1 · derivative.exercise_date: 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.

F1 · derivative.expiration_date: 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.

SEC source: 0001567619-21-021241 · doc1.xml · derivative · entry 3

leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,101

Underlying: Common Stock · 6,050 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 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.

F3 · 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: 0001567619-21-021241 · doc1.xml · nonDerivative · entry 2

leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,693

F2 · shares: Represents shares withheld to satisfy tax obligations upon the vesting of Restricted Stock Units.

SEC source: 0001567619-21-021241 · doc1.xml · nonDerivative · entry 1

leo Anthony · CIK 0001779363 · EVP & Chief Technology Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,590

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.