GOGO

SEC source: 0001209191-20-036901 · doc4.xml · derivative · entry 9

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,525 shares

Expires 2028-02-17

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 5,150 shares granted on 12/14/11, (ii) options to purchase 2,575 shares granted on 6/10/13, (iii) options to purchase 11,426 shares granted on 5/30/14, (iv) options to purchase 10,000 shares granted on 5/26/15, (v) options to purchase 27,800 shares granted on 6/24/16, (vi) options to purchase (A) 23,000 shares and (B) 7,710 shares granted on 3/14/17 and (vii) options to purchase (A) 19,575 shares and (B) 6,525 shares granted on 2/17/18. In exchange, the reporting person received replacement options to purchase 52,946 shares of common stock, having an exercise price of $2.61 per share.

F10 · derivative.exercise_date: Following the elimination of the performance conditions for these options by the Compensation Committee of the Company, these options provided for vesting in four annual installments beginning on the first anniversary of February 17, 2018, subject to continued employment with the Company.

SEC source: 0001209191-20-036901 · doc4.xml · derivative · entry 8

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,575 shares

Expires 2028-02-17

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 5,150 shares granted on 12/14/11, (ii) options to purchase 2,575 shares granted on 6/10/13, (iii) options to purchase 11,426 shares granted on 5/30/14, (iv) options to purchase 10,000 shares granted on 5/26/15, (v) options to purchase 27,800 shares granted on 6/24/16, (vi) options to purchase (A) 23,000 shares and (B) 7,710 shares granted on 3/14/17 and (vii) options to purchase (A) 19,575 shares and (B) 6,525 shares granted on 2/17/18. In exchange, the reporting person received replacement options to purchase 52,946 shares of common stock, having an exercise price of $2.61 per share.

F9 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of February 17, 2018, subject to continued employment with the Company.

SEC source: 0001209191-20-036901 · doc4.xml · derivative · entry 7

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,710 shares

Expires 2027-03-14

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 5,150 shares granted on 12/14/11, (ii) options to purchase 2,575 shares granted on 6/10/13, (iii) options to purchase 11,426 shares granted on 5/30/14, (iv) options to purchase 10,000 shares granted on 5/26/15, (v) options to purchase 27,800 shares granted on 6/24/16, (vi) options to purchase (A) 23,000 shares and (B) 7,710 shares granted on 3/14/17 and (vii) options to purchase (A) 19,575 shares and (B) 6,525 shares granted on 2/17/18. In exchange, the reporting person received replacement options to purchase 52,946 shares of common stock, having an exercise price of $2.61 per share.

F8 · derivative.exercise_date: Following the elimination of the performance conditions for these options by the Compensation Committee of the Company, these options provided for vesting in four annual installments beginning on the first anniversary of March 14, 2017, subject to continued employment with the Company.

SEC source: 0001209191-20-036901 · doc4.xml · derivative · entry 6

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,000 shares

Expires 2027-03-14

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 5,150 shares granted on 12/14/11, (ii) options to purchase 2,575 shares granted on 6/10/13, (iii) options to purchase 11,426 shares granted on 5/30/14, (iv) options to purchase 10,000 shares granted on 5/26/15, (v) options to purchase 27,800 shares granted on 6/24/16, (vi) options to purchase (A) 23,000 shares and (B) 7,710 shares granted on 3/14/17 and (vii) options to purchase (A) 19,575 shares and (B) 6,525 shares granted on 2/17/18. In exchange, the reporting person received replacement options to purchase 52,946 shares of common stock, having an exercise price of $2.61 per share.

F7 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of March 14, 2017, subject to continued employment with the Company.

SEC source: 0001209191-20-036901 · doc4.xml · derivative · entry 5

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,800 shares

Expires 2026-06-24

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 5,150 shares granted on 12/14/11, (ii) options to purchase 2,575 shares granted on 6/10/13, (iii) options to purchase 11,426 shares granted on 5/30/14, (iv) options to purchase 10,000 shares granted on 5/26/15, (v) options to purchase 27,800 shares granted on 6/24/16, (vi) options to purchase (A) 23,000 shares and (B) 7,710 shares granted on 3/14/17 and (vii) options to purchase (A) 19,575 shares and (B) 6,525 shares granted on 2/17/18. In exchange, the reporting person received replacement options to purchase 52,946 shares of common stock, having an exercise price of $2.61 per share.

F6 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of May 26, 2016, subject to the continued employment with the Company.

SEC source: 0001209191-20-036901 · doc4.xml · derivative · entry 4

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,000 shares

Expires 2025-05-26

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 5,150 shares granted on 12/14/11, (ii) options to purchase 2,575 shares granted on 6/10/13, (iii) options to purchase 11,426 shares granted on 5/30/14, (iv) options to purchase 10,000 shares granted on 5/26/15, (v) options to purchase 27,800 shares granted on 6/24/16, (vi) options to purchase (A) 23,000 shares and (B) 7,710 shares granted on 3/14/17 and (vii) options to purchase (A) 19,575 shares and (B) 6,525 shares granted on 2/17/18. In exchange, the reporting person received replacement options to purchase 52,946 shares of common stock, having an exercise price of $2.61 per share.

F5 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of May 26, 2015, subject to continued employment with the Company.

SEC source: 0001209191-20-036901 · doc4.xml · derivative · entry 3

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,426 shares

Expires 2024-05-30

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 5,150 shares granted on 12/14/11, (ii) options to purchase 2,575 shares granted on 6/10/13, (iii) options to purchase 11,426 shares granted on 5/30/14, (iv) options to purchase 10,000 shares granted on 5/26/15, (v) options to purchase 27,800 shares granted on 6/24/16, (vi) options to purchase (A) 23,000 shares and (B) 7,710 shares granted on 3/14/17 and (vii) options to purchase (A) 19,575 shares and (B) 6,525 shares granted on 2/17/18. In exchange, the reporting person received replacement options to purchase 52,946 shares of common stock, having an exercise price of $2.61 per share.

F4 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of May 30, 2014, subject to continued employment with the Company.

SEC source: 0001209191-20-036901 · doc4.xml · derivative · entry 2

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,575 shares

Expires 2023-06-10

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 5,150 shares granted on 12/14/11, (ii) options to purchase 2,575 shares granted on 6/10/13, (iii) options to purchase 11,426 shares granted on 5/30/14, (iv) options to purchase 10,000 shares granted on 5/26/15, (v) options to purchase 27,800 shares granted on 6/24/16, (vi) options to purchase (A) 23,000 shares and (B) 7,710 shares granted on 3/14/17 and (vii) options to purchase (A) 19,575 shares and (B) 6,525 shares granted on 2/17/18. In exchange, the reporting person received replacement options to purchase 52,946 shares of common stock, having an exercise price of $2.61 per share.

F3 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of June 10, 2013, subject to continued employment with the Company.

SEC source: 0001209191-20-036901 · doc4.xml · derivative · entry 1

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,150 shares

Expires 2021-12-14

F2 · price: On 6/12/20, pursuant to its option exchange program, the issuer cancelled the following options to purchase shares of common stock held by the reporting person: (i) options to purchase 5,150 shares granted on 12/14/11, (ii) options to purchase 2,575 shares granted on 6/10/13, (iii) options to purchase 11,426 shares granted on 5/30/14, (iv) options to purchase 10,000 shares granted on 5/26/15, (v) options to purchase 27,800 shares granted on 6/24/16, (vi) options to purchase (A) 23,000 shares and (B) 7,710 shares granted on 3/14/17 and (vii) options to purchase (A) 19,575 shares and (B) 6,525 shares granted on 2/17/18. In exchange, the reporting person received replacement options to purchase 52,946 shares of common stock, having an exercise price of $2.61 per share.

F1 · derivative.exercise_date: These options provided for vesting in four annual installments beginning on the first anniversary of December 14, 2011, subject to continued employment with the Company.

SEC source: 0001209191-20-032530 · doc4.xml · nonDerivative · entry 1

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,120

F1 · security: Includes restricted shares.

SEC source: 0001209191-20-032532 · doc4.xml · nonDerivative · entry 2

WADE JOHN · CIK 0001579578 · President, CA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,411

F1 · security: Includes restricted shares.

SEC source: 0001209191-20-032532 · doc4.xml · nonDerivative · entry 1

WADE JOHN · CIK 0001579578 · President, CA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,594

F1 · security: Includes restricted shares.

SEC source: 0001209191-20-032528 · doc4.xml · nonDerivative · entry 1

COBIN JONATHAN B · CIK 0001579480 · EVP, Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,261

F1 · security: Includes restricted shares.

SEC source: 0001209191-20-032525 · doc4.xml · derivative · entry 3

Bayer Michael P. · CIK 0001644203 · SVP, Controller & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 800 shares

Expires not disclosed

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

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

F4 · derivative.exercise_date: On June 24, 2016, the reporting person was granted 3,200 restricted stock units, vesting in four equal annual installments on the first four anniversaries of May 26, 2016.

F4 · derivative.expiration_date: On June 24, 2016, the reporting person was granted 3,200 restricted stock units, vesting in four equal annual installments on the first four anniversaries of May 26, 2016.

SEC source: 0001209191-20-032525 · doc4.xml · nonDerivative · entry 2

Bayer Michael P. · CIK 0001644203 · SVP, Controller & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,974

F1 · security: Includes restricted shares.

SEC source: 0001209191-20-032525 · doc4.xml · nonDerivative · entry 1

Bayer Michael P. · CIK 0001644203 · SVP, Controller & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,208

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 · security: Includes restricted shares.

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

F3 · balance_after: Includes 658 shares acquired under Gogo Inc.'s employee stock purchase plan in transactions that were exempt under Rule 16b-3(c).

SEC source: 0001209191-20-032524 · doc4.xml · derivative · entry 3

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 875 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 convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On June 24, 2016, the reporting person was granted 3,500 restricted stock units, vesting in four equal annual installments on the first four anniversaries of May 26, 2016.

F2 · derivative.expiration_date: On June 24, 2016, the reporting person was granted 3,500 restricted stock units, vesting in four equal annual installments on the first four anniversaries of May 26, 2016.

SEC source: 0001209191-20-032524 · doc4.xml · nonDerivative · entry 2

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,907

SEC source: 0001209191-20-032524 · doc4.xml · nonDerivative · entry 1

Aguirre Sergio A. · CIK 0001738955 · President, BA division

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,160

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 convert into common stock on a one-for-one basis.

SEC source: 0000921895-20-001547 · form411509006_05202020.xml · derivative · entry 1

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 10,144,000

Underlying: Common Stock, par value $0.0001 per share · 333,333 shares

Expires 2022-05-15

F1 · derivative.exercise_price: The initial conversion rate of the Notes is 166.6667 shares of common stock per $1,000 principal amount of Notes, which corresponds to an initial conversion price of approximately $6.00 per share and represents a conversion premium of approximately 20.0% over the last reported sale price of the Company's common stock of $5.00 per share on The NASDAQ Global Select Market on November 16, 2018. The Notes will be convertible prior to January 15, 2022, only under certain circumstances (as set forth in the Indenture) and thereafter at any time.

F2 · shares: The Notes will bear interest at a rate of 6.00% per year, payable semi-annually in arrears on May 15 and November 15 of each year, beginning on May 15, 2019. The Notes will mature on May 15, 2022, unless earlier repurchased by the Company or converted.

F1 · derivative.exercise_date: The initial conversion rate of the Notes is 166.6667 shares of common stock per $1,000 principal amount of Notes, which corresponds to an initial conversion price of approximately $6.00 per share and represents a conversion premium of approximately 20.0% over the last reported sale price of the Company's common stock of $5.00 per share on The NASDAQ Global Select Market on November 16, 2018. The Notes will be convertible prior to January 15, 2022, only under certain circumstances (as set forth in the Indenture) and thereafter at any time.

F3 · derivative.underlying: This Form 4 is filed jointly by Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · balance_after: The Notes will bear interest at a rate of 6.00% per year, payable semi-annually in arrears on May 15 and November 15 of each year, beginning on May 15, 2019. The Notes will mature on May 15, 2022, unless earlier repurchased by the Company or converted.

F4 · ownership.direct: Securities beneficially owned by MCM. Mudrick GP is the general partner of Global LP and may be deemed to be the beneficial owner of the securities beneficially owned directly by Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed to be the beneficial owner of the securities beneficially owned directly by Drawdown II LP. MCM is the investment manager to Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be may be deemed to be the beneficial owner of the securities beneficially owned by Drawdown II LP, Global LP and certain managed accounts.

F4 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Global LP and may be deemed to be the beneficial owner of the securities beneficially owned directly by Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed to be the beneficial owner of the securities beneficially owned directly by Drawdown II LP. MCM is the investment manager to Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be may be deemed to be the beneficial owner of the securities beneficially owned by Drawdown II LP, Global LP and certain managed accounts.

SEC source: 0000921895-20-001474 · form411509006_05152020.xml · derivative · entry 2

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 8,144,000

Underlying: Common Stock, par value $0.0001 per share · 458,333 shares

Expires 2022-05-15

F1 · derivative.exercise_price: The initial conversion rate of the Notes is 166.6667 shares of common stock per $1,000 principal amount of Notes, which corresponds to an initial conversion price of approximately $6.00 per share and represents a conversion premium of approximately 20.0% over the last reported sale price of the Company's common stock of $5.00 per share on The NASDAQ Global Select Market on November 16, 2018. The Notes will be convertible prior to January 15, 2022, only under certain circumstances (as set forth in the Indenture) and thereafter at any time.

F2 · shares: The Notes will bear interest at a rate of 6.00% per year, payable semi-annually in arrears on May 15 and November 15 of each year, beginning on May 15, 2019. The Notes will mature on May 15, 2022, unless earlier repurchased by the Company or converted.

F1 · derivative.exercise_date: The initial conversion rate of the Notes is 166.6667 shares of common stock per $1,000 principal amount of Notes, which corresponds to an initial conversion price of approximately $6.00 per share and represents a conversion premium of approximately 20.0% over the last reported sale price of the Company's common stock of $5.00 per share on The NASDAQ Global Select Market on November 16, 2018. The Notes will be convertible prior to January 15, 2022, only under certain circumstances (as set forth in the Indenture) and thereafter at any time.

F3 · derivative.underlying: This Form 4 is filed jointly by Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · balance_after: The Notes will bear interest at a rate of 6.00% per year, payable semi-annually in arrears on May 15 and November 15 of each year, beginning on May 15, 2019. The Notes will mature on May 15, 2022, unless earlier repurchased by the Company or converted.

F4 · ownership.direct: Securities beneficially owned by MCM. Mudrick GP is the general partner of Global LP and may be deemed to be the beneficial owner of the securities beneficially owned directly by Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed to be the beneficial owner of the securities beneficially owned directly by Drawdown II LP. MCM is the investment manager to Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be may be deemed to be the beneficial owner of the securities beneficially owned by Drawdown II LP, Global LP and certain managed accounts.

F4 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Global LP and may be deemed to be the beneficial owner of the securities beneficially owned directly by Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed to be the beneficial owner of the securities beneficially owned directly by Drawdown II LP. MCM is the investment manager to Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be may be deemed to be the beneficial owner of the securities beneficially owned by Drawdown II LP, Global LP and certain managed accounts.

SEC source: 0000921895-20-001474 · form411509006_05152020.xml · derivative · entry 1

Mudrick Capital Management, L.P. · CIK 0001655183 · 10% owner

Mudrick Jason · CIK 0001367262 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 5,394,000

Underlying: Common Stock, par value $0.0001 per share · 899,000 shares

Expires 2022-05-15

F1 · derivative.exercise_price: The initial conversion rate of the Notes is 166.6667 shares of common stock per $1,000 principal amount of Notes, which corresponds to an initial conversion price of approximately $6.00 per share and represents a conversion premium of approximately 20.0% over the last reported sale price of the Company's common stock of $5.00 per share on The NASDAQ Global Select Market on November 16, 2018. The Notes will be convertible prior to January 15, 2022, only under certain circumstances (as set forth in the Indenture) and thereafter at any time.

F2 · shares: The Notes will bear interest at a rate of 6.00% per year, payable semi-annually in arrears on May 15 and November 15 of each year, beginning on May 15, 2019. The Notes will mature on May 15, 2022, unless earlier repurchased by the Company or converted.

F1 · derivative.exercise_date: The initial conversion rate of the Notes is 166.6667 shares of common stock per $1,000 principal amount of Notes, which corresponds to an initial conversion price of approximately $6.00 per share and represents a conversion premium of approximately 20.0% over the last reported sale price of the Company's common stock of $5.00 per share on The NASDAQ Global Select Market on November 16, 2018. The Notes will be convertible prior to January 15, 2022, only under certain circumstances (as set forth in the Indenture) and thereafter at any time.

F3 · derivative.underlying: This Form 4 is filed jointly by Mudrick Distressed Opportunity Drawdown Fund II, L.P. ("Drawdown II LP"), Mudrick Distressed Opportunity Fund Global, L.P. ("Global LP"), Mudrick GP, LLC ("Mudrick GP"), Mudrick Distressed Opportunity Drawdown Fund II GP, LLC ("Drawdown II GP"), Mudrick Capital Management, L.P. ("MCM"), Mudrick Capital Management, LLC ("MCM GP"), and Jason Mudrick. Each of the foregoing is referred to as a "Reporting Person" and collectively as the "Reporting Persons." Each Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · balance_after: The Notes will bear interest at a rate of 6.00% per year, payable semi-annually in arrears on May 15 and November 15 of each year, beginning on May 15, 2019. The Notes will mature on May 15, 2022, unless earlier repurchased by the Company or converted.

F4 · ownership.direct: Securities beneficially owned by MCM. Mudrick GP is the general partner of Global LP and may be deemed to be the beneficial owner of the securities beneficially owned directly by Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed to be the beneficial owner of the securities beneficially owned directly by Drawdown II LP. MCM is the investment manager to Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be may be deemed to be the beneficial owner of the securities beneficially owned by Drawdown II LP, Global LP and certain managed accounts.

F4 · ownership.nature: Securities beneficially owned by MCM. Mudrick GP is the general partner of Global LP and may be deemed to be the beneficial owner of the securities beneficially owned directly by Global LP. Drawdown II GP is the general partner of Drawdown II LP and may be deemed to be the beneficial owner of the securities beneficially owned directly by Drawdown II LP. MCM is the investment manager to Drawdown II LP, Global LP and certain managed accounts. MCM GP is the general partner of MCM. Mr. Mudrick is the sole member of Mudrick GP, Drawdown II GP and MCM GP. By virtue of these relationships, each of MCM, MCM GP and Mr. Mudrick may be may be deemed to be the beneficial owner of the securities beneficially owned by Drawdown II LP, Global LP and certain managed accounts.

SEC source: 0001209191-20-029663 · doc4.xml · nonDerivative · entry 1

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 1,422,077

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.58 to $1.60, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

F2 · ownership.direct: Reflects shares held by the Charles C. Townsend III Trust. Mr Townsend, as a co-trustee of the foregoing trust, may be deemed to have beneficial ownership of the shares held by the trust. Mr. Townsend disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such shares for purposes of Section 16 or for any other purpose.

SEC source: 0001209191-20-025885 · doc4.xml · derivative · entry 2

ROWAN BARRY L · CIK 0001253821 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires not disclosed

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

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

F3 · derivative.exercise_date: On April 24, 2017, the reporting person was granted 20,000 performance restricted stock units which were subject to both time-based vesting and performance-based vesting. Effective March 17, 2020, the Compensation Committee of the Company eliminated the performance conditions for these restricted stock units. The remaining restricted stock units will vest on April 24, 2021 subject to continued employment with the Company.

F3 · derivative.expiration_date: On April 24, 2017, the reporting person was granted 20,000 performance restricted stock units which were subject to both time-based vesting and performance-based vesting. Effective March 17, 2020, the Compensation Committee of the Company eliminated the performance conditions for these restricted stock units. The remaining restricted stock units will vest on April 24, 2021 subject to continued employment with the Company.

SEC source: 0001209191-20-025885 · doc4.xml · nonDerivative · entry 1

ROWAN BARRY L · CIK 0001253821 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,853

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 · security: Includes restricted shares.

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

SEC source: 0001209191-20-022383 · doc4.xml · derivative · entry 2

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,228

Underlying: Common Stock · 20,228 shares

Expires 2030-03-31

F3 · derivative.exercise_date: These options were granted on March 31, 2020, and are scheduled to vest on March 31, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-022383 · doc4.xml · derivative · entry 1

MUNDHEIM ROBERT H · CIK 0001039520 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,823

Underlying: Common Stock · 18,867 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on March 31, 2020; 4,001 of the deferred share units were fully vested as of the grant date and the remaining 14,866 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on March 31, 2020; 4,001 of the deferred share units were fully vested as of the grant date and the remaining 14,866 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-022373 · doc4.xml · derivative · entry 2

LEMAY RONALD T · CIK 0001104293 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,552

Underlying: Common Stock · 25,552 shares

Expires 2030-03-31

F3 · derivative.exercise_date: These options were granted on March 31, 2020, and are scheduled to vest on March 31, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-022373 · doc4.xml · derivative · entry 1

LEMAY RONALD T · CIK 0001104293 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,642

Underlying: Common Stock · 14,150 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on March 31, 2020; 3,001 of the deferred share units were fully vested as of the grant date and the remaining 11,149 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on March 31, 2020; 3,001 of the deferred share units were fully vested as of the grant date and the remaining 11,149 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-022376 · doc4.xml · derivative · entry 2

Payne Christopher D · CIK 0001612163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,228

Underlying: Common Stock · 20,228 shares

Expires 2030-03-31

F3 · derivative.exercise_date: These options were granted on March 31, 2020, and are scheduled to vest on March 31, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-022376 · doc4.xml · derivative · entry 1

Payne Christopher D · CIK 0001612163 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,668

Underlying: Common Stock · 17,099 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on March 31, 2020; 3,626 of the deferred share units were fully vested as of the grant date and the remaining 13,473 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on March 31, 2020; 3,626 of the deferred share units were fully vested as of the grant date and the remaining 13,473 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-022372 · doc4.xml · derivative · entry 2

JONES HUGH W · CIK 0001182420 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,228

Underlying: Common Stock · 20,228 shares

Expires 2030-03-31

F3 · derivative.exercise_date: These options were granted on March 31, 2020, and are scheduled to vest on March 31, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-022372 · doc4.xml · derivative · entry 1

JONES HUGH W · CIK 0001182420 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,877

Underlying: Common Stock · 11,202 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on March 31, 2020; 2,376 of the deferred share units were fully vested as of the grant date and the remaining 8,826 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on March 31, 2020; 2,376 of the deferred share units were fully vested as of the grant date and the remaining 8,826 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-022375 · doc4.xml · derivative · entry 2

MAYES MICHELE COLEMAN · CIK 0001224609 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,228

Underlying: Common Stock · 20,228 shares

Expires 2030-03-31

F3 · derivative.exercise_date: These options were granted on March 31, 2020, and are scheduled to vest on March 31, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-022375 · doc4.xml · derivative · entry 1

MAYES MICHELE COLEMAN · CIK 0001224609 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,746

Underlying: Common Stock · 18,278 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on March 31, 2020; 3,876 of the deferred share units were fully vested as of the grant date and the remaining 14,402 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on March 31, 2020; 3,876 of the deferred share units were fully vested as of the grant date and the remaining 14,402 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-022371 · doc4.xml · derivative · entry 2

CRANDALL ROBERT L · CIK 0001206595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,228

Underlying: Common Stock · 20,228 shares

Expires 2030-03-31

F3 · derivative.exercise_date: These options were granted on March 31, 2020, and are scheduled to vest on March 31, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-022371 · doc4.xml · derivative · entry 1

CRANDALL ROBERT L · CIK 0001206595 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,869

Underlying: Common Stock · 17,099 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on March 31, 2020; 3,626 of the deferred share units were fully vested as of the grant date and the remaining 13,473 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on March 31, 2020; 3,626 of the deferred share units were fully vested as of the grant date and the remaining 13,473 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-022378 · doc4.xml · derivative · entry 2

WILLIAMS HARRIS N · CIK 0001579625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,228

Underlying: Common Stock · 20,228 shares

Expires 2030-03-31

F3 · derivative.exercise_date: These options were granted on March 31, 2020, and are scheduled to vest on March 31, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-022378 · doc4.xml · derivative · entry 1

WILLIAMS HARRIS N · CIK 0001579625 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,358

Underlying: Common Stock · 11,202 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on March 31, 2020; 2,376 of the deferred share units were fully vested as of the grant date and the remaining 8,826 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on March 31, 2020; 2,376 of the deferred share units were fully vested as of the grant date and the remaining 8,826 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-022377 · doc4.xml · derivative · entry 2

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,228

Underlying: Common Stock · 20,228 shares

Expires 2030-03-31

F3 · derivative.exercise_date: These options were granted on March 31, 2020, and are scheduled to vest on March 31, 2021, subject to the director's continued service on the Company's board of directors.

SEC source: 0001209191-20-022377 · doc4.xml · derivative · entry 1

TOWNSEND CHARLES C · CIK 0001579494 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,125

Underlying: Common Stock · 17,099 shares

Expires not disclosed

F1 · derivative.exercise_price: Each deferred share unit represents the contingent right to receive one share of the Company's common stock.

F2 · derivative.exercise_date: These deferred share units were granted on March 31, 2020; 3,626 of the deferred share units were fully vested as of the grant date and the remaining 13,473 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

F2 · derivative.expiration_date: These deferred share units were granted on March 31, 2020; 3,626 of the deferred share units were fully vested as of the grant date and the remaining 13,473 are scheduled to vest on March 31, 2021, subject to continued service on the Company's board of directors. The deferred share units will be settled in shares of the Company's common stock following the director's termination of service on the Company's board of directors.

SEC source: 0001209191-20-020212 · doc4.xml · derivative · entry 7

THORNE OAKLEIGH · CIK 0001135089 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,000

Underlying: Common Stock · 205,000 shares

Expires not disclosed

F7 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of the Company's common stock or its equivalent value in cash.

F8 · derivative.exercise_date: 75,000 of these restricted stock units will vest in four equal installments on the first four anniversaries of March 17, 2020 and 130,000 of these restricted stock units will vest on December 31, 2022, in each case, subject to continued employment with the Company.

F8 · derivative.expiration_date: 75,000 of these restricted stock units will vest in four equal installments on the first four anniversaries of March 17, 2020 and 130,000 of these restricted stock units will vest on December 31, 2022, in each case, subject to continued employment with the Company.

SEC source: 0001209191-20-020212 · doc4.xml · derivative · entry 6

THORNE OAKLEIGH · CIK 0001135089 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2030-03-17

F6 · derivative.exercise_date: These options will vest and become exercisable in four equal installments on the first four anniversaries of March 17, 2020, subject to continued employment with the Company.

SEC source: 0001209191-20-020212 · doc4.xml · derivative · entry 5

THORNE OAKLEIGH · CIK 0001135089 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,625

Underlying: Common Stock · 6,875 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 convert into common stock on a one-for-one basis.

F5 · derivative.exercise_date: On March 10, 2019, the reporting person was granted 27,500 performance restricted stock units which were subject to both time-based vesting and performance-based vesting. Effective March 17, 2020, the Compensation Committee of the Company eliminated the performance conditions for these restricted stock units. This modification resulted in the immediate vesting and settlement of 6,875 restricted stock units, corresponding to the portion of the award for which service-vesting dates had previously elapsed. The remaining restricted stock units will vest in three equal installments on the first three anniversaries of March 10, 2020, subject to continued employment with the Company.

F5 · derivative.expiration_date: On March 10, 2019, the reporting person was granted 27,500 performance restricted stock units which were subject to both time-based vesting and performance-based vesting. Effective March 17, 2020, the Compensation Committee of the Company eliminated the performance conditions for these restricted stock units. This modification resulted in the immediate vesting and settlement of 6,875 restricted stock units, corresponding to the portion of the award for which service-vesting dates had previously elapsed. The remaining restricted stock units will vest in three equal installments on the first three anniversaries of March 10, 2020, subject to continued employment with the Company.

SEC source: 0001209191-20-020212 · doc4.xml · derivative · entry 4

THORNE OAKLEIGH · CIK 0001135089 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,624

Underlying: Common Stock · 6,626 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 convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: On March 4, 2018, the reporting person was granted 13,250 performance restricted stock units which were subject to both time-based vesting and performance-based vesting. Effective March 17, 2020, the Compensation Committee of the Company eliminated the performance conditions for these restricted stock units. This modification resulted in the immediate vesting and settlement of 6,626 restricted stock units, corresponding to the portion of the award for which service-vesting dates had previously elapsed. The remaining restricted stock units will vest in two equal installments on the first two anniversaries of March 4, 2020, subject to continued employment with the Company.

F4 · derivative.expiration_date: On March 4, 2018, the reporting person was granted 13,250 performance restricted stock units which were subject to both time-based vesting and performance-based vesting. Effective March 17, 2020, the Compensation Committee of the Company eliminated the performance conditions for these restricted stock units. This modification resulted in the immediate vesting and settlement of 6,626 restricted stock units, corresponding to the portion of the award for which service-vesting dates had previously elapsed. The remaining restricted stock units will vest in two equal installments on the first two anniversaries of March 4, 2020, subject to continued employment with the Company.

SEC source: 0001209191-20-020212 · doc4.xml · nonDerivative · entry 1

THORNE OAKLEIGH · CIK 0001135089 · Director · President and CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,287

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 convert into common stock on a one-for-one basis.

SEC source: 0001209191-20-020209 · doc4.xml · derivative · entry 7

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,250

Underlying: Common Stock · 87,250 shares

Expires not disclosed

F7 · derivative.exercise_price: Each restricted stock unit represents the contingent right to receive one share of the Company's common stock or its equivalent value in cash.

F8 · derivative.exercise_date: 32,000 of these restricted stock units will vest in four equal installments on the first four anniversaries of March 17, 2020 and 55,250 of these restricted stock units will vest on December 31, 2022, in each case, subject to continued employment with the Company.

F8 · derivative.expiration_date: 32,000 of these restricted stock units will vest in four equal installments on the first four anniversaries of March 17, 2020 and 55,250 of these restricted stock units will vest on December 31, 2022, in each case, subject to continued employment with the Company.

SEC source: 0001209191-20-020209 · doc4.xml · derivative · entry 6

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,000

Underlying: Common Stock · 53,000 shares

Expires 2030-03-17

F6 · derivative.exercise_date: These options will vest and become exercisable in four equal installments on the first four anniversaries of March 17, 2020, subject to continued employment with the Company.

SEC source: 0001209191-20-020209 · doc4.xml · derivative · entry 5

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,775

Underlying: Common Stock · 2,925 shares

Expires not disclosed

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

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

F5 · derivative.exercise_date: On March 10, 2019, the reporting person was granted 11,700 performance restricted stock units which were subject to both time-based vesting and performance-based vesting. Effective March 17, 2020, the Compensation Committee of the Company eliminated the performance conditions for these restricted stock units. This modification resulted in the immediate vesting and settlement of 2,925 restricted stock units, corresponding to the portion of the award for which service-vesting dates had previously elapsed. The remaining restricted stock units will vest in three equal installments on the first three anniversaries of March 10, 2020, subject to continued employment with the Company.

F5 · derivative.expiration_date: On March 10, 2019, the reporting person was granted 11,700 performance restricted stock units which were subject to both time-based vesting and performance-based vesting. Effective March 17, 2020, the Compensation Committee of the Company eliminated the performance conditions for these restricted stock units. This modification resulted in the immediate vesting and settlement of 2,925 restricted stock units, corresponding to the portion of the award for which service-vesting dates had previously elapsed. The remaining restricted stock units will vest in three equal installments on the first three anniversaries of March 10, 2020, subject to continued employment with the Company.

SEC source: 0001209191-20-020209 · doc4.xml · derivative · entry 4

Elias Marguerite M · CIK 0001297509 · EVP, Gen Counsel and Secy

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750

Underlying: Common Stock · 2,750 shares

Expires not disclosed

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

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

F4 · derivative.exercise_date: On February 17, 2018, the reporting person was granted 5,500 performance restricted stock units which were subject to both time-based vesting and performance-based vesting. Effective March 17, 2020, the Compensation Committee of the Company eliminated the performance conditions for these restricted stock units. This modification resulted in the immediate vesting and settlement of 2,750 restricted stock units, corresponding to the portion of the award for which service-vesting dates had previously elapsed. The remaining restricted stock units will vest in two equal installments on the first two anniversaries of February 17, 2020, subject to continued employment with the Company.

F4 · derivative.expiration_date: On February 17, 2018, the reporting person was granted 5,500 performance restricted stock units which were subject to both time-based vesting and performance-based vesting. Effective March 17, 2020, the Compensation Committee of the Company eliminated the performance conditions for these restricted stock units. This modification resulted in the immediate vesting and settlement of 2,750 restricted stock units, corresponding to the portion of the award for which service-vesting dates had previously elapsed. The remaining restricted stock units will vest in two equal installments on the first two anniversaries of February 17, 2020, subject to continued employment with the Company.