HLX

SEC source: 0001209191-22-021980 · doc4.xml · nonDerivative · entry 1

Little Thomas Mitchell · CIK 0001567226 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,670

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019) and therefore has no purchase or sales price. This restricted stock award was received in lieu of quarterly fees related to the reporting person's service on the Board of Directors and its committees.

SEC source: 0001209191-22-021973 · doc4.xml · nonDerivative · entry 1

RASK JAN A · CIK 0001184448 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 378,795

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019) and therefore has no purchase or sales price. This restricted stock award was received in lieu of quarterly fees related to the reporting person's service on the Board of Directors and its committees.

SEC source: 0001209191-22-021970 · doc4.xml · nonDerivative · entry 1

Gatti Amerino · CIK 0001675255 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,272

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019) and therefore has no purchase or sales price. This restricted stock award was received in lieu of quarterly fees related to the reporting person's service on the Board of Directors and its committees.

SEC source: 0001209191-22-004639 · doc4.xml · derivative · entry 3

Staffeldt Erik · CIK 0001648839 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 155,736 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 Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

F1 · price: Each Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

F1 · derivative.exercise_date: Each Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

F1 · derivative.expiration_date: Each Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

SEC source: 0001209191-22-004639 · doc4.xml · nonDerivative · entry 2

Staffeldt Erik · CIK 0001648839 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 315,538

F2 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's 2019 PSUs.

SEC source: 0001209191-22-004639 · doc4.xml · nonDerivative · entry 1

Staffeldt Erik · CIK 0001648839 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 376,821

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 Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

SEC source: 0001209191-22-004638 · doc4.xml · derivative · entry 3

Sparks Scott Andrew · CIK 0001640450 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 155,736 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 Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

F1 · price: Each Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

F1 · derivative.exercise_date: Each Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

F1 · derivative.expiration_date: Each Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

SEC source: 0001209191-22-004638 · doc4.xml · nonDerivative · entry 2

Sparks Scott Andrew · CIK 0001640450 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 280,870

F3 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's 2019 PSUs.

SEC source: 0001209191-22-004638 · doc4.xml · nonDerivative · entry 1

Sparks Scott Andrew · CIK 0001640450 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,038

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 Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

F2 · balance_after: Since the date of the reporting person's last ownership report, he transferred 15,867 shares of Helix Energy Solutions Group, Inc. common stock to his ex-wife pursuant to a domestic relations order. The reporting person no longer reports as beneficially owned any securities owned by his ex-wife.

SEC source: 0001209191-22-004637 · doc4.xml · derivative · entry 3

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 463,587 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 Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

F1 · price: Each Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

F1 · derivative.exercise_date: Each Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

F1 · derivative.expiration_date: Each Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

SEC source: 0001209191-22-004637 · doc4.xml · nonDerivative · entry 2

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,478,403

F3 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's 2019 PSUs.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

SEC source: 0001209191-22-004637 · doc4.xml · nonDerivative · entry 1

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,660,825

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 Performance Share Unit ("2019 PSU") was previously granted on January 2, 2019 and represented the contingent right to receive one share of Company common stock. Actual number of shares upon vesting could have ranged from 0% to 200% dependent on the Company's relative shareholder return as compared to its peer group over the three-year period beginning January 1, 2019 and ended December 31, 2021. Amount earned and vested was 156.75% of the number of 2019 PSUs granted.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

SEC source: 0001209191-22-001363 · doc4.xml · derivative · entry 7

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,153,846

Underlying: Common Stock · 1,153,846 shares

Expires not disclosed

F9 · derivative.exercise_price: This Performance Share Unit ("PSU") award was granted pursuant to the LTIP and each PSU represents the contingent right to receive one share of Company common stock. Actual number of shares upon vesting may range from 0% to 200% dependent on the Company's performance over a three-year period beginning January 1, 2022 and ending December 31, 2024. Upon vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F10 · shares: Amount reported is 200% of the number of PSUs granted and the maximum number that may be earned.

F9 · derivative.exercise_date: This Performance Share Unit ("PSU") award was granted pursuant to the LTIP and each PSU represents the contingent right to receive one share of Company common stock. Actual number of shares upon vesting may range from 0% to 200% dependent on the Company's performance over a three-year period beginning January 1, 2022 and ending December 31, 2024. Upon vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F11 · derivative.expiration_date: Upon payment of the PSUs, which shall occur no later than March 15, 2025.

SEC source: 0001209191-22-001363 · doc4.xml · derivative · entry 6

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 576,923

Underlying: Common Stock · 576,923 shares

Expires not disclosed

F7 · derivative.exercise_price: This Restricted Stock Unit ("2022 RSU") award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019, the "LTIP") and each 2022 RSU represents the contingent right to receive one share of Company common stock. Forfeiture restrictions will lapse with respect to the RSUs granted on the basis of one-third of the grant on January 4, 2023, an additional one-third of the grant on January 4, 2024 and the remaining one-third of the grant on January 4, 2025. Upon each vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F7 · derivative.exercise_date: This Restricted Stock Unit ("2022 RSU") award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019, the "LTIP") and each 2022 RSU represents the contingent right to receive one share of Company common stock. Forfeiture restrictions will lapse with respect to the RSUs granted on the basis of one-third of the grant on January 4, 2023, an additional one-third of the grant on January 4, 2024 and the remaining one-third of the grant on January 4, 2025. Upon each vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F8 · derivative.expiration_date: Upon lapse of the forfeiture restrictions of the 2022 RSUs.

SEC source: 0001209191-22-001363 · doc4.xml · derivative · entry 5

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,302

Underlying: Common Stock · 43,650 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.

F4 · derivative.exercise_price: Each Restricted Stock Unit ("2021 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2021 RSUs on January 4, 2022. Forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 4, 2023 and the remaining one-third of the grant on January 4, 2024.

F4 · derivative.exercise_date: Each Restricted Stock Unit ("2021 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2021 RSUs on January 4, 2022. Forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 4, 2023 and the remaining one-third of the grant on January 4, 2024.

F6 · derivative.expiration_date: Upon lapse of the forfeiture restrictions of the 2021 RSUs.

SEC source: 0001209191-22-001363 · doc4.xml · nonDerivative · entry 4

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,197,238

F5 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the pro rata portion of the reporting person's 2021 RSU award.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

SEC source: 0001209191-22-001363 · doc4.xml · nonDerivative · entry 3

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,214,415

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

F4 · price: Each Restricted Stock Unit ("2021 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2021 RSUs on January 4, 2022. Forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 4, 2023 and the remaining one-third of the grant on January 4, 2024.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

SEC source: 0001209191-22-001361 · doc4.xml · derivative · entry 7

Sparks Scott Andrew · CIK 0001640450 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 376,602

Underlying: Common Stock · 376,602 shares

Expires not disclosed

F8 · derivative.exercise_price: This Performance Share Unit ("PSU") award was granted pursuant to the LTIP and each PSU represents the contingent right to receive one share of Company common stock. Actual number of shares upon vesting may range from 0% to 200% dependent on the Company's performance over a three-year period beginning January 1, 2022 and ending December 31, 2024. Upon vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F9 · shares: Amount reported is 200% of the number of PSUs granted and the maximum number that may be earned.

F8 · derivative.exercise_date: This Performance Share Unit ("PSU") award was granted pursuant to the LTIP and each PSU represents the contingent right to receive one share of Company common stock. Actual number of shares upon vesting may range from 0% to 200% dependent on the Company's performance over a three-year period beginning January 1, 2022 and ending December 31, 2024. Upon vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F10 · derivative.expiration_date: Upon payment of the PSUs, which shall occur no later than March 15, 2025.

SEC source: 0001209191-22-001361 · doc4.xml · derivative · entry 6

Sparks Scott Andrew · CIK 0001640450 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 188,301

Underlying: Common Stock · 188,301 shares

Expires not disclosed

F6 · derivative.exercise_price: This Restricted Stock Unit ("2022 RSU") award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019, the "LTIP") and each 2022 RSU represents the contingent right to receive one share of Company common stock. Forfeiture restrictions will lapse with respect to the RSUs granted on the basis of one-third of the grant on January 4, 2023, an additional one-third of the grant on January 4, 2024 and the remaining one-third of the grant on January 4, 2025. Upon each vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F6 · derivative.exercise_date: This Restricted Stock Unit ("2022 RSU") award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019, the "LTIP") and each 2022 RSU represents the contingent right to receive one share of Company common stock. Forfeiture restrictions will lapse with respect to the RSUs granted on the basis of one-third of the grant on January 4, 2023, an additional one-third of the grant on January 4, 2024 and the remaining one-third of the grant on January 4, 2025. Upon each vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F7 · derivative.expiration_date: Upon lapse of the forfeiture restrictions of the 2022 RSUs.

SEC source: 0001209191-22-001361 · doc4.xml · derivative · entry 5

Sparks Scott Andrew · CIK 0001640450 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,366

Underlying: Common Stock · 39,682 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each Restricted Stock Unit ("2021 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2021 RSUs on January 4, 2022. Forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 4, 2023 and the remaining one-third of the grant on January 4, 2024.

F3 · derivative.exercise_date: Each Restricted Stock Unit ("2021 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2021 RSUs on January 4, 2022. Forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 4, 2023 and the remaining one-third of the grant on January 4, 2024.

F5 · derivative.expiration_date: Upon lapse of the forfeiture restrictions of the 2021 RSUs.

SEC source: 0001209191-22-001361 · doc4.xml · nonDerivative · entry 4

Sparks Scott Andrew · CIK 0001640450 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,169

F4 · shares: The Compensation Committee of the Company's Board of Directors elected to pay in cash the value of the 2021 RSUs for which forfeiture restrictions lapsed.

SEC source: 0001209191-22-001361 · doc4.xml · nonDerivative · entry 3

Sparks Scott Andrew · CIK 0001640450 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,851

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

F3 · price: Each Restricted Stock Unit ("2021 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2021 RSUs on January 4, 2022. Forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 4, 2023 and the remaining one-third of the grant on January 4, 2024.

SEC source: 0001209191-22-001359 · doc4.xml · derivative · entry 7

Staffeldt Erik · CIK 0001648839 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 344,551

Underlying: Common Stock · 344,551 shares

Expires not disclosed

F8 · derivative.exercise_price: This Performance Share Unit ("PSU") award was granted pursuant to the LTIP and each PSU represents the contingent right to receive one share of Company common stock. Actual number of shares upon vesting may range from 0% to 200% dependent on the Company's performance over a three-year period beginning January 1, 2022 and ending December 31, 2024. Upon vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F9 · shares: Amount reported is 200% of the number of PSUs granted and the maximum number that may be earned.

F8 · derivative.exercise_date: This Performance Share Unit ("PSU") award was granted pursuant to the LTIP and each PSU represents the contingent right to receive one share of Company common stock. Actual number of shares upon vesting may range from 0% to 200% dependent on the Company's performance over a three-year period beginning January 1, 2022 and ending December 31, 2024. Upon vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F10 · derivative.expiration_date: Upon payment of the PSUs, which shall occur no later than March 15, 2025.

SEC source: 0001209191-22-001359 · doc4.xml · derivative · entry 6

Staffeldt Erik · CIK 0001648839 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,276

Underlying: Common Stock · 172,276 shares

Expires not disclosed

F6 · derivative.exercise_price: This Restricted Stock Unit ("2022 RSU") award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019, the "LTIP") and each 2022 RSU represents the contingent right to receive one share of Company common stock. Forfeiture restrictions will lapse with respect to the RSUs granted on the basis of one-third of the grant on January 4, 2023, an additional one-third of the grant on January 4, 2024 and the remaining one-third of the grant on January 4, 2025. Upon each vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F6 · derivative.exercise_date: This Restricted Stock Unit ("2022 RSU") award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019, the "LTIP") and each 2022 RSU represents the contingent right to receive one share of Company common stock. Forfeiture restrictions will lapse with respect to the RSUs granted on the basis of one-third of the grant on January 4, 2023, an additional one-third of the grant on January 4, 2024 and the remaining one-third of the grant on January 4, 2025. Upon each vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F7 · derivative.expiration_date: Upon lapse of the forfeiture restrictions of the 2022 RSUs.

SEC source: 0001209191-22-001359 · doc4.xml · derivative · entry 5

Staffeldt Erik · CIK 0001648839 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,429

Underlying: Common Stock · 35,714 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each Restricted Stock Unit ("2021 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2021 RSUs on January 4, 2022. Forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 4, 2023 and the remaining one-third of the grant on January 4, 2024.

F3 · derivative.exercise_date: Each Restricted Stock Unit ("2021 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2021 RSUs on January 4, 2022. Forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 4, 2023 and the remaining one-third of the grant on January 4, 2024.

F5 · derivative.expiration_date: Upon lapse of the forfeiture restrictions of the 2021 RSUs.

SEC source: 0001209191-22-001359 · doc4.xml · nonDerivative · entry 4

Staffeldt Erik · CIK 0001648839 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,085

F4 · shares: The Compensation Committee of the Company's Board of Directors elected to pay in cash the value of the 2021 RSUs for which forfeiture restrictions lapsed.

SEC source: 0001209191-22-001359 · doc4.xml · nonDerivative · entry 3

Staffeldt Erik · CIK 0001648839 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,799

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

F3 · price: Each Restricted Stock Unit ("2021 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2021 RSUs on January 4, 2022. Forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 4, 2023 and the remaining one-third of the grant on January 4, 2024.

SEC source: 0001209191-22-001357 · doc4.xml · derivative · entry 6

Neikirk Kenneth English · CIK 0001775345 · SVP, Gen Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,410

Underlying: Common Stock · 256,410 shares

Expires not disclosed

F7 · derivative.exercise_price: This Performance Share Unit ("PSU") award was granted pursuant to the LTIP and each PSU represents the contingent right to receive one share of Company common stock. Actual number of shares upon vesting may range from 0% to 200% dependent on the Company's performance over a three-year period beginning January 1, 2022 and ending December 31, 2024. Upon vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F8 · shares: Amount reported is 200% of the number of PSUs granted and the maximum number that may be earned.

F7 · derivative.exercise_date: This Performance Share Unit ("PSU") award was granted pursuant to the LTIP and each PSU represents the contingent right to receive one share of Company common stock. Actual number of shares upon vesting may range from 0% to 200% dependent on the Company's performance over a three-year period beginning January 1, 2022 and ending December 31, 2024. Upon vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F9 · derivative.expiration_date: Upon payment of the PSUs, which shall occur no later than March 15, 2025.

SEC source: 0001209191-22-001357 · doc4.xml · derivative · entry 5

Neikirk Kenneth English · CIK 0001775345 · SVP, Gen Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,205

Underlying: Common Stock · 128,205 shares

Expires not disclosed

F5 · derivative.exercise_price: This Restricted Stock Unit ("2022 RSU") award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019, the "LTIP") and each 2022 RSU represents the contingent right to receive one share of Company common stock. Forfeiture restrictions will lapse with respect to the RSUs granted on the basis of one-third of the grant on January 4, 2023, an additional one-third of the grant on January 4, 2024 and the remaining one-third of the grant on January 4, 2025. Upon each vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F5 · derivative.exercise_date: This Restricted Stock Unit ("2022 RSU") award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019, the "LTIP") and each 2022 RSU represents the contingent right to receive one share of Company common stock. Forfeiture restrictions will lapse with respect to the RSUs granted on the basis of one-third of the grant on January 4, 2023, an additional one-third of the grant on January 4, 2024 and the remaining one-third of the grant on January 4, 2025. Upon each vesting, the Compensation Committee of the Company's Board of Directors has the option to pay the value in cash at its discretion.

F6 · derivative.expiration_date: Upon lapse of the forfeiture restrictions of the 2022 RSUs.

SEC source: 0001209191-22-001357 · doc4.xml · derivative · entry 4

Neikirk Kenneth English · CIK 0001775345 · SVP, Gen Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,492

Underlying: Common Stock · 31,746 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each Restricted Stock Unit ("2021 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2021 RSUs on January 4, 2022. Forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 4, 2023 and the remaining one-third of the grant on January 4, 2024.

F2 · derivative.exercise_date: Each Restricted Stock Unit ("2021 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2021 RSUs on January 4, 2022. Forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 4, 2023 and the remaining one-third of the grant on January 4, 2024.

F4 · derivative.expiration_date: Upon lapse of the forfeiture restrictions of the 2021 RSUs.

SEC source: 0001209191-22-001357 · doc4.xml · nonDerivative · entry 3

Neikirk Kenneth English · CIK 0001775345 · SVP, Gen Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,544

F3 · shares: The Compensation Committee of the Company's Board of Directors elected to pay in cash the value of the 2021 RSUs for which forfeiture restrictions lapsed.

SEC source: 0001209191-22-001357 · doc4.xml · nonDerivative · entry 2

Neikirk Kenneth English · CIK 0001775345 · SVP, Gen Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,290

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

F2 · price: Each Restricted Stock Unit ("2021 RSU") represents the contingent right to receive one share of Company common stock. Forfeiture restrictions lapsed with respect to one-third of the grant of the 2021 RSUs on January 4, 2022. Forfeiture restrictions with respect to an additional one-third of the grant will lapse on January 4, 2023 and the remaining one-third of the grant on January 4, 2024.

SEC source: 0001209191-22-001363 · doc4.xml · nonDerivative · entry 2

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,170,765

F3 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the pro rata portion of the reporting person's 2020 restricted stock award.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

SEC source: 0001209191-22-001363 · doc4.xml · nonDerivative · entry 1

KRATZ OWEN E · CIK 0001041815 · Director · PRESIDENT & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,195,283

F1 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the pro rata portion of the reporting person's 2019 restricted stock award.

F2 · balance_after: Mr. Kratz disclaims beneficial ownership of 1,000,000 shares included in this amount, which shares are held by Joss Investments Limited Partnership, an entity in which he is a general partner.

SEC source: 0001209191-22-001361 · doc4.xml · nonDerivative · entry 2

Sparks Scott Andrew · CIK 0001640450 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,169

F2 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the pro rata portion of the reporting person's 2020 restricted stock award.

SEC source: 0001209191-22-001361 · doc4.xml · nonDerivative · entry 1

Sparks Scott Andrew · CIK 0001640450 · EVP and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 206,765

F1 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the pro rata portion of the reporting person's 2019 restricted stock award.

SEC source: 0001209191-22-001359 · doc4.xml · nonDerivative · entry 2

Staffeldt Erik · CIK 0001648839 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,085

F2 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the pro rata portion of the reporting person's 2020 restricted stock award.

SEC source: 0001209191-22-001359 · doc4.xml · nonDerivative · entry 1

Staffeldt Erik · CIK 0001648839 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 228,407

F1 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the pro rata portion of the reporting person's 2019 restricted stock award.

SEC source: 0001209191-22-001357 · doc4.xml · nonDerivative · entry 1

Neikirk Kenneth English · CIK 0001775345 · SVP, Gen Counsel & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,544

F1 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the pro rata portion of the reporting person's 2020 restricted stock award.

SEC source: 0001209191-22-001335 · doc4.xml · nonDerivative · entry 1

RASK JAN A · CIK 0001184448 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 373,565

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019) and therefore has no purchase or sales price. This restricted stock award was received in lieu of quarterly fees related to the reporting person's service on the Board of Directors and its committees.

SEC source: 0001209191-22-001333 · doc4.xml · nonDerivative · entry 2

Gatti Amerino · CIK 0001675255 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,205

F2 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019) and therefore has no purchase or sales price. This restricted stock award was received in lieu of quarterly fees related to the reporting person's service on the Board of Directors and its committees.

SEC source: 0001209191-22-001333 · doc4.xml · nonDerivative · entry 1

Gatti Amerino · CIK 0001675255 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,443

F1 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's restricted stock awards.

SEC source: 0001209191-21-069011 · doc4.xml · nonDerivative · entry 2

TRANSIER WILLIAM L · CIK 0001187452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 172,037

F2 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's restricted stock award.

SEC source: 0001209191-21-069010 · doc4.xml · nonDerivative · entry 2

Nelson Amy H · CIK 0001599571 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,925

F2 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's restricted stock award.

SEC source: 0001209191-21-069009 · doc4.xml · nonDerivative · entry 2

Gatti Amerino · CIK 0001675255 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,741

F2 · shares: These shares were forfeited to satisfy tax obligations related to the vesting of the reporting person's restricted stock award.

SEC source: 0001209191-21-069011 · doc4.xml · nonDerivative · entry 1

TRANSIER WILLIAM L · CIK 0001187452 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,651

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019) and therefore has no purchase or sales price.

SEC source: 0001209191-21-069010 · doc4.xml · nonDerivative · entry 1

Nelson Amy H · CIK 0001599571 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,539

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019) and therefore has no purchase or sales price.

SEC source: 0001209191-21-069007 · doc4.xml · nonDerivative · entry 1

RASK JAN A · CIK 0001184448 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,552

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019) and therefore has no purchase or sales price.

SEC source: 0001209191-21-069009 · doc4.xml · nonDerivative · entry 1

Gatti Amerino · CIK 0001675255 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 154,355

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019) and therefore has no purchase or sales price.

SEC source: 0001209191-21-069000 · doc4.xml · nonDerivative · entry 1

Little Thomas Mitchell · CIK 0001567226 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,257

F1 · price: This restricted stock award was granted pursuant to the Company's 2005 Long Term Incentive Plan (as Amended and Restated effective May 15, 2019) and therefore has no purchase or sales price.