HPE

SEC source: 0001179706-19-000146 · edgar.xml · nonDerivative · entry 2

Davis Philip · CIK 0001354297 · CSO, Pres Hybrid IT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,788

SEC source: 0001179706-19-000146 · edgar.xml · nonDerivative · entry 1

Davis Philip · CIK 0001354297 · CSO, Pres Hybrid IT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,482

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

SEC source: 0001179706-19-000153 · edgar.xml · derivative · entry 6

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,432

Underlying: Common Stock · 49,433 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F3 · shares: As previously reported, on 12/07/17 the reporting person was granted 140,647 RSUs, 46,882 of which vested on 12/07/18, 46,882 of which vested on 12/07/19, and 46,883 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 2,551 vested dividend equivalent rights and a de minimus adjustment of 0.3692 due to fractional rounding of the dividend equivalent rights.

F3 · price: As previously reported, on 12/07/17 the reporting person was granted 140,647 RSUs, 46,882 of which vested on 12/07/18, 46,882 of which vested on 12/07/19, and 46,883 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 2,551 vested dividend equivalent rights and a de minimus adjustment of 0.3692 due to fractional rounding of the dividend equivalent rights.

F3 · derivative.exercise_date: As previously reported, on 12/07/17 the reporting person was granted 140,647 RSUs, 46,882 of which vested on 12/07/18, 46,882 of which vested on 12/07/19, and 46,883 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 2,551 vested dividend equivalent rights and a de minimus adjustment of 0.3692 due to fractional rounding of the dividend equivalent rights.

F3 · derivative.expiration_date: As previously reported, on 12/07/17 the reporting person was granted 140,647 RSUs, 46,882 of which vested on 12/07/18, 46,882 of which vested on 12/07/19, and 46,883 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 2,551 vested dividend equivalent rights and a de minimus adjustment of 0.3692 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-19-000153 · edgar.xml · derivative · entry 5

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 33,410 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: As previously reported, on 12/07/16 the reporting person was granted 55,713 Restricted Stock Units ("RSUs"), 31,251 of which vested on 12/07/17, 31,253 of which vested on 12/07/18, and 31,253 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 2,157 vested dividend equivalent rights and a de minimus adjustment of 0.5176 due to fractional rounding of the dividend equivalent rights.

F2 · price: As previously reported, on 12/07/16 the reporting person was granted 55,713 Restricted Stock Units ("RSUs"), 31,251 of which vested on 12/07/17, 31,253 of which vested on 12/07/18, and 31,253 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 2,157 vested dividend equivalent rights and a de minimus adjustment of 0.5176 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.exercise_date: As previously reported, on 12/07/16 the reporting person was granted 55,713 Restricted Stock Units ("RSUs"), 31,251 of which vested on 12/07/17, 31,253 of which vested on 12/07/18, and 31,253 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 2,157 vested dividend equivalent rights and a de minimus adjustment of 0.5176 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.expiration_date: As previously reported, on 12/07/16 the reporting person was granted 55,713 Restricted Stock Units ("RSUs"), 31,251 of which vested on 12/07/17, 31,253 of which vested on 12/07/18, and 31,253 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 2,157 vested dividend equivalent rights and a de minimus adjustment of 0.5176 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-19-000153 · edgar.xml · nonDerivative · entry 4

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 397,800.9884

SEC source: 0001179706-19-000153 · edgar.xml · nonDerivative · entry 3

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 422,310.9884

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

SEC source: 0001179706-19-000153 · edgar.xml · nonDerivative · entry 2

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 372,877.9884

SEC source: 0001179706-19-000153 · edgar.xml · nonDerivative · entry 1

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 389,443.9884

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

SEC source: 0001179706-19-000147 · edgar.xml · derivative · entry 6

Karros Kirt P · CIK 0001584883 · SVP, Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,919

Underlying: Common Stock · 17,920 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F4 · shares: As previously reported, on 12/07/17 the reporting person was granted 50,985 RSUs, 16,995 of which vested on 12/07/18, 16,995 of which vested on 12/07/19 and 16,995 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 756.1551 dividend equivalent rights that reflect 241.2539 dividend equivalent rights at $15.85 per RSU credited to the reporting person's account on 04/03/19, 250.0899 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 264.8113 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 925 vested dividend equivalent rights and a de minimus adjustment of 0.7531 due to fractional rounding of the dividend equivalent rights.

F4 · price: As previously reported, on 12/07/17 the reporting person was granted 50,985 RSUs, 16,995 of which vested on 12/07/18, 16,995 of which vested on 12/07/19 and 16,995 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 756.1551 dividend equivalent rights that reflect 241.2539 dividend equivalent rights at $15.85 per RSU credited to the reporting person's account on 04/03/19, 250.0899 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 264.8113 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 925 vested dividend equivalent rights and a de minimus adjustment of 0.7531 due to fractional rounding of the dividend equivalent rights.

F4 · derivative.exercise_date: As previously reported, on 12/07/17 the reporting person was granted 50,985 RSUs, 16,995 of which vested on 12/07/18, 16,995 of which vested on 12/07/19 and 16,995 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 756.1551 dividend equivalent rights that reflect 241.2539 dividend equivalent rights at $15.85 per RSU credited to the reporting person's account on 04/03/19, 250.0899 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 264.8113 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 925 vested dividend equivalent rights and a de minimus adjustment of 0.7531 due to fractional rounding of the dividend equivalent rights.

F4 · derivative.expiration_date: As previously reported, on 12/07/17 the reporting person was granted 50,985 RSUs, 16,995 of which vested on 12/07/18, 16,995 of which vested on 12/07/19 and 16,995 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 756.1551 dividend equivalent rights that reflect 241.2539 dividend equivalent rights at $15.85 per RSU credited to the reporting person's account on 04/03/19, 250.0899 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 264.8113 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 925 vested dividend equivalent rights and a de minimus adjustment of 0.7531 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-19-000147 · edgar.xml · derivative · entry 5

Karros Kirt P · CIK 0001584883 · SVP, Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,934 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: As previously reported, on 12/07/16 the reporting person was granted 18,233 Restricted Stock Units ("RSUs"), 10,227 of which vested on 12/07/17, 10,227 of which vested on 12/07/18, and 10,228 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 227.5362 dividend equivalent rights that reflect 72.5962 dividend equivalent rights at $15.85 per RSU credited to the reporting person's account on 04/03/19, 75.2551 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 79.6849 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F3 · shares: The number of derivative securities in column 5 also includes 706 vested dividend equivalent rights and a de minimus adjustment of 0.9772 due to fractional rounding of the dividend equivalent rights.

F2 · price: As previously reported, on 12/07/16 the reporting person was granted 18,233 Restricted Stock Units ("RSUs"), 10,227 of which vested on 12/07/17, 10,227 of which vested on 12/07/18, and 10,228 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 227.5362 dividend equivalent rights that reflect 72.5962 dividend equivalent rights at $15.85 per RSU credited to the reporting person's account on 04/03/19, 75.2551 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 79.6849 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F2 · derivative.exercise_date: As previously reported, on 12/07/16 the reporting person was granted 18,233 Restricted Stock Units ("RSUs"), 10,227 of which vested on 12/07/17, 10,227 of which vested on 12/07/18, and 10,228 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 227.5362 dividend equivalent rights that reflect 72.5962 dividend equivalent rights at $15.85 per RSU credited to the reporting person's account on 04/03/19, 75.2551 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 79.6849 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F2 · derivative.expiration_date: As previously reported, on 12/07/16 the reporting person was granted 18,233 Restricted Stock Units ("RSUs"), 10,227 of which vested on 12/07/17, 10,227 of which vested on 12/07/18, and 10,228 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 227.5362 dividend equivalent rights that reflect 72.5962 dividend equivalent rights at $15.85 per RSU credited to the reporting person's account on 04/03/19, 75.2551 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 79.6849 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

SEC source: 0001179706-19-000147 · edgar.xml · nonDerivative · entry 4

Karros Kirt P · CIK 0001584883 · SVP, Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,875

SEC source: 0001179706-19-000147 · edgar.xml · nonDerivative · entry 3

Karros Kirt P · CIK 0001584883 · SVP, Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,072

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

SEC source: 0001179706-19-000147 · edgar.xml · nonDerivative · entry 2

Karros Kirt P · CIK 0001584883 · SVP, Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,152

SEC source: 0001179706-19-000147 · edgar.xml · nonDerivative · entry 1

Karros Kirt P · CIK 0001584883 · SVP, Finance & Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,934

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

SEC source: 0001179706-19-000151 · edgar.xml · derivative · entry 6

Ricci Jeff T · CIK 0001591357 · SVP, Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,008

Underlying: Common Stock · 21,009 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F3 · shares: As previously reported, on 12/07/17 the reporting person was granted 59,775 RSUs, 19,925 of which vested on 12/07/18, 19,925 of which vested on 12/07/19 and 19,925 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 1,084 vested dividend equivalent rights and a de minimus adjustment of 0.4108 due to fractional rounding of the dividend equivalent rights.

F3 · price: As previously reported, on 12/07/17 the reporting person was granted 59,775 RSUs, 19,925 of which vested on 12/07/18, 19,925 of which vested on 12/07/19 and 19,925 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 1,084 vested dividend equivalent rights and a de minimus adjustment of 0.4108 due to fractional rounding of the dividend equivalent rights.

F3 · derivative.exercise_date: As previously reported, on 12/07/17 the reporting person was granted 59,775 RSUs, 19,925 of which vested on 12/07/18, 19,925 of which vested on 12/07/19 and 19,925 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 1,084 vested dividend equivalent rights and a de minimus adjustment of 0.4108 due to fractional rounding of the dividend equivalent rights.

F3 · derivative.expiration_date: As previously reported, on 12/07/17 the reporting person was granted 59,775 RSUs, 19,925 of which vested on 12/07/18, 19,925 of which vested on 12/07/19 and 19,925 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 1,084 vested dividend equivalent rights and a de minimus adjustment of 0.4108 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-19-000151 · edgar.xml · derivative · entry 5

Ricci Jeff T · CIK 0001591357 · SVP, Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,934 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: As previously reported, on 12/07/16 the reporting person was granted 18,233 Restricted Stock Units ("RSUs"), 10,227 of which vested on 12/07/17, 10,227 of which vested on 12/07/18, and 10,228 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 706 vested dividend equivalent rights and a de minimus adjustment of 0.9772 due to fractional rounding of the dividend equivalent rights.

F2 · price: As previously reported, on 12/07/16 the reporting person was granted 18,233 Restricted Stock Units ("RSUs"), 10,227 of which vested on 12/07/17, 10,227 of which vested on 12/07/18, and 10,228 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 706 vested dividend equivalent rights and a de minimus adjustment of 0.9772 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.exercise_date: As previously reported, on 12/07/16 the reporting person was granted 18,233 Restricted Stock Units ("RSUs"), 10,227 of which vested on 12/07/17, 10,227 of which vested on 12/07/18, and 10,228 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 706 vested dividend equivalent rights and a de minimus adjustment of 0.9772 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.expiration_date: As previously reported, on 12/07/16 the reporting person was granted 18,233 Restricted Stock Units ("RSUs"), 10,227 of which vested on 12/07/17, 10,227 of which vested on 12/07/18, and 10,228 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 706 vested dividend equivalent rights and a de minimus adjustment of 0.9772 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-19-000151 · edgar.xml · nonDerivative · entry 4

Ricci Jeff T · CIK 0001591357 · SVP, Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,895

SEC source: 0001179706-19-000151 · edgar.xml · nonDerivative · entry 3

Ricci Jeff T · CIK 0001591357 · SVP, Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,161

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

SEC source: 0001179706-19-000151 · edgar.xml · nonDerivative · entry 2

Ricci Jeff T · CIK 0001591357 · SVP, Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,152

SEC source: 0001179706-19-000151 · edgar.xml · nonDerivative · entry 1

Ricci Jeff T · CIK 0001591357 · SVP, Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,934

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

SEC source: 0001179706-19-000152 · edgar.xml · derivative · entry 6

Rothman Irv · CIK 0001733072 · President Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,358

Underlying: Common Stock · 12,359 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F3 · shares: As previously reported, on 12/07/17 the reporting person was granted 35,162 RSUs, 11,720 of which early vested on 06/07/18, and 11,721 of which vested on 12/07/19 and 11,721 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 355.1137 dividend equivalent rights that reflect 172.4804 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 182.6333 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 638 vested dividend equivalent rights and a de minimus adjustment of 0.5703 due to fractional rounding of the dividend equivalent rights.

F3 · price: As previously reported, on 12/07/17 the reporting person was granted 35,162 RSUs, 11,720 of which early vested on 06/07/18, and 11,721 of which vested on 12/07/19 and 11,721 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 355.1137 dividend equivalent rights that reflect 172.4804 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 182.6333 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 638 vested dividend equivalent rights and a de minimus adjustment of 0.5703 due to fractional rounding of the dividend equivalent rights.

F3 · derivative.exercise_date: As previously reported, on 12/07/17 the reporting person was granted 35,162 RSUs, 11,720 of which early vested on 06/07/18, and 11,721 of which vested on 12/07/19 and 11,721 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 355.1137 dividend equivalent rights that reflect 172.4804 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 182.6333 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 638 vested dividend equivalent rights and a de minimus adjustment of 0.5703 due to fractional rounding of the dividend equivalent rights.

F3 · derivative.expiration_date: As previously reported, on 12/07/17 the reporting person was granted 35,162 RSUs, 11,720 of which early vested on 06/07/18, and 11,721 of which vested on 12/07/19 and 11,721 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 355.1137 dividend equivalent rights that reflect 172.4804 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 182.6333 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 638 vested dividend equivalent rights and a de minimus adjustment of 0.5703 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-19-000152 · edgar.xml · derivative · entry 5

Rothman Irv · CIK 0001733072 · President Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,794 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: As previously reported, on 12/07/16 the reporting person was granted 24,675 restricted stock units ("RSUs"), 8,224 of which vested on 12/07/17, 8,224 of which vested on 12/07/18, and 8,227 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 124.6276 dividend equivalent rights that reflect 60.5322 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 64.0954 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 567 vested dividend equivalent rights and a de minimus adjustment of 0.2168 due to fractional rounding of the dividend equivalent rights.

F2 · price: As previously reported, on 12/07/16 the reporting person was granted 24,675 restricted stock units ("RSUs"), 8,224 of which vested on 12/07/17, 8,224 of which vested on 12/07/18, and 8,227 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 124.6276 dividend equivalent rights that reflect 60.5322 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 64.0954 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 567 vested dividend equivalent rights and a de minimus adjustment of 0.2168 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.exercise_date: As previously reported, on 12/07/16 the reporting person was granted 24,675 restricted stock units ("RSUs"), 8,224 of which vested on 12/07/17, 8,224 of which vested on 12/07/18, and 8,227 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 124.6276 dividend equivalent rights that reflect 60.5322 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 64.0954 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 567 vested dividend equivalent rights and a de minimus adjustment of 0.2168 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.expiration_date: As previously reported, on 12/07/16 the reporting person was granted 24,675 restricted stock units ("RSUs"), 8,224 of which vested on 12/07/17, 8,224 of which vested on 12/07/18, and 8,227 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 124.6276 dividend equivalent rights that reflect 60.5322 dividend equivalent rights at $15.29 per RSU credited to the reporting person's account on 07/03/19, and 64.0954 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. The number of derivative securities in column 5 also includes 567 vested dividend equivalent rights and a de minimus adjustment of 0.2168 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-19-000152 · edgar.xml · nonDerivative · entry 4

Rothman Irv · CIK 0001733072 · President Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,201

SEC source: 0001179706-19-000152 · edgar.xml · nonDerivative · entry 3

Rothman Irv · CIK 0001733072 · President Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,014

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

SEC source: 0001179706-19-000152 · edgar.xml · nonDerivative · entry 2

Rothman Irv · CIK 0001733072 · President Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,655

SEC source: 0001179706-19-000152 · edgar.xml · nonDerivative · entry 1

Rothman Irv · CIK 0001733072 · President Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,794

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

SEC source: 0001179706-19-000150 · edgar.xml · derivative · entry 6

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,222

Underlying: Common Stock · 111,223 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F3 · shares: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 5,738 vested dividend equivalent rights and a de minimus adjustment of 0.3383 due to fractional rounding of the dividend equivalent rights.

F3 · price: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 5,738 vested dividend equivalent rights and a de minimus adjustment of 0.3383 due to fractional rounding of the dividend equivalent rights.

F3 · derivative.exercise_date: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 5,738 vested dividend equivalent rights and a de minimus adjustment of 0.3383 due to fractional rounding of the dividend equivalent rights.

F3 · derivative.expiration_date: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 5,738 vested dividend equivalent rights and a de minimus adjustment of 0.3383 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-19-000150 · edgar.xml · derivative · entry 5

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 54,671 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 3,530 vested dividend equivalent rights and a de minimus adjustment of 0.8553 due to fractional rounding of the dividend equivalent rights.

F2 · price: As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 3,530 vested dividend equivalent rights and a de minimus adjustment of 0.8553 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.exercise_date: As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 3,530 vested dividend equivalent rights and a de minimus adjustment of 0.8553 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.expiration_date: As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 3,530 vested dividend equivalent rights and a de minimus adjustment of 0.8553 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-19-000150 · edgar.xml · nonDerivative · entry 4

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,203

SEC source: 0001179706-19-000150 · edgar.xml · nonDerivative · entry 3

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,348

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

SEC source: 0001179706-19-000150 · edgar.xml · nonDerivative · entry 2

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,125

SEC source: 0001179706-19-000150 · edgar.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,232

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

SEC source: 0001179706-19-000135 · edgar.xml · nonDerivative · entry 2

MAY ALAN RICHARD · CIK 0001656207 · EVP, Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,406

SEC source: 0001179706-19-000135 · edgar.xml · nonDerivative · entry 1

MAY ALAN RICHARD · CIK 0001656207 · EVP, Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,622

F3 · shares: On 12/07/17 the reporting person was granted performance adjusted restricted stock units ("PARSUs") subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subjects to performance, and are issued in Issuer's common stock.

F1 · balance_after: The total direct beneficial ownership reflects an increase of 9,900 shares due to the transfer of 9,900 shares previously reported as being held indirectly by the reporting person in a Joint Trust with the reporting person's spouse on 10/09/19.

SEC source: 0001179706-19-000137 · edgar.xml · nonDerivative · entry 2

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 356,033.9884

SEC source: 0001179706-19-000137 · edgar.xml · nonDerivative · entry 1

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 412,685.99

F2 · shares: On 12/07/17 the reporting person was granted performance adjusted restricted stock units ("PARSUs") subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subjects to performance, and are issued in Issuer's common stock.

F1 · balance_after: The total beneficial ownership includes 497.1110 shares at $15.59 per share acquired under the Issuer's 2015 Employee Stock Purchase Plan ("ESPP") on 10/31/19 with respect to shares held under the ESPP.

SEC source: 0001179706-19-000136 · edgar.xml · nonDerivative · entry 2

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,561

SEC source: 0001179706-19-000136 · edgar.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,028

F1 · shares: On 12/07/17 the reporting person was granted performance adjusted restricted stock units ("PARSUs") subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subjects to performance, and are issued in Issuer's common stock.

SEC source: 0001179706-19-000131 · edgar.xml · derivative · entry 3

Ricci Jeff T · CIK 0001591357 · SVP, Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,229

Underlying: Common Stock · 20,457 shares

Expires 2024-12-07

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 · security: This option reflects post spin-off conversion adjustments previously reported.

F3 · derivative.exercise_date: This option became exercisable beginning on this date.

F4 · derivative.expiration_date: This option is no longer exercisable beginning on this date.

SEC source: 0001179706-19-000131 · edgar.xml · nonDerivative · entry 2

Ricci Jeff T · CIK 0001591357 · SVP, Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 03/01/19.

SEC source: 0001179706-19-000131 · edgar.xml · nonDerivative · entry 1

Ricci Jeff T · CIK 0001591357 · SVP, Controller & PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,457

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

SEC source: 0001179706-19-000129 · edgar.xml · derivative · entry 16

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,816

Underlying: Common Stock · 77,423 shares

Expires 2024-12-07

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.

F9 · derivative.exercise_date: This option became exercisable beginning on this date.

F10 · derivative.expiration_date: This option is no longer exercisable beginning on this date.

SEC source: 0001179706-19-000129 · edgar.xml · derivative · entry 15

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 123,409 shares

Expires 2023-12-09

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.

F9 · derivative.exercise_date: This option became exercisable beginning on this date.

F10 · derivative.expiration_date: This option is no longer exercisable beginning on this date.

SEC source: 0001179706-19-000129 · edgar.xml · derivative · entry 14

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 197,164 shares

Expires 2023-11-02

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.

F9 · derivative.exercise_date: This option became exercisable beginning on this date.

F10 · derivative.expiration_date: This option is no longer exercisable beginning on this date.

SEC source: 0001179706-19-000129 · edgar.xml · derivative · entry 13

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 35,002 shares

Expires 2021-12-11

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.

F9 · derivative.exercise_date: This option became exercisable beginning on this date.

F10 · derivative.expiration_date: This option is no longer exercisable beginning on this date.

SEC source: 0001179706-19-000129 · edgar.xml · nonDerivative · entry 8

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,925.8774

F2 · shares: The sale reported on this Form 4 was effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/11/19.

F3 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $16.00 to $16.125. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares purchased at each price within the range.

SEC source: 0001179706-19-000129 · edgar.xml · nonDerivative · entry 7

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,348.8774

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

SEC source: 0001179706-19-000129 · edgar.xml · nonDerivative · entry 6

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,925.8774

F2 · shares: The sale reported on this Form 4 was effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/11/19.

F3 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $16.00 to $16.125. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares purchased at each price within the range.

SEC source: 0001179706-19-000129 · edgar.xml · nonDerivative · entry 5

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,334.8774

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

SEC source: 0001179706-19-000129 · edgar.xml · nonDerivative · entry 4

SCHULTZ JOHN F · CIK 0001548933 · EVP, CLAA & SEC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 297,925.8774

F2 · shares: The sale reported on this Form 4 was effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/11/19.

F3 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $16.00 to $16.125. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares purchased at each price within the range.