HPE

SEC source: 0001179706-18-000228 · edgar.xml · nonDerivative · entry 1

Melkote Keerti · CIK 0001393353 · President Intelligent Edge

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 03/07/18.

F2 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $14.47 to $14.63. 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: 0001179706-18-000227 · edgar.xml · derivative · entry 3

MAY ALAN RICHARD · CIK 0001656207 · EVP, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,793

Underlying: Common Stock · 85,793 shares

Expires not disclosed

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

F2 · shares: On 12/10/18 the reporting person was granted 85,793 Restricted Stock Units ("RSUs), 28,597 of which will vest on 12/10/19, and 28,598 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · price: On 12/10/18 the reporting person was granted 85,793 Restricted Stock Units ("RSUs), 28,597 of which will vest on 12/10/19, and 28,598 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.exercise_date: On 12/10/18 the reporting person was granted 85,793 Restricted Stock Units ("RSUs), 28,597 of which will vest on 12/10/19, and 28,598 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.expiration_date: On 12/10/18 the reporting person was granted 85,793 Restricted Stock Units ("RSUs), 28,597 of which will vest on 12/10/19, and 28,598 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

SEC source: 0001179706-18-000233 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,531

Underlying: Common Stock · 111,531 shares

Expires not disclosed

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

F2 · shares: On 12/10/18 the reporting person was granted 111,531 Restricted Stock Units ("RSUs), 37,177 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · price: On 12/10/18 the reporting person was granted 111,531 Restricted Stock Units ("RSUs), 37,177 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.exercise_date: On 12/10/18 the reporting person was granted 111,531 Restricted Stock Units ("RSUs), 37,177 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.expiration_date: On 12/10/18 the reporting person was granted 111,531 Restricted Stock Units ("RSUs), 37,177 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

SEC source: 0001179706-18-000232 · edgar.xml · derivative · entry 2

Rothman Irv · CIK 0001733072 · President Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,738

Underlying: Common Stock · 25,738 shares

Expires not disclosed

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

F2 · shares: On 12/10/18 the reporting person was granted 25,738 Restricted Stock Units ("RSUs), 8,579 of which will vest on each of 12/10/19 and 12/10/20, and 8,580 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · price: On 12/10/18 the reporting person was granted 25,738 Restricted Stock Units ("RSUs), 8,579 of which will vest on each of 12/10/19 and 12/10/20, and 8,580 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.exercise_date: On 12/10/18 the reporting person was granted 25,738 Restricted Stock Units ("RSUs), 8,579 of which will vest on each of 12/10/19 and 12/10/20, and 8,580 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.expiration_date: On 12/10/18 the reporting person was granted 25,738 Restricted Stock Units ("RSUs), 8,579 of which will vest on each of 12/10/19 and 12/10/20, and 8,580 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

SEC source: 0001179706-18-000231 · edgar.xml · derivative · entry 2

ROBBIATI TAREK · CIK 0001651113 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,110

Underlying: Common Stock · 120,110 shares

Expires not disclosed

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

F2 · shares: On 12/10/18 the reporting person was granted 120,110 Restricted Stock Units ("RSUs), 40,036 of which will vest on 12/10/19, and 40,037 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · price: On 12/10/18 the reporting person was granted 120,110 Restricted Stock Units ("RSUs), 40,036 of which will vest on 12/10/19, and 40,037 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.exercise_date: On 12/10/18 the reporting person was granted 120,110 Restricted Stock Units ("RSUs), 40,036 of which will vest on 12/10/19, and 40,037 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.expiration_date: On 12/10/18 the reporting person was granted 120,110 Restricted Stock Units ("RSUs), 40,036 of which will vest on 12/10/19, and 40,037 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

SEC source: 0001179706-18-000230 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,181

Underlying: Common Stock · 41,181 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F4 · shares: On 12/10/18 the reporting person was granted 41,181 Restricted Stock Units ("RSUs), 13,727 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F4 · price: On 12/10/18 the reporting person was granted 41,181 Restricted Stock Units ("RSUs), 13,727 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F4 · derivative.exercise_date: On 12/10/18 the reporting person was granted 41,181 Restricted Stock Units ("RSUs), 13,727 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F4 · derivative.expiration_date: On 12/10/18 the reporting person was granted 41,181 Restricted Stock Units ("RSUs), 13,727 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

SEC source: 0001179706-18-000228 · edgar.xml · derivative · entry 2

Melkote Keerti · CIK 0001393353 · President Intelligent Edge

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,531

Underlying: Common Stock · 111,531 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F4 · shares: On 12/10/18 the reporting person was granted 111,531 Restricted Stock Units ("RSUs), 37,177 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F4 · price: On 12/10/18 the reporting person was granted 111,531 Restricted Stock Units ("RSUs), 37,177 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F4 · derivative.exercise_date: On 12/10/18 the reporting person was granted 111,531 Restricted Stock Units ("RSUs), 37,177 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F4 · derivative.expiration_date: On 12/10/18 the reporting person was granted 111,531 Restricted Stock Units ("RSUs), 37,177 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

SEC source: 0001179706-18-000229 · edgar.xml · derivative · entry 2

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,318

Underlying: Common Stock · 348,318 shares

Expires not disclosed

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

F2 · shares: On 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs), 116,106 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · price: On 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs), 116,106 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.exercise_date: On 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs), 116,106 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.expiration_date: On 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs), 116,106 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

SEC source: 0001179706-18-000226 · edgar.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,181

Underlying: Common Stock · 41,181 shares

Expires not disclosed

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

F2 · shares: On 12/10/18 the reporting person was granted 41,181 Restricted Stock Units ("RSUs), 13,727 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · price: On 12/10/18 the reporting person was granted 41,181 Restricted Stock Units ("RSUs), 13,727 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.exercise_date: On 12/10/18 the reporting person was granted 41,181 Restricted Stock Units ("RSUs), 13,727 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.expiration_date: On 12/10/18 the reporting person was granted 41,181 Restricted Stock Units ("RSUs), 13,727 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

SEC source: 0001179706-18-000225 · edgar.xml · derivative · entry 2

Davis Philip · CIK 0001354297 · CSO, Pres Hybrid IT

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,110

Underlying: Common Stock · 120,110 shares

Expires not disclosed

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

F2 · shares: On 12/10/18 the reporting person was granted 120,110 Restricted Stock Units ("RSUs), 40,036 of which will vest on 12/10/19, and 40,037 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · price: On 12/10/18 the reporting person was granted 120,110 Restricted Stock Units ("RSUs), 40,036 of which will vest on 12/10/19, and 40,037 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.exercise_date: On 12/10/18 the reporting person was granted 120,110 Restricted Stock Units ("RSUs), 40,036 of which will vest on 12/10/19, and 40,037 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F2 · derivative.expiration_date: On 12/10/18 the reporting person was granted 120,110 Restricted Stock Units ("RSUs), 40,036 of which will vest on 12/10/19, and 40,037 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

SEC source: 0001179706-18-000213 · 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 · 8,541 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 12/09/15 the reporting person was granted 28,332 Restricted Stock Units ("RSUs"), 14,165 of which vested on 12/09/17, and 14,167 of which vested on 12/09/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 107.9071 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 95.1515 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 716 vested dividend equivalent rights and a de minimus adjustment of 0.0651 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F2 · price: As previously reported, on 12/09/15 the reporting person was granted 28,332 Restricted Stock Units ("RSUs"), 14,165 of which vested on 12/09/17, and 14,167 of which vested on 12/09/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 107.9071 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 95.1515 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 716 vested dividend equivalent rights and a de minimus adjustment of 0.0651 due to fractional rounding of the dividend equivalent rights. 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 12/09/15 the reporting person was granted 28,332 Restricted Stock Units ("RSUs"), 14,165 of which vested on 12/09/17, and 14,167 of which vested on 12/09/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 107.9071 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 95.1515 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 716 vested dividend equivalent rights and a de minimus adjustment of 0.0651 due to fractional rounding of the dividend equivalent rights. 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 12/09/15 the reporting person was granted 28,332 Restricted Stock Units ("RSUs"), 14,165 of which vested on 12/09/17, and 14,167 of which vested on 12/09/18. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 107.9071 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 95.1515 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 716 vested dividend equivalent rights and a de minimus adjustment of 0.0651 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

SEC source: 0001179706-18-000213 · edgar.xml · nonDerivative · entry 4

Rothman Irv · CIK 0001733072 · President Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,380

SEC source: 0001179706-18-000213 · edgar.xml · nonDerivative · entry 3

Rothman Irv · CIK 0001733072 · President Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,151

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

SEC source: 0001179706-18-000215 · edgar.xml · derivative · entry 4

WHITMAN MARGARET C · CIK 0001079816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,416

Underlying: Common Stock · 153,415 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 represents a contingent right to receive one share of Issuer's common stock.

F3 · shares: As previously reported, on 12/07/16 the reporting person was granted 263,371 restricted stock units ("RSUs"), 147,739 of which vested on 12/07/17, 147,739 of which vested on 12/07/18, and 147,741 of which will vest on 12/07/19. Also included are 1,984.5672 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 5,676 vested dividend equivalent rights and a de minimus adjustment of 0.5768 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F3 · price: As previously reported, on 12/07/16 the reporting person was granted 263,371 restricted stock units ("RSUs"), 147,739 of which vested on 12/07/17, 147,739 of which vested on 12/07/18, and 147,741 of which will vest on 12/07/19. Also included are 1,984.5672 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 5,676 vested dividend equivalent rights and a de minimus adjustment of 0.5768 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F3 · derivative.exercise_date: As previously reported, on 12/07/16 the reporting person was granted 263,371 restricted stock units ("RSUs"), 147,739 of which vested on 12/07/17, 147,739 of which vested on 12/07/18, and 147,741 of which will vest on 12/07/19. Also included are 1,984.5672 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 5,676 vested dividend equivalent rights and a de minimus adjustment of 0.5768 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F3 · derivative.expiration_date: As previously reported, on 12/07/16 the reporting person was granted 263,371 restricted stock units ("RSUs"), 147,739 of which vested on 12/07/17, 147,739 of which vested on 12/07/18, and 147,741 of which will vest on 12/07/19. Also included are 1,984.5672 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 5,676 vested dividend equivalent rights and a de minimus adjustment of 0.5768 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

SEC source: 0001179706-18-000215 · edgar.xml · nonDerivative · entry 2

WHITMAN MARGARET C · CIK 0001079816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,990

SEC source: 0001179706-18-000215 · edgar.xml · nonDerivative · entry 1

WHITMAN MARGARET C · CIK 0001079816 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 199,054

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: 0001179706-18-000209 · edgar.xml · derivative · entry 7

MAY ALAN RICHARD · CIK 0001656207 · EVP, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,996

Underlying: Common Stock · 35,998 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 represents a contingent right to receive one share of Issuer's common stock.

F5 · shares: As previously reported, on 12/07/17, the reporting person was granted 105,485 RSUs, 35,161 of which vested on 12/07/18, and 35,162 of which will vest on each of 12/07/19 and 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 808.4572 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 708.4813 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 837 vested dividend equivalent rights and a de minimus adjustment of 0.2423 due to fractional rounding of the dividend equivalent rights.

F5 · price: As previously reported, on 12/07/17, the reporting person was granted 105,485 RSUs, 35,161 of which vested on 12/07/18, and 35,162 of which will vest on each of 12/07/19 and 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 808.4572 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 708.4813 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 837 vested dividend equivalent rights and a de minimus adjustment of 0.2423 due to fractional rounding of the dividend equivalent rights.

F5 · derivative.exercise_date: As previously reported, on 12/07/17, the reporting person was granted 105,485 RSUs, 35,161 of which vested on 12/07/18, and 35,162 of which will vest on each of 12/07/19 and 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 808.4572 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 708.4813 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 837 vested dividend equivalent rights and a de minimus adjustment of 0.2423 due to fractional rounding of the dividend equivalent rights.

F5 · derivative.expiration_date: As previously reported, on 12/07/17, the reporting person was granted 105,485 RSUs, 35,161 of which vested on 12/07/18, and 35,162 of which will vest on each of 12/07/19 and 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 808.4572 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 708.4813 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 837 vested dividend equivalent rights and a de minimus adjustment of 0.2423 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-18-000209 · edgar.xml · derivative · entry 6

MAY ALAN RICHARD · CIK 0001656207 · EVP, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,503

Underlying: Common Stock · 29,503 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 represents a contingent right to receive one share of Issuer's common stock.

F4 · shares: As previously reported, on 12/07/16, the reporting person was granted 50,648 Restricted Stock Units "RSUs"), 28,410 of which vested on 12/07/17, 28,411 of which vested on 12/07/18, and 28,412 of which will vest 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 432.8089 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 381.6470 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,092 vested dividend equivalent rights and a de minimus adjustment of 0.5743 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F4 · price: As previously reported, on 12/07/16, the reporting person was granted 50,648 Restricted Stock Units "RSUs"), 28,410 of which vested on 12/07/17, 28,411 of which vested on 12/07/18, and 28,412 of which will vest 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 432.8089 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 381.6470 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,092 vested dividend equivalent rights and a de minimus adjustment of 0.5743 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F4 · derivative.exercise_date: As previously reported, on 12/07/16, the reporting person was granted 50,648 Restricted Stock Units "RSUs"), 28,410 of which vested on 12/07/17, 28,411 of which vested on 12/07/18, and 28,412 of which will vest 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 432.8089 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 381.6470 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,092 vested dividend equivalent rights and a de minimus adjustment of 0.5743 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F4 · derivative.expiration_date: As previously reported, on 12/07/16, the reporting person was granted 50,648 Restricted Stock Units "RSUs"), 28,410 of which vested on 12/07/17, 28,411 of which vested on 12/07/18, and 28,412 of which will vest 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 432.8089 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 381.6470 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,092 vested dividend equivalent rights and a de minimus adjustment of 0.5743 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

SEC source: 0001179706-18-000209 · edgar.xml · nonDerivative · entry 4

MAY ALAN RICHARD · CIK 0001656207 · EVP, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,024

SEC source: 0001179706-18-000209 · edgar.xml · nonDerivative · entry 3

MAY ALAN RICHARD · CIK 0001656207 · EVP, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,872

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: 0001179706-18-000209 · edgar.xml · nonDerivative · entry 2

MAY ALAN RICHARD · CIK 0001656207 · EVP, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,874

SEC source: 0001179706-18-000209 · edgar.xml · nonDerivative · entry 1

MAY ALAN RICHARD · CIK 0001656207 · EVP, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,503

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

F1 · balance_after: The total direct beneficial ownership reflects a decrease of 110,727 shares due to the transfer of 110,727 shares into a Joint Trust with the reporting person's spouse on 09/06/18.

SEC source: 0001179706-18-000214 · edgar.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,995

Underlying: Common Stock · 47,998 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 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 140,647 RSUs, 46,882 of which vested on 12/07/18, 46,882 of which will vest 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. Also included are 1,071.2788 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 944.6440 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,116 vested dividend equivalent rights and a de minimus adjustment of 0.9818 due to fractional rounding of the dividend equivalent rights.

F4 · 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 will vest 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. Also included are 1,071.2788 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 944.6440 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,116 vested dividend equivalent rights and a de minimus adjustment of 0.9818 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 140,647 RSUs, 46,882 of which vested on 12/07/18, 46,882 of which will vest 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. Also included are 1,071.2788 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 944.6440 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,116 vested dividend equivalent rights and a de minimus adjustment of 0.9818 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 140,647 RSUs, 46,882 of which vested on 12/07/18, 46,882 of which will vest 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. Also included are 1,071.2788 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 944.6440 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,116 vested dividend equivalent rights and a de minimus adjustment of 0.9818 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-18-000214 · edgar.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,453

Underlying: Common Stock · 32,454 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 represents a contingent right to receive one share of Issuer's common stock.

F3 · 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 will vest 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 476.0951 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 419.8164 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,201 vested dividend equivalent rights and a de minimus adjustment of 0.4151 due to fractional rounding of the dividend equivalent rights. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F3 · 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 will vest 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 476.0951 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 419.8164 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,201 vested dividend equivalent rights and a de minimus adjustment of 0.4151 due to fractional rounding of the dividend equivalent rights. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F3 · 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 will vest 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 476.0951 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 419.8164 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,201 vested dividend equivalent rights and a de minimus adjustment of 0.4151 due to fractional rounding of the dividend equivalent rights. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F3 · 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 will vest 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 476.0951 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 419.8164 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,201 vested dividend equivalent rights and a de minimus adjustment of 0.4151 due to fractional rounding of the dividend equivalent rights. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

SEC source: 0001179706-18-000214 · edgar.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 331,602.888

SEC source: 0001179706-18-000214 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,401.888

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: 0001179706-18-000214 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 307,403.888

SEC source: 0001179706-18-000214 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 323,495.888

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

F1 · balance_after: The total beneficial ownership includes 500.4169 shares at $14.488 per share acquired under the Issuer's 2015 Employee Stock Purchase Plan ("ESPP") on 10/31/18 with respect to shares held under the ESPP. The total beneficial ownership includes the acquisition of 4.1990 shares at $14.77 per share received on 07/05/18 through dividends paid in shares, 3.7820 shares at $16.75 per share received on 10/03/18 through dividends paid in shares.

SEC source: 0001179706-18-000213 · edgar.xml · derivative · entry 6

Rothman Irv · CIK 0001733072 · President Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,542

Underlying: Common Stock · 14,883 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 12/07/16 the reporting person was granted 24,675 RSUs, 8,224 of which vested on 12/07/17, 8,224 of which vested on 12/07/18, and 8,227 of which will vest 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 125.3038 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 110.4918 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 317 vested dividend equivalent rights and a de minimus adjustment of 0.7446 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F3 · price: As previously reported, on 12/07/16 the reporting person was granted 24,675 RSUs, 8,224 of which vested on 12/07/17, 8,224 of which vested on 12/07/18, and 8,227 of which will vest 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 125.3038 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 110.4918 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 317 vested dividend equivalent rights and a de minimus adjustment of 0.7446 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F3 · derivative.exercise_date: As previously reported, on 12/07/16 the reporting person was granted 24,675 RSUs, 8,224 of which vested on 12/07/17, 8,224 of which vested on 12/07/18, and 8,227 of which will vest 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 125.3038 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 110.4918 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 317 vested dividend equivalent rights and a de minimus adjustment of 0.7446 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F3 · derivative.expiration_date: As previously reported, on 12/07/16 the reporting person was granted 24,675 RSUs, 8,224 of which vested on 12/07/17, 8,224 of which vested on 12/07/18, and 8,227 of which will vest 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 125.3038 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 110.4918 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 317 vested dividend equivalent rights and a de minimus adjustment of 0.7446 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

SEC source: 0001179706-18-000213 · edgar.xml · nonDerivative · entry 2

Rothman Irv · CIK 0001733072 · President Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,268

SEC source: 0001179706-18-000213 · edgar.xml · nonDerivative · entry 1

Rothman Irv · CIK 0001733072 · President Financial Services

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,001

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: 0001179706-18-000212 · edgar.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,797

Underlying: Common Stock · 20,400 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 will vest on each of 12/07/19 and 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 455.2937 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 401.4739 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 475 vested dividend equivalent rights and a de minimus adjustment of 0.3666 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 will vest on each of 12/07/19 and 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 455.2937 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 401.4739 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 475 vested dividend equivalent rights and a de minimus adjustment of 0.3666 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 will vest on each of 12/07/19 and 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 455.2937 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 401.4739 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 475 vested dividend equivalent rights and a de minimus adjustment of 0.3666 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 will vest on each of 12/07/19 and 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 455.2937 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 401.4739 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 475 vested dividend equivalent rights and a de minimus adjustment of 0.3666 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-18-000212 · edgar.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,620

Underlying: Common Stock · 10,620 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 will vest 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 155.8015 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 137.3843 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 393 vested dividend equivalent rights and a de minimus adjustment of 0.5172 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

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 will vest 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 155.8015 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 137.3843 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 393 vested dividend equivalent rights and a de minimus adjustment of 0.5172 due to fractional rounding of the dividend equivalent rights. 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 will vest 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 155.8015 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 137.3843 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 393 vested dividend equivalent rights and a de minimus adjustment of 0.5172 due to fractional rounding of the dividend equivalent rights. 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 will vest 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 155.8015 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 137.3843 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 393 vested dividend equivalent rights and a de minimus adjustment of 0.5172 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

SEC source: 0001179706-18-000212 · edgar.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,639

SEC source: 0001179706-18-000212 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,754

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: 0001179706-18-000212 · edgar.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,354

SEC source: 0001179706-18-000212 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,620

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: 0001179706-18-000211 · edgar.xml · derivative · entry 6

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 215,988

Underlying: Common Stock · 107,995 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 will vest 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. Also included are 2,125.4507 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 2,510 vested dividend equivalent rights and a de minimus adjustment of 0.7031 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 will vest 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. Also included are 2,125.4507 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 2,510 vested dividend equivalent rights and a de minimus adjustment of 0.7031 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 will vest 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. Also included are 2,125.4507 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 2,510 vested dividend equivalent rights and a de minimus adjustment of 0.7031 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 will vest 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. Also included are 2,125.4507 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 2,510 vested dividend equivalent rights and a de minimus adjustment of 0.7031 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-18-000211 · edgar.xml · derivative · entry 5

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,105

Underlying: Common Stock · 53,105 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 will vest 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 686.9619 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,965 vested dividend equivalent rights and a de minimus adjustment of 0.4433 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

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 will vest 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 686.9619 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,965 vested dividend equivalent rights and a de minimus adjustment of 0.4433 due to fractional rounding of the dividend equivalent rights. 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 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 will vest 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 686.9619 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,965 vested dividend equivalent rights and a de minimus adjustment of 0.4433 due to fractional rounding of the dividend equivalent rights. 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 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 will vest 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 686.9619 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 1,965 vested dividend equivalent rights and a de minimus adjustment of 0.4433 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

SEC source: 0001179706-18-000211 · edgar.xml · nonDerivative · entry 4

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,052

SEC source: 0001179706-18-000211 · edgar.xml · nonDerivative · entry 3

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,597

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: 0001179706-18-000211 · edgar.xml · nonDerivative · entry 2

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,602

SEC source: 0001179706-18-000211 · edgar.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,933

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: 0001179706-18-000210 · edgar.xml · derivative · entry 3

Melkote Keerti · CIK 0001393353 · President Intelligent Edge

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 143,991

Underlying: Common Stock · 71,997 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 12/07/17 the reporting person was granted 210,970 Restricted Stock Units ("RSUs"), 70,323 of which vested on 12/07/18, 70,323 of which will vest on 12/07/19, and 70,324 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 1,674 vested dividend equivalent rights and a de minimus adjustment of 0.4844 due to fractional rounding of the dividend equivalent rights.

F2 · price: As previously reported, on 12/07/17 the reporting person was granted 210,970 Restricted Stock Units ("RSUs"), 70,323 of which vested on 12/07/18, 70,323 of which will vest on 12/07/19, and 70,324 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 1,674 vested dividend equivalent rights and a de minimus adjustment of 0.4844 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.exercise_date: As previously reported, on 12/07/17 the reporting person was granted 210,970 Restricted Stock Units ("RSUs"), 70,323 of which vested on 12/07/18, 70,323 of which will vest on 12/07/19, and 70,324 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 1,674 vested dividend equivalent rights and a de minimus adjustment of 0.4844 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.expiration_date: As previously reported, on 12/07/17 the reporting person was granted 210,970 Restricted Stock Units ("RSUs"), 70,323 of which vested on 12/07/18, 70,323 of which will vest on 12/07/19, and 70,324 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 1,674 vested dividend equivalent rights and a de minimus adjustment of 0.4844 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-18-000210 · edgar.xml · nonDerivative · entry 2

Melkote Keerti · CIK 0001393353 · President Intelligent Edge

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,300

SEC source: 0001179706-18-000210 · edgar.xml · nonDerivative · entry 1

Melkote Keerti · CIK 0001393353 · President Intelligent Edge

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,997

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: 0001179706-18-000208 · edgar.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,798

Underlying: Common Stock · 17,400 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 50,985 RSUs, 16,995 of which vested on 12/07/18, and 16,995 of which will vest on each of 12/07/19 and 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 388.3421 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 342.4366 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 405 vested dividend equivalent rights and a de minimus adjustment of 0.4198 due to fractional rounding of the dividend equivalent rights.

F3 · 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, and 16,995 of which will vest on each of 12/07/19 and 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 388.3421 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 342.4366 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 405 vested dividend equivalent rights and a de minimus adjustment of 0.4198 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 50,985 RSUs, 16,995 of which vested on 12/07/18, and 16,995 of which will vest on each of 12/07/19 and 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 388.3421 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 342.4366 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 405 vested dividend equivalent rights and a de minimus adjustment of 0.4198 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 50,985 RSUs, 16,995 of which vested on 12/07/18, and 16,995 of which will vest on each of 12/07/19 and 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 388.3421 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 342.4366 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 405 vested dividend equivalent rights and a de minimus adjustment of 0.4198 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-18-000208 · edgar.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,620

Underlying: Common Stock · 10,620 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 will vest 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 155.8015 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 137.3843 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 393 vested dividend equivalent rights and a de minimus adjustment of 0.5172 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

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 will vest 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 155.8015 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 137.3843 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 393 vested dividend equivalent rights and a de minimus adjustment of 0.5172 due to fractional rounding of the dividend equivalent rights. 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 will vest 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 155.8015 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 137.3843 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 393 vested dividend equivalent rights and a de minimus adjustment of 0.5172 due to fractional rounding of the dividend equivalent rights. 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 will vest 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 155.8015 dividend equivalent rights at $14.77 per RSU credited to the reporting person's account on 07/04/18, and 137.3843 dividend equivalent rights at $16.75 per RSU credited to the reporting person's account on 10/03/18. The number of derivative securities in column 5 also includes 393 vested dividend equivalent rights and a de minimus adjustment of 0.5172 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

SEC source: 0001179706-18-000208 · edgar.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,126

SEC source: 0001179706-18-000208 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,754

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.