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NYSE · USD

HPE

Hewlett Packard Enterprise Co

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2984
SEC CIK
0001645590
Parsed reports
982

Last 12 months

Inside the activity.

0 purchase rows · 31 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 2025011
Jan 202600
Feb 202600
Mar 202606
Apr 202603
May 202602
Jun 202602
Jul 202601
Aug 202600
Sep 202604
Oct 202602

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
January 03, 2018 Filed Jun 6, 2018 00:52 UTC
SCHULTZ JOHN FEVP, CLAA & SEC
GrantRestricted Stock Units · Derivative 1,329.0954 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-18-000135 · edgar.xml · derivative · entry 10

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,976.095

Underlying: Common Stock · 1,329.0954 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F9 · shares: As previously reported, on 12/07/17 the reporting person was granted 140,647 RSUs, 46,882 of which will vest on each of 12/07/18 and 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 1,329.0954 dividend equivalent rights reported in Column 5 includes 717.5867 dividends equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 611.5087 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18.

F9 · price: As previously reported, on 12/07/17 the reporting person was granted 140,647 RSUs, 46,882 of which will vest on each of 12/07/18 and 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 1,329.0954 dividend equivalent rights reported in Column 5 includes 717.5867 dividends equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 611.5087 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18.

F9 · derivative.exercise_date: As previously reported, on 12/07/17 the reporting person was granted 140,647 RSUs, 46,882 of which will vest on each of 12/07/18 and 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 1,329.0954 dividend equivalent rights reported in Column 5 includes 717.5867 dividends equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 611.5087 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18.

F9 · derivative.expiration_date: As previously reported, on 12/07/17 the reporting person was granted 140,647 RSUs, 46,882 of which will vest on each of 12/07/18 and 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 1,329.0954 dividend equivalent rights reported in Column 5 includes 717.5867 dividends equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 611.5087 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18.

Read SEC document
January 03, 2018 Filed Jun 6, 2018 00:52 UTC
SCHULTZ JOHN FEVP, CLAA & SEC
GrantRestricted Stock Units · Derivative 590.6734 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-18-000135 · edgar.xml · derivative · entry 9

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,010.6734

Underlying: Common Stock · 590.6734 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F8 · shares: As previously reported, on 12/07/16 the reporting person was granted 55,713 RSUs, 31,251 of which vested on 12/07/17, and 31,253 of which will vest on each of 12/07/18 and 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 590.6734 dividend equivalent rights reported in Column 5 includes 318.9082 dividends equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 271.7652 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F8 · price: As previously reported, on 12/07/16 the reporting person was granted 55,713 RSUs, 31,251 of which vested on 12/07/17, and 31,253 of which will vest on each of 12/07/18 and 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 590.6734 dividend equivalent rights reported in Column 5 includes 318.9082 dividends equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 271.7652 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F8 · derivative.exercise_date: As previously reported, on 12/07/16 the reporting person was granted 55,713 RSUs, 31,251 of which vested on 12/07/17, and 31,253 of which will vest on each of 12/07/18 and 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 590.6734 dividend equivalent rights reported in Column 5 includes 318.9082 dividends equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 271.7652 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F8 · derivative.expiration_date: As previously reported, on 12/07/16 the reporting person was granted 55,713 RSUs, 31,251 of which vested on 12/07/17, and 31,253 of which will vest on each of 12/07/18 and 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The 590.6734 dividend equivalent rights reported in Column 5 includes 318.9082 dividends equivalent rights at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 271.7652 dividend equivalent rights at $17.25 per RSU credited to the reporting person's account on 04/04/18. RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

Read SEC document
January 03, 2018 Filed Jun 6, 2018 00:51 UTC
Neri Antonio FPresident and CEO
GrantRestricted Stock Units · Derivative 2,990.4671 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-18-000133 · edgar.xml · derivative · entry 10

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 319,446.467

Underlying: Common Stock · 2,990.4671 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F8 · shares: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which will vest on each of 12/07/18 and 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 2,990.4671 dividend equivalent rights being reported include 1,614.5714 at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 1,375.8957 at $17.25 per RSU credited to the reporting person's account on 04/04/18.

F8 · price: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which will vest on each of 12/07/18 and 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 2,990.4671 dividend equivalent rights being reported include 1,614.5714 at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 1,375.8957 at $17.25 per RSU credited to the reporting person's account on 04/04/18.

F8 · derivative.exercise_date: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which will vest on each of 12/07/18 and 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 2,990.4671 dividend equivalent rights being reported include 1,614.5714 at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 1,375.8957 at $17.25 per RSU credited to the reporting person's account on 04/04/18.

F8 · derivative.expiration_date: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which will vest on each of 12/07/18 and 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 2,990.4671 dividend equivalent rights being reported include 1,614.5714 at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 1,375.8957 at $17.25 per RSU credited to the reporting person's account on 04/04/18.

Read SEC document
January 03, 2018 Filed Jun 6, 2018 00:51 UTC
Neri Antonio FPresident and CEO
GrantRestricted Stock Units · Derivative 966.5418 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-18-000133 · edgar.xml · derivative · entry 9

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,743.541

Underlying: Common Stock · 966.5418 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F7 · shares: As previously reported, on 12/07/16 the reporting person was granted 91,167 RSUs, 51,140 of which vested on 12/07/17, 51,140 of which will vest 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. The 966.5418 dividend equivalent rights being reported include 521.8418 at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 444.70 at $17.25 per RSU credited to the reporting person's account on 04/04/18. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F7 · price: As previously reported, on 12/07/16 the reporting person was granted 91,167 RSUs, 51,140 of which vested on 12/07/17, 51,140 of which will vest 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. The 966.5418 dividend equivalent rights being reported include 521.8418 at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 444.70 at $17.25 per RSU credited to the reporting person's account on 04/04/18. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F7 · derivative.exercise_date: As previously reported, on 12/07/16 the reporting person was granted 91,167 RSUs, 51,140 of which vested on 12/07/17, 51,140 of which will vest 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. The 966.5418 dividend equivalent rights being reported include 521.8418 at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 444.70 at $17.25 per RSU credited to the reporting person's account on 04/04/18. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F7 · derivative.expiration_date: As previously reported, on 12/07/16 the reporting person was granted 91,167 RSUs, 51,140 of which vested on 12/07/17, 51,140 of which will vest 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. The 966.5418 dividend equivalent rights being reported include 521.8418 at $14.70 per RSU credited to the reporting person's account on 01/03/18, and 444.70 at $17.25 per RSU credited to the reporting person's account on 04/04/18. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 22:39 UTC
Karros Kirt PSVP, Finance & Treasurer
Exercise / conversionEmployee Stock Option (Right to buy) · Derivative 8,499 $0.00 Strike: $8.83 $0.00
Disclosure

SEC source: 0001179706-17-000288 · edgar.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,501

Underlying: Common Stock · 8,499 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.

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.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 22:39 UTC
Karros Kirt PSVP, Finance & Treasurer
Exercise / conversionEmployee Stock Option (Right to buy) · Derivative 72,595 $0.00 Strike: $8.62 $0.00
Disclosure

SEC source: 0001179706-17-000288 · edgar.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,595

Underlying: Common Stock · 72,595 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.

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.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 22:39 UTC
Karros Kirt PSVP, Finance & Treasurer
SaleCommon Stock 8,499 $14.86 $126,295.14
Disclosure

SEC source: 0001179706-17-000288 · edgar.xml · nonDerivative · entry 4

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

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 03/09/17.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 22:39 UTC
Karros Kirt PSVP, Finance & Treasurer
Exercise / conversionCommon Stock 8,499 $8.83 $75,046.17
Disclosure

SEC source: 0001179706-17-000288 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,499

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.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 22:39 UTC
Karros Kirt PSVP, Finance & Treasurer
SaleCommon Stock 72,595 $14.86 $1,078,761.70
Disclosure

SEC source: 0001179706-17-000288 · edgar.xml · nonDerivative · entry 2

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

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 03/09/17.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 22:39 UTC
Karros Kirt PSVP, Finance & Treasurer
Exercise / conversionCommon Stock 72,595 $8.62 $625,768.90
Disclosure

SEC source: 0001179706-17-000288 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,595

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.

Read SEC document
December 18, 2017 Filed Dec 20, 2017 22:39 UTC
Gomez HenryEVP, CM & CO
SaleCommon Stock 119,515 $14.87 $1,777,188.05
Disclosure

SEC source: 0001179706-17-000287 · edgar.xml · nonDerivative · entry 1

Gomez Henry · CIK 0001317648 · EVP, CM & CO

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 06/02/17.

Read SEC document
December 12, 2017 Filed Dec 13, 2017 16:18 UTC SaleCommon Stock 7,607 $14.42 $109,709.68
Disclosure

SEC source: 0001179706-17-000283 · edgar.xml · nonDerivative · entry 1

MAY ALAN RICHARD · CIK 0001656207 · EVP, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,079

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 11/24/17.

F2 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $14.36 to $14.47. 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.

Read SEC document
December 12, 2017 Filed Dec 13, 2017 21:18 UTC
Ricci Jeff TSVP, Controller & PAO
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 16,999 $0.00 Strike: $8.83 $0.00
Disclosure

SEC source: 0001179706-17-000284 · edgar.xml · derivative · entry 8

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,000

Underlying: Common Stock · 16,999 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.

F6 · security: This option reflects post spin-off conversion adjustments previously reported.

F4 · derivative.exercise_date: This option became exercisable beginning on this date.

F5 · derivative.expiration_date: This option is no longer exercisable beginning on this date.

Read SEC document
December 12, 2017 Filed Dec 13, 2017 21:18 UTC
Ricci Jeff TSVP, Controller & PAO
Exercise / conversionEmployee Stock Option (Right to Buy) · Derivative 20,255 $0.00 Strike: $12.36 $0.00
Disclosure

SEC source: 0001179706-17-000284 · edgar.xml · derivative · entry 7

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,255 shares

Expires 2022-12-10

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.

F6 · security: This option reflects post spin-off conversion adjustments previously reported.

F4 · derivative.exercise_date: This option became exercisable beginning on this date.

F5 · derivative.expiration_date: This option is no longer exercisable beginning on this date.

Read SEC document
December 12, 2017 Filed Dec 13, 2017 21:18 UTC
Ricci Jeff TSVP, Controller & PAO
SaleCommon Stock 16,999 $14.42 $245,123.88
Disclosure

SEC source: 0001179706-17-000284 · edgar.xml · nonDerivative · entry 6

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 06/07/17.

F3 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $14.35 to $14.48. 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.

Read SEC document
December 12, 2017 Filed Dec 13, 2017 21:18 UTC
Ricci Jeff TSVP, Controller & PAO
Exercise / conversionCommon Stock 16,999 $8.83 $150,101.17
Disclosure

SEC source: 0001179706-17-000284 · edgar.xml · nonDerivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,999

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.

Read SEC document
December 12, 2017 Filed Dec 13, 2017 21:18 UTC
Ricci Jeff TSVP, Controller & PAO
SaleCommon Stock 20,255 $14.42 $292,075.07
Disclosure

SEC source: 0001179706-17-000284 · edgar.xml · nonDerivative · entry 4

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 06/07/17.

F3 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $14.35 to $14.48. 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.

Read SEC document
December 12, 2017 Filed Dec 13, 2017 21:18 UTC
Ricci Jeff TSVP, Controller & PAO
Exercise / conversionCommon Stock 20,255 $12.36 $250,351.80
Disclosure

SEC source: 0001179706-17-000284 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,255

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.

Read SEC document
December 12, 2017 Filed Dec 13, 2017 21:18 UTC
Ricci Jeff TSVP, Controller & PAO
SaleCommon Stock 11,727 $14.42 $169,102.17
Disclosure

SEC source: 0001179706-17-000284 · 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 06/07/17.

F3 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $14.35 to $14.48. 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.

Read SEC document
December 12, 2017 Filed Dec 13, 2017 21:17 UTC
Karros Kirt PSVP, Finance & Treasurer
SaleCommon Stock 4,173 $14.42 $60,170.49
Disclosure

SEC source: 0001179706-17-000282 · edgar.xml · nonDerivative · entry 2

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

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 03/09/17.

F3 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $14.45 to $14.37. 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.

Read SEC document
December 11, 2017 Filed Dec 13, 2017 21:18 UTC
Ricci Jeff TSVP, Controller & PAO
SaleCommon Stock 4,962 $14.26 $70,738.27
Disclosure

SEC source: 0001179706-17-000284 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,727

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 06/07/17.

F2 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $14.26 to $14.29. 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.

Read SEC document
December 11, 2017 Filed Dec 13, 2017 21:17 UTC
Karros Kirt PSVP, Finance & Treasurer
SaleCommon Stock 4,962 $14.26 $70,739.26
Disclosure

SEC source: 0001179706-17-000282 · edgar.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,173

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 03/09/17.

F2 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $14.235 to $14.29. 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.

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:48 UTC
WHITMAN MARGARET CDirector · CEO
Exercise / conversionRestricted Stock Units · Derivative 110,379 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-17-000278 · edgar.xml · derivative · entry 7

WHITMAN MARGARET C · CIK 0001079816 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 110,379 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 12/10/14 the reporting person was granted 104,390 RSUs, 34,796 of which vested early on 09/17/15, 62,583 of which vested on 12/10/16, and 105,320 of which vested on 12/10/17. 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 includes 5,059 vested dividend equivalent rights and a de minimus adjustment of 0.7322 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F4 · price: As previously reported, on 12/10/14 the reporting person was granted 104,390 RSUs, 34,796 of which vested early on 09/17/15, 62,583 of which vested on 12/10/16, and 105,320 of which vested on 12/10/17. 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 includes 5,059 vested dividend equivalent rights and a de minimus adjustment of 0.7322 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F4 · derivative.exercise_date: As previously reported, on 12/10/14 the reporting person was granted 104,390 RSUs, 34,796 of which vested early on 09/17/15, 62,583 of which vested on 12/10/16, and 105,320 of which vested on 12/10/17. 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 includes 5,059 vested dividend equivalent rights and a de minimus adjustment of 0.7322 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F4 · derivative.expiration_date: As previously reported, on 12/10/14 the reporting person was granted 104,390 RSUs, 34,796 of which vested early on 09/17/15, 62,583 of which vested on 12/10/16, and 105,320 of which vested on 12/10/17. 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 includes 5,059 vested dividend equivalent rights and a de minimus adjustment of 0.7322 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:48 UTC
WHITMAN MARGARET CDirector · CEO
Tax withholdingCommon Stock 57,596 $14.34 $825,926.64
Disclosure

SEC source: 0001179706-17-000278 · edgar.xml · nonDerivative · entry 4

WHITMAN MARGARET C · CIK 0001079816 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,406,195

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:48 UTC
WHITMAN MARGARET CDirector · CEO
Exercise / conversionCommon Stock 110,379 $14.34 $1,582,834.86
Disclosure

SEC source: 0001179706-17-000278 · edgar.xml · nonDerivative · entry 3

WHITMAN MARGARET C · CIK 0001079816 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,463,791

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.

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:47 UTC Exercise / conversionRestricted Stock Units · Derivative 7,927 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-17-000277 · edgar.xml · derivative · entry 6

STONESIFER TIMOTHY C. · CIK 0001656085 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,927 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 12/10/14, the reporting person was granted 7,500 RSUs, 2,500 of which vested early on 09/17/15, 4,496 of which vested on 12/10/16, and 7,565 of which vested on 12/10/17. 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 includes 362 vested dividend equivalent rights and a de minimus adjustment of 0.5546 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · price: As previously reported, on 12/10/14, the reporting person was granted 7,500 RSUs, 2,500 of which vested early on 09/17/15, 4,496 of which vested on 12/10/16, and 7,565 of which vested on 12/10/17. 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 includes 362 vested dividend equivalent rights and a de minimus adjustment of 0.5546 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · derivative.exercise_date: As previously reported, on 12/10/14, the reporting person was granted 7,500 RSUs, 2,500 of which vested early on 09/17/15, 4,496 of which vested on 12/10/16, and 7,565 of which vested on 12/10/17. 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 includes 362 vested dividend equivalent rights and a de minimus adjustment of 0.5546 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · derivative.expiration_date: As previously reported, on 12/10/14, the reporting person was granted 7,500 RSUs, 2,500 of which vested early on 09/17/15, 4,496 of which vested on 12/10/16, and 7,565 of which vested on 12/10/17. 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 includes 362 vested dividend equivalent rights and a de minimus adjustment of 0.5546 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:47 UTC Tax withholdingCommon Stock 4,137 $14.34 $59,324.58
Disclosure

SEC source: 0001179706-17-000277 · edgar.xml · nonDerivative · entry 4

STONESIFER TIMOTHY C. · CIK 0001656085 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,229

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:47 UTC Exercise / conversionCommon Stock 7,927 $14.34 $113,673.18
Disclosure

SEC source: 0001179706-17-000277 · edgar.xml · nonDerivative · entry 3

STONESIFER TIMOTHY C. · CIK 0001656085 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 184,366

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.

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:47 UTC
SCHULTZ JOHN FEVP, CLAA & SEC
Exercise / conversionRestricted Stock Units · Derivative 25,470 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-17-000276 · edgar.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,470 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 12/10/14 the reporting person was granted 24,090 RSUs, 8,030 of which vested early on 09/17/15, 14,442 of which vested on 12/10/16, and 24,303 of which vested on 12/10/17. 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 includes 1,167 vested dividend equivalent rights and a de minimus adjustment of 0.2427 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · price: As previously reported, on 12/10/14 the reporting person was granted 24,090 RSUs, 8,030 of which vested early on 09/17/15, 14,442 of which vested on 12/10/16, and 24,303 of which vested on 12/10/17. 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 includes 1,167 vested dividend equivalent rights and a de minimus adjustment of 0.2427 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · derivative.exercise_date: As previously reported, on 12/10/14 the reporting person was granted 24,090 RSUs, 8,030 of which vested early on 09/17/15, 14,442 of which vested on 12/10/16, and 24,303 of which vested on 12/10/17. 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 includes 1,167 vested dividend equivalent rights and a de minimus adjustment of 0.2427 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · derivative.expiration_date: As previously reported, on 12/10/14 the reporting person was granted 24,090 RSUs, 8,030 of which vested early on 09/17/15, 14,442 of which vested on 12/10/16, and 24,303 of which vested on 12/10/17. 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 includes 1,167 vested dividend equivalent rights and a de minimus adjustment of 0.2427 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:47 UTC
SCHULTZ JOHN FEVP, CLAA & SEC
Tax withholdingCommon Stock 13,291 $14.34 $190,592.94
Disclosure

SEC source: 0001179706-17-000276 · edgar.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,304.7105

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:47 UTC
SCHULTZ JOHN FEVP, CLAA & SEC
Exercise / conversionCommon Stock 25,470 $14.34 $365,239.80
Disclosure

SEC source: 0001179706-17-000276 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,595.7105

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.

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:47 UTC
Ricci Jeff TSVP, Controller & PAO
Exercise / conversionRestricted Stock Units · Derivative 7,075 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-17-000275 · edgar.xml · derivative · entry 6

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,075 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 12/10/14 the reporting person was granted 6,692 RSUs, 2,230 of which vested early on 09/17/15, 4,012 of which vested on 12/10/16, and 6,752 of which will vest on 12/10/17. 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 includes 323 vested dividend equivalent rights and a de minimus adjustment of 0.3750 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · price: As previously reported, on 12/10/14 the reporting person was granted 6,692 RSUs, 2,230 of which vested early on 09/17/15, 4,012 of which vested on 12/10/16, and 6,752 of which will vest on 12/10/17. 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 includes 323 vested dividend equivalent rights and a de minimus adjustment of 0.3750 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · derivative.exercise_date: As previously reported, on 12/10/14 the reporting person was granted 6,692 RSUs, 2,230 of which vested early on 09/17/15, 4,012 of which vested on 12/10/16, and 6,752 of which will vest on 12/10/17. 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 includes 323 vested dividend equivalent rights and a de minimus adjustment of 0.3750 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · derivative.expiration_date: As previously reported, on 12/10/14 the reporting person was granted 6,692 RSUs, 2,230 of which vested early on 09/17/15, 4,012 of which vested on 12/10/16, and 6,752 of which will vest on 12/10/17. 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 includes 323 vested dividend equivalent rights and a de minimus adjustment of 0.3750 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:47 UTC
Ricci Jeff TSVP, Controller & PAO
Tax withholdingCommon Stock 3,693 $14.34 $52,957.62
Disclosure

SEC source: 0001179706-17-000275 · edgar.xml · nonDerivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,689

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:47 UTC
Ricci Jeff TSVP, Controller & PAO
Exercise / conversionCommon Stock 7,075 $14.34 $101,455.50
Disclosure

SEC source: 0001179706-17-000275 · edgar.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,382

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.

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:46 UTC Exercise / conversionRestricted Stock Units · Derivative 56,605 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-17-000274 · edgar.xml · derivative · entry 6

Neri Antonio F · CIK 0001648401 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 56,605 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 12/10/14 the reporting person was granted 53,533 RSUs, 17,844 of which vested early on 09/17/15, 32,093 of which vested on 12/10/16, and 54,010 of which vested on 12/10/17. 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 includes 2,595 vested dividend equivalent rights and a de minimus adjustment of 0.6783 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · price: As previously reported, on 12/10/14 the reporting person was granted 53,533 RSUs, 17,844 of which vested early on 09/17/15, 32,093 of which vested on 12/10/16, and 54,010 of which vested on 12/10/17. 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 includes 2,595 vested dividend equivalent rights and a de minimus adjustment of 0.6783 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · derivative.exercise_date: As previously reported, on 12/10/14 the reporting person was granted 53,533 RSUs, 17,844 of which vested early on 09/17/15, 32,093 of which vested on 12/10/16, and 54,010 of which vested on 12/10/17. 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 includes 2,595 vested dividend equivalent rights and a de minimus adjustment of 0.6783 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · derivative.expiration_date: As previously reported, on 12/10/14 the reporting person was granted 53,533 RSUs, 17,844 of which vested early on 09/17/15, 32,093 of which vested on 12/10/16, and 54,010 of which vested on 12/10/17. 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 includes 2,595 vested dividend equivalent rights and a de minimus adjustment of 0.6783 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:46 UTC Tax withholdingCommon Stock 29,538 $14.34 $423,574.92
Disclosure

SEC source: 0001179706-17-000274 · edgar.xml · nonDerivative · entry 4

Neri Antonio F · CIK 0001648401 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,965

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:46 UTC Exercise / conversionCommon Stock 56,605 $14.34 $811,715.70
Disclosure

SEC source: 0001179706-17-000274 · edgar.xml · nonDerivative · entry 3

Neri Antonio F · CIK 0001648401 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,503

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.

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:45 UTC
Gomez HenryEVP, CM & CO
Exercise / conversionRestricted Stock Units · Derivative 23,348 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-17-000271 · edgar.xml · derivative · entry 6

Gomez Henry · CIK 0001317648 · EVP, CM & CO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 23,348 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 12/10/14 the reporting person was granted 22,082 RSUs, 7,360 of which vested early on 09/17/15, 13,238 of which vested on 12/10/16, and 22,279 of which vested on 12/10/17. 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 includes 1,069 vested dividend equivalent rights and a de minimus adjustment of 0.8614 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · price: As previously reported, on 12/10/14 the reporting person was granted 22,082 RSUs, 7,360 of which vested early on 09/17/15, 13,238 of which vested on 12/10/16, and 22,279 of which vested on 12/10/17. 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 includes 1,069 vested dividend equivalent rights and a de minimus adjustment of 0.8614 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · derivative.exercise_date: As previously reported, on 12/10/14 the reporting person was granted 22,082 RSUs, 7,360 of which vested early on 09/17/15, 13,238 of which vested on 12/10/16, and 22,279 of which vested on 12/10/17. 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 includes 1,069 vested dividend equivalent rights and a de minimus adjustment of 0.8614 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

F3 · derivative.expiration_date: As previously reported, on 12/10/14 the reporting person was granted 22,082 RSUs, 7,360 of which vested early on 09/17/15, 13,238 of which vested on 12/10/16, and 22,279 of which vested on 12/10/17. 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 includes 1,069 vested dividend equivalent rights and a de minimus adjustment of 0.8614 due to fractional rounding of the dividend equivalent rights. The RSUs vested on 12/10/17 reflect post spin-off conversion adjustments previously reported.

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:45 UTC
Gomez HenryEVP, CM & CO
Tax withholdingCommon Stock 13,242 $14.34 $189,890.28
Disclosure

SEC source: 0001179706-17-000271 · edgar.xml · nonDerivative · entry 4

Gomez Henry · CIK 0001317648 · EVP, CM & CO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,515

Read SEC document
December 10, 2017 Filed Dec 12, 2017 21:45 UTC
Gomez HenryEVP, CM & CO
Exercise / conversionCommon Stock 23,348 $14.34 $334,810.32
Disclosure

SEC source: 0001179706-17-000271 · edgar.xml · nonDerivative · entry 3

Gomez Henry · CIK 0001317648 · EVP, CM & CO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,757

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.

Read SEC document
December 09, 2017 Filed Dec 12, 2017 21:48 UTC
WHITMAN MARGARET CDirector · CEO
Exercise / conversionRestricted Stock Units · Derivative 126,065 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-17-000278 · edgar.xml · derivative · entry 6

WHITMAN MARGARET C · CIK 0001079816 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,063

Underlying: Common Stock · 126,065 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 12/09/15 the reporting person was granted 218,855 restricted stock units ("RSUs"), 72,951 of which vested on 12/09/16, 122,768 of which vested on 12/09/17, and 122,768 of which will vest on 12/09/18. 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 includes 3,297 vested dividend equivalent rights and a de minimus adjustment of 0.3980 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 12/09/15 the reporting person was granted 218,855 restricted stock units ("RSUs"), 72,951 of which vested on 12/09/16, 122,768 of which vested on 12/09/17, and 122,768 of which will vest on 12/09/18. 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 includes 3,297 vested dividend equivalent rights and a de minimus adjustment of 0.3980 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 12/09/15 the reporting person was granted 218,855 restricted stock units ("RSUs"), 72,951 of which vested on 12/09/16, 122,768 of which vested on 12/09/17, and 122,768 of which will vest on 12/09/18. 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 includes 3,297 vested dividend equivalent rights and a de minimus adjustment of 0.3980 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 12/09/15 the reporting person was granted 218,855 restricted stock units ("RSUs"), 72,951 of which vested on 12/09/16, 122,768 of which vested on 12/09/17, and 122,768 of which will vest on 12/09/18. 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 includes 3,297 vested dividend equivalent rights and a de minimus adjustment of 0.3980 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

Read SEC document
December 09, 2017 Filed Dec 12, 2017 21:48 UTC
WHITMAN MARGARET CDirector · CEO
Tax withholdingCommon Stock 65,782 $14.34 $943,313.88
Disclosure

SEC source: 0001179706-17-000278 · edgar.xml · nonDerivative · entry 2

WHITMAN MARGARET C · CIK 0001079816 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,353,412

Read SEC document
December 09, 2017 Filed Dec 12, 2017 21:48 UTC
WHITMAN MARGARET CDirector · CEO
Exercise / conversionCommon Stock 126,065 $14.34 $1,807,772.10
Disclosure

SEC source: 0001179706-17-000278 · edgar.xml · nonDerivative · entry 1

WHITMAN MARGARET C · CIK 0001079816 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,419,194

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.

Read SEC document
December 09, 2017 Filed Dec 12, 2017 16:46 UTC Exercise / conversionRestricted Stock Units · Derivative 19,394 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-17-000273 · edgar.xml · derivative · entry 3

MAY ALAN RICHARD · CIK 0001656207 · EVP, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,395

Underlying: Common Stock · 19,394 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 33,670 Restricted Stock Units ("RSUs"), 11,223 of which vested on 12/09/16, 18,886 of which vested on 12/09/17, and 18,889 of which will vest on 12/09/18. 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 includes 508 vested dividend equivalent rights and a de minimus adjustment of 0.1621 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F2 · price: As previously reported, on 12/09/15, the reporting person was granted 33,670 Restricted Stock Units ("RSUs"), 11,223 of which vested on 12/09/16, 18,886 of which vested on 12/09/17, and 18,889 of which will vest on 12/09/18. 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 includes 508 vested dividend equivalent rights and a de minimus adjustment of 0.1621 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F2 · derivative.exercise_date: As previously reported, on 12/09/15, the reporting person was granted 33,670 Restricted Stock Units ("RSUs"), 11,223 of which vested on 12/09/16, 18,886 of which vested on 12/09/17, and 18,889 of which will vest on 12/09/18. 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 includes 508 vested dividend equivalent rights and a de minimus adjustment of 0.1621 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F2 · derivative.expiration_date: As previously reported, on 12/09/15, the reporting person was granted 33,670 Restricted Stock Units ("RSUs"), 11,223 of which vested on 12/09/16, 18,886 of which vested on 12/09/17, and 18,889 of which will vest on 12/09/18. 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 includes 508 vested dividend equivalent rights and a de minimus adjustment of 0.1621 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

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December 09, 2017 Filed Dec 12, 2017 16:46 UTC Tax withholdingCommon Stock 10,121 $14.34 $145,135.14
Disclosure

SEC source: 0001179706-17-000273 · edgar.xml · nonDerivative · entry 2

MAY ALAN RICHARD · CIK 0001656207 · EVP, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,686

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December 09, 2017 Filed Dec 12, 2017 16:46 UTC Exercise / conversionCommon Stock 19,394 $14.34 $278,109.96
Disclosure

SEC source: 0001179706-17-000273 · edgar.xml · nonDerivative · entry 1

MAY ALAN RICHARD · CIK 0001656207 · EVP, HR

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,807

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.

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December 09, 2017 Filed Dec 12, 2017 21:47 UTC Exercise / conversionRestricted Stock Units · Derivative 29,092 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-17-000277 · edgar.xml · derivative · entry 5

STONESIFER TIMOTHY C. · CIK 0001656085 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,090

Underlying: Common Stock · 29,092 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 50,505 restricted stock units ("RSUs"), 16,835 of which vested on 12/09/16, 28,331 of which vested on 12/09/17, and 28,331 of which will vest on 12/09/18. 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 includes 761 vested dividend equivalent rights and a de minimus adjustment of 0.9352 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F2 · price: As previously reported, on 12/09/15, the reporting person was granted 50,505 restricted stock units ("RSUs"), 16,835 of which vested on 12/09/16, 28,331 of which vested on 12/09/17, and 28,331 of which will vest on 12/09/18. 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 includes 761 vested dividend equivalent rights and a de minimus adjustment of 0.9352 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F2 · derivative.exercise_date: As previously reported, on 12/09/15, the reporting person was granted 50,505 restricted stock units ("RSUs"), 16,835 of which vested on 12/09/16, 28,331 of which vested on 12/09/17, and 28,331 of which will vest on 12/09/18. 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 includes 761 vested dividend equivalent rights and a de minimus adjustment of 0.9352 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F2 · derivative.expiration_date: As previously reported, on 12/09/15, the reporting person was granted 50,505 restricted stock units ("RSUs"), 16,835 of which vested on 12/09/16, 28,331 of which vested on 12/09/17, and 28,331 of which will vest on 12/09/18. 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 includes 761 vested dividend equivalent rights and a de minimus adjustment of 0.9352 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

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December 09, 2017 Filed Dec 12, 2017 21:47 UTC Tax withholdingCommon Stock 15,182 $14.34 $217,709.88
Disclosure

SEC source: 0001179706-17-000277 · edgar.xml · nonDerivative · entry 2

STONESIFER TIMOTHY C. · CIK 0001656085 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,439

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December 09, 2017 Filed Dec 12, 2017 21:47 UTC Exercise / conversionCommon Stock 29,092 $14.34 $417,179.28
Disclosure

SEC source: 0001179706-17-000277 · edgar.xml · nonDerivative · entry 1

STONESIFER TIMOTHY C. · CIK 0001656085 · EVP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 191,621

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.

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December 09, 2017 Filed Dec 12, 2017 21:47 UTC
SCHULTZ JOHN FEVP, CLAA & SEC
Exercise / conversionRestricted Stock Units · Derivative 26,666 Not disclosed Not disclosed
Disclosure

SEC source: 0001179706-17-000276 · edgar.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,666

Underlying: Common Stock · 26,666 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 46,296 restricted stock units ("RSUs"), 15,432 of which vested on 12/09/16, 25,969 of which vested on 12/09/17, and 25,970 of which will vest on 12/09/18. 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 includes 697 vested dividend equivalent rights and a de minimus adjustment of 0.2557 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F2 · price: As previously reported, on 12/09/15 the reporting person was granted 46,296 restricted stock units ("RSUs"), 15,432 of which vested on 12/09/16, 25,969 of which vested on 12/09/17, and 25,970 of which will vest on 12/09/18. 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 includes 697 vested dividend equivalent rights and a de minimus adjustment of 0.2557 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F2 · derivative.exercise_date: As previously reported, on 12/09/15 the reporting person was granted 46,296 restricted stock units ("RSUs"), 15,432 of which vested on 12/09/16, 25,969 of which vested on 12/09/17, and 25,970 of which will vest on 12/09/18. 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 includes 697 vested dividend equivalent rights and a de minimus adjustment of 0.2557 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

F2 · derivative.expiration_date: As previously reported, on 12/09/15 the reporting person was granted 46,296 restricted stock units ("RSUs"), 15,432 of which vested on 12/09/16, 25,969 of which vested on 12/09/17, and 25,970 of which will vest on 12/09/18. 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 includes 697 vested dividend equivalent rights and a de minimus adjustment of 0.2557 due to fractional rounding of the dividend equivalent rights. Unvested RSUs in this footnote reflect post spin-off conversion adjustments previously reported.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.