IBM

SEC source: 0001562180-23-007139 · primarydocument.xml · derivative · entry 1

Buberl Thomas · CIK 0001738987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,432

Underlying: Common Stock · 624 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-007140 · primarydocument.xml · derivative · entry 1

Gorsky Alex · CIK 0001453149 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 27,141

Underlying: Common Stock · 713 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-007142 · primarydocument.xml · derivative · entry 1

LIVERIS ANDREW N · CIK 0001269971 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,661

Underlying: Common Stock · 660 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-007143 · primarydocument.xml · derivative · entry 1

MCNABB FREDERICK WILLIAM III · CIK 0001731814 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,117

Underlying: Common Stock · 624 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-007144 · primarydocument.xml · derivative · entry 1

Pollack Martha E · CIK 0001765271 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,328

Underlying: Common Stock · 624 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-007145 · primarydocument.xml · derivative · entry 1

WADDELL FREDERICK H · CIK 0001223690 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,818

Underlying: Common Stock · 660 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-007146 · primarydocument.xml · derivative · entry 1

ZOLLAR ALFRED W · CIK 0001196985 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,051

Underlying: Common Stock · 624 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-007147 · primarydocument.xml · derivative · entry 1

Swedish Joseph · CIK 0001179745 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,237

Underlying: Common Stock · 624 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-006505 · primarydocument.xml · derivative · entry 3

LAMOREAUX NICKLE JACLYN · CIK 0001837510 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,168 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 · security: On 08/18/2020, the reporting person was granted 8,067 RSUs, 4,033 of which vested on 08/18/2021 and 4,034 of which vested on 08/18/2023. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

F2 · derivative.exercise_price: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F3 · kind: Release of restricted stock units.

F2 · derivative.exercise_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F2 · derivative.expiration_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

SEC source: 0001562180-23-006505 · primarydocument.xml · nonDerivative · entry 2

LAMOREAUX NICKLE JACLYN · CIK 0001837510 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,626.501

SEC source: 0001562180-23-006505 · primarydocument.xml · nonDerivative · entry 1

LAMOREAUX NICKLE JACLYN · CIK 0001837510 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 22,755.501

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: 0001562180-23-006278 · primarydocument.xml · derivative · entry 1

KAVANAUGH JAMES J · CIK 0001433640 · Sr. VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,743

Underlying: Common Stock · 113 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-23-006279 · primarydocument.xml · derivative · entry 1

BROWDY MICHELLE H · CIK 0001628938 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,623

Underlying: Common Stock · 54 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-23-006280 · primarydocument.xml · derivative · entry 1

KRISHNA ARVIND · CIK 0001629898 · Director · Chairman and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,410

Underlying: Common Stock · 212 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-23-005695 · primarydocument.xml · derivative · entry 1

Buberl Thomas · CIK 0001738987 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,711

Underlying: Common Stock · 654 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-005696 · primarydocument.xml · derivative · entry 1

Gorsky Alex · CIK 0001453149 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,136

Underlying: Common Stock · 748 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-005697 · primarydocument.xml · derivative · entry 1

FARR DAVID N · CIK 0001183474 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,312

Underlying: Common Stock · 412 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-005699 · primarydocument.xml · derivative · entry 1

Pollack Martha E · CIK 0001765271 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,564

Underlying: Common Stock · 654 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-005698 · primarydocument.xml · derivative · entry 1

LIVERIS ANDREW N · CIK 0001269971 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,604

Underlying: Common Stock · 692 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-005700 · primarydocument.xml · derivative · entry 1

MCNABB FREDERICK WILLIAM III · CIK 0001731814 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,377

Underlying: Common Stock · 654 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-005701 · primarydocument.xml · derivative · entry 1

Swedish Joseph · CIK 0001179745 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,474

Underlying: Common Stock · 654 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-005702 · primarydocument.xml · derivative · entry 1

ZOLLAR ALFRED W · CIK 0001196985 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,379

Underlying: Common Stock · 654 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-005703 · primarydocument.xml · derivative · entry 1

WADDELL FREDERICK H · CIK 0001223690 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,969

Underlying: Common Stock · 692 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-005704 · primarydocument.xml · derivative · entry 1

HOWARD MICHELLE J · CIK 0001769389 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,085

Underlying: Common Stock · 589 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-005705 · primarydocument.xml · derivative · entry 1

VOSER PETER R. · CIK 0001628797 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,622

Underlying: Common Stock · 710 shares

Expires not disclosed

F1 · derivative.exercise_price: Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan are paid out after retirement in the company's common stock or cash.

F2 · kind: Deferral of fees into Promised Fee Shares under the terms of the IBM Board of Directors Deferred Compensation and Equity Award Plan.

F3 · derivative.exercise_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

F3 · derivative.expiration_date: Distribution of Promised Fee Shares under the IBM Board of Directors Deferred Compensation and Equity Award Plan is deferred until retirement.

SEC source: 0001562180-23-005032 · primarydocument.xml · derivative · entry 9

Rosamilia Thomas W · CIK 0001576105 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,136

Underlying: Common Stock · 4,068 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.

F5 · security: On 06/08/21, the reporting person was granted 15,748 RSUs, 3,937 of which vested on 06/08/22, 3,937 of which vested on 06/08/23, 3,937 of which will vest on 06/08/24, and 3,937 of which will vest on 06/08/25. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

F2 · derivative.exercise_price: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F3 · kind: Release of restricted stock units.

F2 · derivative.exercise_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F2 · derivative.expiration_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F5 · balance_after: On 06/08/21, the reporting person was granted 15,748 RSUs, 3,937 of which vested on 06/08/22, 3,937 of which vested on 06/08/23, 3,937 of which will vest on 06/08/24, and 3,937 of which will vest on 06/08/25. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

SEC source: 0001562180-23-005032 · primarydocument.xml · derivative · entry 8

Rosamilia Thomas W · CIK 0001576105 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,404

Underlying: Common Stock · 4,403 shares

Expires not disclosed

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

F4 · security: On 06/08/20, the reporting person was granted 17,048 RSUs, 4,262 of which vested on 06/08/21, 4,262 of which vested on 06/08/22, 4,262 of which vested on 06/08/23, and 4,262 of which will vest on 06/08/24. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

F2 · derivative.exercise_price: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F3 · kind: Release of restricted stock units.

F2 · derivative.exercise_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F2 · derivative.expiration_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F4 · balance_after: On 06/08/20, the reporting person was granted 17,048 RSUs, 4,262 of which vested on 06/08/21, 4,262 of which vested on 06/08/22, 4,262 of which vested on 06/08/23, and 4,262 of which will vest on 06/08/24. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

SEC source: 0001562180-23-005032 · primarydocument.xml · nonDerivative · entry 6

Rosamilia Thomas W · CIK 0001576105 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,689.868

SEC source: 0001562180-23-005032 · primarydocument.xml · nonDerivative · entry 5

Rosamilia Thomas W · CIK 0001576105 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,718.868

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: 0001562180-23-005032 · primarydocument.xml · nonDerivative · entry 4

Rosamilia Thomas W · CIK 0001576105 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,650.868

SEC source: 0001562180-23-005032 · primarydocument.xml · nonDerivative · entry 3

Rosamilia Thomas W · CIK 0001576105 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,829.868

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: 0001562180-23-005033 · primarydocument.xml · derivative · entry 9

BROWDY MICHELLE H · CIK 0001628938 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,945

Underlying: Common Stock · 2,973 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.

F5 · security: On 06/08/21, the reporting person was granted 11,508 RSUs, 2,877 of which vested on 06/08/22, 2,877 of which vested on 06/08/23, 2,877 of which will vest on 06/08/24, and 2,877 of which will vest on 06/08/25. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

F2 · derivative.exercise_price: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F3 · kind: Release of restricted stock units.

F2 · derivative.exercise_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F2 · derivative.expiration_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F5 · balance_after: On 06/08/21, the reporting person was granted 11,508 RSUs, 2,877 of which vested on 06/08/22, 2,877 of which vested on 06/08/23, 2,877 of which will vest on 06/08/24, and 2,877 of which will vest on 06/08/25. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

SEC source: 0001562180-23-005033 · primarydocument.xml · derivative · entry 8

BROWDY MICHELLE H · CIK 0001628938 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,231

Underlying: Common Stock · 3,229 shares

Expires not disclosed

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

F4 · security: On 06/08/20, the reporting person was granted 12,502 RSUs, 3,125 of which vested on 06/08/21, 3,125 of which vested on 06/08/22, 3,125 of which vested on 06/08/23, and 3,127 of which will vest on 06/08/24. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

F2 · derivative.exercise_price: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F3 · kind: Release of restricted stock units.

F2 · derivative.exercise_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F2 · derivative.expiration_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F4 · balance_after: On 06/08/20, the reporting person was granted 12,502 RSUs, 3,125 of which vested on 06/08/21, 3,125 of which vested on 06/08/22, 3,125 of which vested on 06/08/23, and 3,127 of which will vest on 06/08/24. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

SEC source: 0001562180-23-005033 · primarydocument.xml · nonDerivative · entry 6

BROWDY MICHELLE H · CIK 0001628938 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,435.162

SEC source: 0001562180-23-005033 · primarydocument.xml · nonDerivative · entry 5

BROWDY MICHELLE H · CIK 0001628938 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,954.162

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: 0001562180-23-005033 · primarydocument.xml · nonDerivative · entry 4

BROWDY MICHELLE H · CIK 0001628938 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,981.162

SEC source: 0001562180-23-005033 · primarydocument.xml · nonDerivative · entry 3

BROWDY MICHELLE H · CIK 0001628938 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 119,631.162

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: 0001562180-23-005034 · primarydocument.xml · derivative · entry 9

KAVANAUGH JAMES J · CIK 0001433640 · Sr. VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,326

Underlying: Common Stock · 5,163 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.

F5 · security: On 06/08/21, the reporting person was granted 19,988 RSUs, 4,997 of which vested on 06/08/22, 4,997 of which vested on 06/08/23, 4,997 of which will vest on 06/08/24, and 4,997 of which will vest on 06/08/25. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

F2 · derivative.exercise_price: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F3 · kind: Release of restricted stock units.

F2 · derivative.exercise_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F2 · derivative.expiration_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F5 · balance_after: On 06/08/21, the reporting person was granted 19,988 RSUs, 4,997 of which vested on 06/08/22, 4,997 of which vested on 06/08/23, 4,997 of which will vest on 06/08/24, and 4,997 of which will vest on 06/08/25. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

SEC source: 0001562180-23-005034 · primarydocument.xml · derivative · entry 8

KAVANAUGH JAMES J · CIK 0001433640 · Sr. VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,688

Underlying: Common Stock · 5,688 shares

Expires not disclosed

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

F4 · security: On 06/08/20, the reporting person was granted 22,020 RSUs, 5,505 of which vested on 06/08/21, 5,505 of which vested on 06/08/22, 5,505 of which vested on 06/08/23, and 5,505 of which will vest on 06/08/24. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

F2 · derivative.exercise_price: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F3 · kind: Release of restricted stock units.

F2 · derivative.exercise_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F2 · derivative.expiration_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F4 · balance_after: On 06/08/20, the reporting person was granted 22,020 RSUs, 5,505 of which vested on 06/08/21, 5,505 of which vested on 06/08/22, 5,505 of which vested on 06/08/23, and 5,505 of which will vest on 06/08/24. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

SEC source: 0001562180-23-005034 · primarydocument.xml · nonDerivative · entry 6

KAVANAUGH JAMES J · CIK 0001433640 · Sr. VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,348.5712

SEC source: 0001562180-23-005034 · primarydocument.xml · nonDerivative · entry 5

KAVANAUGH JAMES J · CIK 0001433640 · Sr. VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,936.5712

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: 0001562180-23-005034 · primarydocument.xml · nonDerivative · entry 4

KAVANAUGH JAMES J · CIK 0001433640 · Sr. VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 95,773.5712

SEC source: 0001562180-23-005034 · primarydocument.xml · nonDerivative · entry 3

KAVANAUGH JAMES J · CIK 0001433640 · Sr. VP and CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98,624.5712

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: 0001562180-23-005035 · primarydocument.xml · derivative · entry 9

LAMOREAUX NICKLE JACLYN · CIK 0001837510 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,755

Underlying: Common Stock · 1,376 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.

F5 · security: On 06/08/21, the reporting person was granted 5,330 RSUs, 1,332 of which vested on 06/08/22, 1,332 of which vested on 06/08/23, 1,332 of which will vest on 06/08/24, and 1,334 of which will vest on 06/08/25. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

F2 · derivative.exercise_price: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F3 · kind: Release of restricted stock units.

F2 · derivative.exercise_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F2 · derivative.expiration_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F5 · balance_after: On 06/08/21, the reporting person was granted 5,330 RSUs, 1,332 of which vested on 06/08/22, 1,332 of which vested on 06/08/23, 1,332 of which will vest on 06/08/24, and 1,334 of which will vest on 06/08/25. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

SEC source: 0001562180-23-005035 · primarydocument.xml · derivative · entry 8

LAMOREAUX NICKLE JACLYN · CIK 0001837510 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 527

Underlying: Common Stock · 524 shares

Expires not disclosed

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

F4 · security: On 06/08/20, the reporting person was granted 2,030 RSUs, 507 of which vested on 06/08/21, 507 of which vested on 06/08/22, 507 of which vested on 06/08/23, and 509 of which will vest on 06/08/24. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

F2 · derivative.exercise_price: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F3 · kind: Release of restricted stock units.

F2 · derivative.exercise_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F2 · derivative.expiration_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F4 · balance_after: On 06/08/20, the reporting person was granted 2,030 RSUs, 507 of which vested on 06/08/21, 507 of which vested on 06/08/22, 507 of which vested on 06/08/23, and 509 of which will vest on 06/08/24. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

SEC source: 0001562180-23-005035 · primarydocument.xml · nonDerivative · entry 6

LAMOREAUX NICKLE JACLYN · CIK 0001837510 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,575.878

SEC source: 0001562180-23-005035 · primarydocument.xml · nonDerivative · entry 5

LAMOREAUX NICKLE JACLYN · CIK 0001837510 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,278.878

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: 0001562180-23-005035 · primarydocument.xml · nonDerivative · entry 4

LAMOREAUX NICKLE JACLYN · CIK 0001837510 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,902.878

SEC source: 0001562180-23-005035 · primarydocument.xml · nonDerivative · entry 3

LAMOREAUX NICKLE JACLYN · CIK 0001837510 · Senior Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,170.878

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: 0001562180-23-005036 · primarydocument.xml · derivative · entry 9

Fehring Nicolas A. · CIK 0001875415 · VP, Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,031

Underlying: Common Stock · 514 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.

F5 · security: On 06/08/21, the reporting person was granted 1,991 RSUs, 497 of which vested on 06/08/22, 497 of which vested on 06/08/23, 497 of which will vest on 06/08/24, and 500 of which will vest on 06/08/25. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.

F2 · derivative.exercise_price: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F3 · kind: Release of restricted stock units.

F2 · derivative.exercise_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F2 · derivative.expiration_date: These units were payable in cash or the company's common stock upon the lapse of the restrictions on the transaction date shown.

F5 · balance_after: On 06/08/21, the reporting person was granted 1,991 RSUs, 497 of which vested on 06/08/22, 497 of which vested on 06/08/23, 497 of which will vest on 06/08/24, and 500 of which will vest on 06/08/25. In connection with the spin-off of Kyndryl Holdings, Inc. on November 3, 2021, unvested Issuer restricted stock units were adjusted to reflect additional restricted stock units, which additional restricted stock units are included in the figures above.