IQV

SEC source: 0001209191-18-050742 · doc4.xml · nonDerivative · entry 2

DANHAKL JOHN G · CIK 0001162644 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,440

F1 · deemedExecutionDate: Not applicable.

F2 · kind: Mr. John Danhakl directly (whether through ownership or position) or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares of common stock, par value $0.01 per share, of the Issuer (the "Shares") owned by Green Equity Investors V, L.P. ("GEI V"), Green Equity Investors Side V, L.P. ("GEI Side V"), and LGP Iceberg Coinvest, LLC ("LGP Ice"). Mr. Danhakl disclaims beneficial ownership of the Shares reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F3 · kind: GEI V, GEI Side V, and LGP Ice issued instructions to their custodian requesting the immediate distribution of 1,901,987, 421,708, and 17,558 of the Shares reported as distributed on this row, respectively, to certain limited partners of GEI V, GEI Side V, and LGP Ice, pro rata in accordance with such limited partners' respective partnership interests in GEI V, GEI Side V, and LGP Ice (the "Distribution").

F5 · shares: Mr. Danhakl received an aggregate of 134,440 Shares in the Distribution.

SEC source: 0001209191-18-050742 · doc4.xml · nonDerivative · entry 1

DANHAKL JOHN G · CIK 0001162644 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 813,014

F1 · deemedExecutionDate: Not applicable.

F2 · kind: Mr. John Danhakl directly (whether through ownership or position) or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares of common stock, par value $0.01 per share, of the Issuer (the "Shares") owned by Green Equity Investors V, L.P. ("GEI V"), Green Equity Investors Side V, L.P. ("GEI Side V"), and LGP Iceberg Coinvest, LLC ("LGP Ice"). Mr. Danhakl disclaims beneficial ownership of the Shares reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F3 · kind: GEI V, GEI Side V, and LGP Ice issued instructions to their custodian requesting the immediate distribution of 1,901,987, 421,708, and 17,558 of the Shares reported as distributed on this row, respectively, to certain limited partners of GEI V, GEI Side V, and LGP Ice, pro rata in accordance with such limited partners' respective partnership interests in GEI V, GEI Side V, and LGP Ice (the "Distribution").

F4 · ownership.nature: Following the Distribution, 505,545 Shares are owned by GEI V, 300,493 Shares are owned by GEI Side V, and 6,976 Shares are owned by LGP Ice.

SEC source: 0001209191-18-050199 · doc4.xml · nonDerivative · entry 1

DANHAKL JOHN G · CIK 0001162644 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,154,267

F1 · shares: 170,695 shares of common stock, par value $0.01 per share, of the Issuer (the "Shares") were sold by Green Equity Investors V, L.P. ("GEI V") and 51,205 Shares were sold by Green Equity Investors Side V, L.P. ("GEI Side V").

F2 · price: This transaction was executed in multiple trades at prices ranging from $126.31 to $127.01. The price reported reflects the weighted average sale price. Mr. Danhakl hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer, full information regarding the number of Shares and prices at which the trades were effected.

F3 · balance_after: 2,407,532 Shares are owned by GEI V, 722,201 Shares are owned by GEI Side V, and 24,534 Shares are owned by LGP Iceberg Coinvest, LLC ("LGP Ice"). The Shares reported on this row are subject to a lock-up agreement and cannot be sold without underwriter consent until 45 days after the date of the prospectus relating to the transactions reported hereon.

F4 · ownership.nature: Mr. Danhakl directly (whether through ownership or position) or indirectly through one or more intermediaries, may be deemed for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, to be the indirect beneficial owner of the shares owned by GEI V, GEI Side V, and LGP Ice. Mr. Danhakl disclaims beneficial ownership of the Shares reported herein except to the extent of his pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0001478242-18-000053 · edgar.xml · derivative · entry 3

Knightly Kevin C · CIK 0001350000 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,216 shares

Expires 2020-03-15

SEC source: 0001478242-18-000053 · edgar.xml · nonDerivative · entry 2

Knightly Kevin C · CIK 0001350000 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,323

F1 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $126.40 to $126.65 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001478242-18-000053 · edgar.xml · nonDerivative · entry 1

Knightly Kevin C · CIK 0001350000 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,539

SEC source: 0001209191-18-050604 · doc4a.xml · nonDerivative · entry 1

DANHAKL JOHN G · CIK 0001162644 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 3,154,267

F1 · ownership.nature: This amendment is being filed to revise language in footnote 3 of the Form 4 filed September 10, 2018, which is hereby being amended to read in its entirety as follows: "2,407,532 Shares are owned by GEI V, 722,201 Shares are owned by GEI Side V, and 24,534 Shares are owned by LGP Iceberg Coinvest, LLC ("LGP Ice")." There is currently no lock-up on the Shares of the Reporting Person. The transaction reported herein is not new or revised but is being reported again in order to gain access to the system in order to make the above amendment to such footnote.

SEC source: 0001478242-18-000051 · edgar.xml · nonDerivative · entry 2

Parks Robert · CIK 0001707662 · Sr Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,195

SEC source: 0001478242-18-000051 · edgar.xml · nonDerivative · entry 1

Parks Robert · CIK 0001707662 · Sr Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,721

SEC source: 0001478242-18-000048 · edgar.xml · derivative · entry 3

Rittenmeyer Ronald A · CIK 0001210018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,680 shares

Expires 2020-07-20

SEC source: 0001478242-18-000048 · edgar.xml · nonDerivative · entry 2

Rittenmeyer Ronald A · CIK 0001210018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,307

F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 8, 2018.

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $121.71 to $124.60 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001478242-18-000048 · edgar.xml · nonDerivative · entry 1

Rittenmeyer Ronald A · CIK 0001210018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,987

SEC source: 0001478242-18-000049 · edgar.xml · derivative · entry 4

BOUSBIB ARI · CIK 0001184180 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 368,640 shares

Expires 2020-12-01

SEC source: 0001478242-18-000049 · edgar.xml · nonDerivative · entry 2

BOUSBIB ARI · CIK 0001184180 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 788,217

F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on June 15, 2018

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $120.94 to $124.60 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001478242-18-000049 · edgar.xml · nonDerivative · entry 1

BOUSBIB ARI · CIK 0001184180 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,156,857

SEC source: 0001478242-18-000044 · edgar.xml · nonDerivative · entry 1

MCDONNELL MICHAEL R · CIK 0001121897 · EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,285

SEC source: 0000903423-18-000351 · iqvia.xml · nonDerivative · entry 1

TPG Group Holdings (SBS) Advisors, Inc. · CIK 0001495741 · Director

TPG Advisors VI, Inc. · CIK 0001433038 · Director

TPG Advisors V, Inc. · CIK 0001425876 · Director

TPG Biotech Advisors, Inc. · CIK 0001666545 · Director

BONDERMAN DAVID · CIK 0000860866 · Director

COULTER JAMES G · CIK 0001099776 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Explanation of Responses

Disclosed balance after: 16,149,276

F1 · ownership.nature: David Bonderman and James G. Coulter are sole shareholders of each of (i) TPG Group Holdings (SBS) Advisors, Inc. ("Group Advisors"), (ii) TPG Advisors VI, Inc. ("Advisors VI"), (iii) TPG Advisors V, Inc. ("Advisors V") and (iv) TPG Biotech Advisors, Inc. ("Biotech Advisors" and, together with Group Advisors, Advisors VI, Advisors V and Messrs. Bonderman and Coulter, the "Reporting Persons").

F2 · ownership.nature: Group Advisors is the sole member of TPG Group Holdings (SBS) Advisors, LLC, which is the general partner of TPG Group Holdings (SBS), L.P., which is the sole member of TPG Holdings I-A, LLC, which is the general partner of TPG Holdings I, L.P., which is the sole member of each of (i) TPG GenPar V Advisors, LLC, (ii) TPG GenPar VI Advisors, LLC and (iii) TPG Biotechnology GenPar III Advisors, LLC. TPG GenPar V Advisors, LLC is the general partner of TPG GenPar V, L.P., which is the general partner of each of (i) TPG Partners V, L.P., which directly holds 5,774,974 shares of Common Stock ("Common Stock") of IQVIA Holdings Inc. (the "Issuer"), (ii) TPG FOF V-A, L.P., which directly holds 15,108 shares of Common Stock, and (iii) TPG FOF V-B, L.P., which directly holds 12,182 shares of Common Stock.

F3 · ownership.nature: TPG GenPar VI Advisors, LLC is the general partner of TPG GenPar VI, L.P., which is the general partner of TPG Partners VI, L.P., which directly holds 5,779,419 shares of Common Stock. TPG Biotechnology GenPar III Advisors, LLC is the general partner of TPG Biotechnology GenPar III, L.P., which is the general partner of TPG Biotechnology Partners III, L.P., which directly holds 238,449 shares of Common Stock. Advisors VI is the (i) general partner of TPG FOF VI SPV, L.P., which directly holds 22,846 shares of Common Stock, and (ii) managing member of TPG Iceberg Co-Invest LLC, which directly holds 1,987,076 shares of Common Stock.

F4 · ownership.nature: Advisors V is the general partner of TPG Quintiles Holdco II, L.P., which directly holds 2,203,897 shares of Common Stock. Biotech Advisors is the general partner of TPG Quintiles Holdco III, L.P. (together with TPG Partners V, L.P., TPG FOF V-A, L.P., TPG FOF V-B, L.P., TPG Partners VI, L.P., TPG Biotechnology Partners III, L.P., TPG FOF VI SPV, L.P., TPG Iceberg Co-Invest LLC and TPG Quintiles Holdco II, L.P., the "TPG Funds"), which directly holds 115,325 shares of Common Stock.

F5 · ownership.nature: Because of the relationship between the Reporting Persons and the TPG Funds, the Reporting Persons may be deemed to beneficially own the securities reported herein to the extent of the greater of their respective direct or indirect pecuniary interests in the profits or capital accounts of the TPG Funds. Each Reporting Person and each of the TPG Funds disclaims beneficial ownership of the securities reported herein, except to the extent of such Reporting Person's or such TPG Fund's pecuniary interest therein, if any.

F6 · ownership.nature: Pursuant to Rule 16a-1(a)(4) under the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act") or otherwise, the beneficial owners of any equity securities in excess of their respective pecuniary interests.

SEC source: 0001478242-18-000040 · edgar.xml · derivative · entry 4

BOUSBIB ARI · CIK 0001184180 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 368,640

Underlying: Common Stock · 92,160 shares

Expires 2020-12-01

SEC source: 0001478242-18-000040 · edgar.xml · nonDerivative · entry 2

BOUSBIB ARI · CIK 0001184180 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 788,217

F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2017.

F2 · price: The price reported in Column 4 is a weighted average price for shares sold in multiple transactions. The sale prices range from $103.05 to $103.40 per share. The reporting person has provided to the issuer, and undertakes to provide to the Commission staff or a security holder of the issuer, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

SEC source: 0001478242-18-000040 · edgar.xml · nonDerivative · entry 1

BOUSBIB ARI · CIK 0001184180 · Director · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 880,377

SEC source: 0001144204-18-034810 · tv496719_4.xml · nonDerivative · entry 3

CPP Investment Board Private Holdings, Inc. · CIK 0001604687 · 10% owner

CANADA PENSION PLAN INVESTMENT BOARD · CIK 0001283718 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,569,600

F3 · ownership.direct: The disposed securities reported on this row reflect a disposition of indirect ownership by CPPIB as a result of the disposition of 3,097,012 shares of the issuer by CPPIB-PHI. CPPIB directly owns 1,569,600 shares of the issuer and the disposed securities reported on this Form 4 do not include any securities directly owned by CPPIB. CPPIB-PHI has no beneficial ownership over the issuer's securities that are directly owned by CPPIB.

SEC source: 0001144204-18-034810 · tv496719_4.xml · nonDerivative · entry 2

CPP Investment Board Private Holdings, Inc. · CIK 0001604687 · 10% owner

CANADA PENSION PLAN INVESTMENT BOARD · CIK 0001283718 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 5,883,788

F2 · ownership.nature: The securities reported on this row are indirectly owned by Canada Pension Plan Investment Board ("CPPIB") and consist of (i) 5,877,188 shares of the issuer directly owned by CPPIB-PHI, a wholly-owned subsidiary of CPPIB, and (ii) 6,600 shares of the issuer owned by CPPIB MAP Cayman SPC, a wholly-owned subsidiary of CPPIB. CPPIB-PHI has no beneficial ownership over the 6,600 shares of common stock held indirectly by CPPIB through CPPIB MAP Cayman SPC.

SEC source: 0001144204-18-034810 · tv496719_4.xml · nonDerivative · entry 1

CPP Investment Board Private Holdings, Inc. · CIK 0001604687 · 10% owner

CANADA PENSION PLAN INVESTMENT BOARD · CIK 0001283718 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,877,188

F1 · ownership.direct: The securities reported on this row are directly owned by CPP Investment Board Private Holdings, Inc. ("CPPIB-PHI").

SEC source: 0000899243-18-017168 · doc4.xml · nonDerivative · entry 1

CONNAUGHTON JOHN · CIK 0001213395 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 3,815,315

F1 · ownership.nature: Represents shares of Common Stock held directly by Bain Capital Integral Investors 2008, L.P., BCIP TCV, LLC and BCIP Associates-G (collectively, the "Bain Capital Entities).

F2 · ownership.nature: The governance, investment strategy and decision-making process with respect to the investments held by the Bain Capital Entities is directed by the Global Private Equity Board ("GPEB") of Bain Capital Investors, LLC ("BCI"). John Connaughton is a member of GPEB and a Managing Director of BCI. By virtue of the relationships described in these footnotes, Mr. Connaughton may be deemed to share voting and dispositive power with respect to all of the shares of Common Stock held by the Bain Capital Entities. Mr. Connaughton disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0000899243-18-016615 · doc4.xml · nonDerivative · entry 2

CONNAUGHTON JOHN · CIK 0001213395 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F4 · kind: Mr. Connaughton made a charitable gift of all 11,895 shares of Common Stock that he received in connection with the distribution described in footnote 3 above.

SEC source: 0000899243-18-016615 · doc4.xml · nonDerivative · entry 1

CONNAUGHTON JOHN · CIK 0001213395 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 5,256,551

F3 · kind: On June 12, 2018 certain of the Bain Capital Entities distributed 145,499 shares of Common Stock to one or more members or partners of the Bain Capital Entities, including 11,895 shares of Common Stock to Mr. Connaughton, in connection with certain charitable gifts made by such members or partners or their direct or indirect owners on June 12, 2018.

F1 · ownership.nature: Represents shares of Common Stock held directly by Bain Capital Integral Investors 2008, L.P., BCIP TCV, LLC and BCIP Associates-G (collectively, the "Bain Capital Entities").

F2 · ownership.nature: The governance, investment strategy and decision-making process with respect to the investments held by the Bain Capital Entities is directed by the Global Private Equity Board ("GPEB") of Bain Capital Investors, LLC ("BCI"). John Connaughton is a member of GPEB and a Managing Director of BCI. By virtue of the relationships described in these footnotes, Mr. Connaughton may be deemed to share voting and dispositive power with respect to all of the shares of Common Stock held by the Bain Capital Entities. Mr. Connaughton disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

SEC source: 0001478242-18-000035 · edgar.xml · nonDerivative · entry 1

EVANISKO MICHAEL J · CIK 0001258567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,358

F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2017.

SEC source: 0001478242-18-000030 · edgar.xml · nonDerivative · entry 1

GREENBERG JACK M · CIK 0001074611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,388

F1 · shares: Shares acquired from award of IQVIA Holdings Inc. common stock for Non-Employee Directors that are fully vested upon grant.

SEC source: 0001478242-18-000034 · edgar.xml · nonDerivative · entry 1

Rittenmeyer Ronald A · CIK 0001210018 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,307

F1 · shares: Shares acquired from award of IQVIA Holdings Inc. common stock for Non-Employee Directors that are fully vested upon grant.

SEC source: 0001478242-18-000033 · edgar.xml · nonDerivative · entry 1

LEONARD JOHN M. · CIK 0001563584 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,774

F1 · shares: Shares acquired from award of IQVIA Holdings Inc. common stock for Non-Employee Directors that are fully vested upon grant.

SEC source: 0001478242-18-000032 · edgar.xml · nonDerivative · entry 1

GOGGINS COLLEEN A · CIK 0001189008 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,281

F1 · shares: Shares acquired from award of IQVIA Holdings Inc. common stock for Non-Employee Directors that are fully vested upon grant.

SEC source: 0001478242-18-000031 · edgar.xml · nonDerivative · entry 1

EVANISKO MICHAEL J · CIK 0001258567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,173

F1 · shares: Shares acquired from award of IQVIA Holdings Inc. common stock for Non-Employee Directors that are fully vested upon grant.

SEC source: 0001478242-18-000028 · edgar.xml · nonDerivative · entry 1

EVANISKO MICHAEL J · CIK 0001258567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,101

F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2017.

SEC source: 0001478242-18-000026 · edgar.xml · nonDerivative · entry 5

Parks Robert · CIK 0001707662 · Sr Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,066

SEC source: 0001478242-18-000026 · edgar.xml · derivative · entry 7

Parks Robert · CIK 0001707662 · Sr Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,840

Underlying: Common Stock · 919 shares

Expires 2027-02-02

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.

SEC source: 0001478242-18-000026 · edgar.xml · derivative · entry 6

Parks Robert · CIK 0001707662 · Sr Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,075 shares

Expires 2024-02-25

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: 0001478242-18-000026 · edgar.xml · nonDerivative · entry 4

Parks Robert · CIK 0001707662 · Sr Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,411

SEC source: 0001478242-18-000026 · edgar.xml · nonDerivative · entry 3

Parks Robert · CIK 0001707662 · Sr Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,164

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: 0001478242-18-000026 · edgar.xml · nonDerivative · entry 2

Parks Robert · CIK 0001707662 · Sr Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,245

SEC source: 0001478242-18-000026 · edgar.xml · nonDerivative · entry 1

Parks Robert · CIK 0001707662 · Sr Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,796

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: 0001478242-18-000025 · edgar.xml · nonDerivative · entry 1

EVANISKO MICHAEL J · CIK 0001258567 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,916

F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 13, 2017.

SEC source: 0001478242-18-000020 · edgar.xml · nonDerivative · entry 2

STAUB W RICHARD · CIK 0001181162 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,012

SEC source: 0001478242-18-000021 · edgar.xml · nonDerivative · entry 2

Parks Robert · CIK 0001707662 · Sr Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,721

SEC source: 0001478242-18-000020 · edgar.xml · nonDerivative · entry 1

STAUB W RICHARD · CIK 0001181162 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,095

SEC source: 0001478242-18-000021 · edgar.xml · nonDerivative · entry 1

Parks Robert · CIK 0001707662 · Sr Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,869

SEC source: 0001478242-18-000019 · edgar.xml · derivative · entry 1

Sherbet Eric · CIK 0001679512 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,870

Underlying: Common Stock · 11,870 shares

Expires 2028-03-01

F1 · derivative.exercise_date: This stock appreciation right vests in three annual installments beginning on 03/01/2019.

SEC source: 0001478242-18-000013 · edgar.xml · derivative · entry 3

Erlinger III James H · CIK 0001575957 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 10,000 shares

Expires 2023-02-07

SEC source: 0001478242-18-000013 · edgar.xml · nonDerivative · entry 2

Erlinger III James H · CIK 0001575957 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,494

F1 · shares: The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 14, 2017.

SEC source: 0001478242-18-000013 · edgar.xml · nonDerivative · entry 1

Erlinger III James H · CIK 0001575957 · See Remarks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,494

SEC source: 0001478242-18-000012 · edgar.xml · derivative · entry 4

GREENBERG JACK M · CIK 0001074611 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,000 shares

Expires 2023-05-08