KDP

SEC source: 0001209191-18-042346 · doc4.xml · derivative · entry 3

Gamgort Robert James · CIK 0001570836 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 530,199

Underlying: Common Stock · 530,199 shares

Expires not disclosed

F2 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settles for one share of common stock.

F3 · kind: Pursuant to the Merger Agreement, as of the effective time of the Merger, each Maple Restricted Stock Unit ("RSU") that was outstanding immediately prior to the effective time was converted to 96.4 KDP RSUs, with the same terms and conditions as were applicable under such Maple RSU immediately prior to the effective time.

F4 · derivative.exercise_date: These Restricted Stock Units vest on March 15, 2021.

F4 · derivative.expiration_date: These Restricted Stock Units vest on March 15, 2021.

SEC source: 0001209191-18-042346 · doc4.xml · derivative · entry 2

Gamgort Robert James · CIK 0001570836 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,409,995

Underlying: Common Stock · 2,409,995 shares

Expires not disclosed

F2 · derivative.exercise_price: Upon vesting, each Restricted Stock Unit settles for one share of common stock.

F3 · kind: Pursuant to the Merger Agreement, as of the effective time of the Merger, each Maple Restricted Stock Unit ("RSU") that was outstanding immediately prior to the effective time was converted to 96.4 KDP RSUs, with the same terms and conditions as were applicable under such Maple RSU immediately prior to the effective time.

F4 · derivative.exercise_date: These Restricted Stock Units vest on March 15, 2021.

F4 · derivative.expiration_date: These Restricted Stock Units vest on March 15, 2021.

SEC source: 0001209191-18-042346 · doc4.xml · nonDerivative · entry 1

Gamgort Robert James · CIK 0001570836 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,409,994

F1 · kind: Pursuant to the Agreement and Plan of Merger dated as of January 29, 2018 (the "Merger Agreement"), by and among Maple Parent Holdings Corp., a Delaware corporation ("Maple"), Dr Pepper Snapple Group, Inc., a Delaware corporation ("DPS") and Salt Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of DPS ("Merger Sub"), Merger Sub merged on July 9, 2018 with and into Maple (the "Merger"), with Maple surviving the Merger as a wholly-owned subsidiary of DPS. As of the effective time of the Merger, DPS was renamed Keurig Dr Pepper Inc. ("KDP"), and each share of common stock of Maple issued and outstanding immediately prior to the effective time was converted into the right to receive 96.4 fully paid and nonassessable shares of KDP common stock.

F1 · price: Pursuant to the Agreement and Plan of Merger dated as of January 29, 2018 (the "Merger Agreement"), by and among Maple Parent Holdings Corp., a Delaware corporation ("Maple"), Dr Pepper Snapple Group, Inc., a Delaware corporation ("DPS") and Salt Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of DPS ("Merger Sub"), Merger Sub merged on July 9, 2018 with and into Maple (the "Merger"), with Maple surviving the Merger as a wholly-owned subsidiary of DPS. As of the effective time of the Merger, DPS was renamed Keurig Dr Pepper Inc. ("KDP"), and each share of common stock of Maple issued and outstanding immediately prior to the effective time was converted into the right to receive 96.4 fully paid and nonassessable shares of KDP common stock.

SEC source: 0001209191-19-006459 · doc4a.xml · derivative · entry 3

Cortes Fernando · CIK 0001741121 · Chief Supply Chain Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,542

Underlying: Common Stock · 37,542 shares

Expires 2027-03-02

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.

F4 · derivative.exercise_price: The Original Form 4 reported 6,030 shares of outstanding DPS stock options granted on March 2, 2017 converted into 6,030 shares of DPS common stock. The Reporting Person instead had opted to have each issued and outstanding DPS stock option converted into KDP stock options, pursuant to the Merger. Table II should have shown $15.23 in Column 2 and not $91.98; and 37,452 in Column 5(A) and Column 7 and not 6,030; and 37,452 in Column 9 and not 0.

F4 · kind: The Original Form 4 reported 6,030 shares of outstanding DPS stock options granted on March 2, 2017 converted into 6,030 shares of DPS common stock. The Reporting Person instead had opted to have each issued and outstanding DPS stock option converted into KDP stock options, pursuant to the Merger. Table II should have shown $15.23 in Column 2 and not $91.98; and 37,452 in Column 5(A) and Column 7 and not 6,030; and 37,452 in Column 9 and not 0.

F4 · shares: The Original Form 4 reported 6,030 shares of outstanding DPS stock options granted on March 2, 2017 converted into 6,030 shares of DPS common stock. The Reporting Person instead had opted to have each issued and outstanding DPS stock option converted into KDP stock options, pursuant to the Merger. Table II should have shown $15.23 in Column 2 and not $91.98; and 37,452 in Column 5(A) and Column 7 and not 6,030; and 37,452 in Column 9 and not 0.

F4 · derivative.underlying_shares: The Original Form 4 reported 6,030 shares of outstanding DPS stock options granted on March 2, 2017 converted into 6,030 shares of DPS common stock. The Reporting Person instead had opted to have each issued and outstanding DPS stock option converted into KDP stock options, pursuant to the Merger. Table II should have shown $15.23 in Column 2 and not $91.98; and 37,452 in Column 5(A) and Column 7 and not 6,030; and 37,452 in Column 9 and not 0.

F4 · balance_after: The Original Form 4 reported 6,030 shares of outstanding DPS stock options granted on March 2, 2017 converted into 6,030 shares of DPS common stock. The Reporting Person instead had opted to have each issued and outstanding DPS stock option converted into KDP stock options, pursuant to the Merger. Table II should have shown $15.23 in Column 2 and not $91.98; and 37,452 in Column 5(A) and Column 7 and not 6,030; and 37,452 in Column 9 and not 0.

SEC source: 0001209191-19-006459 · doc4a.xml · derivative · entry 2

Cortes Fernando · CIK 0001741121 · Chief Supply Chain Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,538

Underlying: Common Stock · 37,538 shares

Expires 2026-03-02

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.

F3 · derivative.exercise_price: The Original Form 4 reported 6,044 shares of outstanding DPS stock options granted on March 2, 2016 converted into 6,044 shares of DPS common stock. The Reporting Person instead had opted to have each issued and outstanding DPS stock option converted into KDP stock options, pursuant to the Merger. Table II should have shown $14.81 in Column 2 and not $94.62; and 37,538 in Column 5(A) and Column 7 and not 6,044; and 37,538 in Column 9 and not 0.

F3 · kind: The Original Form 4 reported 6,044 shares of outstanding DPS stock options granted on March 2, 2016 converted into 6,044 shares of DPS common stock. The Reporting Person instead had opted to have each issued and outstanding DPS stock option converted into KDP stock options, pursuant to the Merger. Table II should have shown $14.81 in Column 2 and not $94.62; and 37,538 in Column 5(A) and Column 7 and not 6,044; and 37,538 in Column 9 and not 0.

F3 · shares: The Original Form 4 reported 6,044 shares of outstanding DPS stock options granted on March 2, 2016 converted into 6,044 shares of DPS common stock. The Reporting Person instead had opted to have each issued and outstanding DPS stock option converted into KDP stock options, pursuant to the Merger. Table II should have shown $14.81 in Column 2 and not $94.62; and 37,538 in Column 5(A) and Column 7 and not 6,044; and 37,538 in Column 9 and not 0.

F3 · derivative.underlying_shares: The Original Form 4 reported 6,044 shares of outstanding DPS stock options granted on March 2, 2016 converted into 6,044 shares of DPS common stock. The Reporting Person instead had opted to have each issued and outstanding DPS stock option converted into KDP stock options, pursuant to the Merger. Table II should have shown $14.81 in Column 2 and not $94.62; and 37,538 in Column 5(A) and Column 7 and not 6,044; and 37,538 in Column 9 and not 0.

F3 · balance_after: The Original Form 4 reported 6,044 shares of outstanding DPS stock options granted on March 2, 2016 converted into 6,044 shares of DPS common stock. The Reporting Person instead had opted to have each issued and outstanding DPS stock option converted into KDP stock options, pursuant to the Merger. Table II should have shown $14.81 in Column 2 and not $94.62; and 37,538 in Column 5(A) and Column 7 and not 6,044; and 37,538 in Column 9 and not 0.

SEC source: 0001209191-19-006459 · doc4a.xml · nonDerivative · entry 1

Cortes Fernando · CIK 0001741121 · Chief Supply Chain Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,461

F1 · date: Pursuant to the Agreement and Plan of Merger, dated January 29, 2018, ("Agreement"), between Maple Parent Holdings Corp., ("Maple"), Dr Pepper Snapple Group, Inc. ("DPS") and Salt Merger Sub, Inc., ("SMS"), SMS merged on July 9, 2018 into Maple (the "Merger"), with Maple surviving the Merger as a wholly-owned subsidiary of DPS. DPS was renamed Keurig Dr Pepper Inc.("KDP"). The Reporting Person elected to have each issued and outstanding DPS stock option converted into KDP stock options at the effective time of the Merger.

F2 · shares: The original Form 4 filed on July 10, 2018 (the "Original Form 4") by the Reporting Person erroneously reported a total of 12,074 shares of outstanding DPS stock options converted into 12,074 shares of DPS common stock. The Reporting Person instead opted to have each issued and outstanding DPS stock option converted into KDP stock options pursuant to the Agreement at the effective time of the Merger. As a result the amount of securities beneficially owned by the Reporting Person on the Original Form 4 following the reported transactions should have been reported as 12,461 and not 24,540.

SEC source: 0001209191-18-037792 · doc4.xml · nonDerivative · entry 1

Johnston James J. JR · CIK 0001432612 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,786

F1 · price: The price represents the weighted average sale price of the securities disposed of. The range of prices for the transaction is $120.42-120.77$. The reporting person shall provide upon request by the SEC, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-037493 · doc4.xml · nonDerivative · entry 1

ELLEN MARTIN M · CIK 0001189832 · Executive Vice President & CFO

10b5-1 filing: Not disclosed

Ownership: Indirect · Martin Robin Partners, L.P.

Disclosed balance after: 48,653

F1 · price: The price represents the weighted average sale price of the securities disposed of. The range of prices for the transaction is $120.5600-$120.8400. The reporting person shall provide upon request by the SEC, the issuer, or any security holder of the issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-18-036212 · doc4.xml · nonDerivative · entry 1

Rogers Ronald G. · CIK 0001432525 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Kent-He Winery and Vineyards Ltd.

Disclosed balance after: 0

SEC source: 0001209191-18-035977 · doc4.xml · nonDerivative · entry 1

Hobson Derry L. · CIK 0001432446 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,047

SEC source: 0001209191-18-037792 · doc4.xml · nonDerivative · entry 2

Johnston James J. JR · CIK 0001432612 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,862

F2 · kind: These shares are dividend equivalent payments made under the Issuer's Dividend Reinvestment Plan with respect to the shares beneficially owned by the reporting person.

SEC source: 0001209191-18-017338 · doc4.xml · derivative · entry 13

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 788

Underlying: Common Stock · 395 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.

F10 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F7 · kind: These shares represent restricted stock units granted on March 2, 2017 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments commencing on March 4, 2018.

F7 · derivative.exercise_date: These shares represent restricted stock units granted on March 2, 2017 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments commencing on March 4, 2018.

F7 · derivative.expiration_date: These shares represent restricted stock units granted on March 2, 2017 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments commencing on March 4, 2018.

SEC source: 0001209191-18-017338 · doc4.xml · nonDerivative · entry 9

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,688

F9 · kind: Represents shares withheld by Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units referenced in footnotes (7) and (8) above.

SEC source: 0001209191-18-017338 · doc4.xml · nonDerivative · entry 8

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,787

F8 · kind: These shares are restricted stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (7) above) that vested on March 4, 2018.

SEC source: 0001209191-18-017338 · doc4.xml · nonDerivative · entry 7

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,777

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.

F7 · kind: These shares represent restricted stock units granted on March 2, 2017 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments commencing on March 4, 2018.

SEC source: 0001209191-18-017319 · doc4.xml · derivative · entry 13

Alt Jaxie S. · CIK 0001709955 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 590

Underlying: Common Stock · 297 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.

F10 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F7 · kind: These shares represent restricted stock units granted on March 2, 2017 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments commencing on March 4, 2018.

F7 · derivative.exercise_date: These shares represent restricted stock units granted on March 2, 2017 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments commencing on March 4, 2018.

F7 · derivative.expiration_date: These shares represent restricted stock units granted on March 2, 2017 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments commencing on March 4, 2018.

SEC source: 0001209191-18-017319 · doc4.xml · nonDerivative · entry 9

Alt Jaxie S. · CIK 0001709955 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,037

F9 · kind: Represents shares withheld by Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units referenced in footnotes (7) and (8) above.

SEC source: 0001209191-18-017319 · doc4.xml · nonDerivative · entry 8

Alt Jaxie S. · CIK 0001709955 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,112

F8 · kind: These shares are restricted stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (7) above) that vested on March 4, 2018.

SEC source: 0001209191-18-017319 · doc4.xml · nonDerivative · entry 7

Alt Jaxie S. · CIK 0001709955 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,105

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.

F7 · kind: These shares represent restricted stock units granted on March 2, 2017 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments commencing on March 4, 2018.

SEC source: 0001209191-18-017340 · doc4.xml · derivative · entry 6

SZOSTAK M ANNE · CIK 0001094176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,957 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 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F1 · kind: These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

F7 · derivative.exercise_date: These restricted stock units vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the vesting date.

F7 · derivative.expiration_date: These restricted stock units vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the vesting date.

SEC source: 0001209191-18-017340 · doc4.xml · derivative · entry 5

SZOSTAK M ANNE · CIK 0001094176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,462

Underlying: Common Stock · 1,462 shares

Expires not disclosed

F5 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F6 · derivative.exercise_date: These restricted stock units vest in one installment on March 4, 2021 and will be settled in shares of the Issuer's Common Stock on the vesting date.

F6 · derivative.expiration_date: These restricted stock units vest in one installment on March 4, 2021 and will be settled in shares of the Issuer's Common Stock on the vesting date.

SEC source: 0001209191-18-017340 · doc4.xml · nonDerivative · entry 4

SZOSTAK M ANNE · CIK 0001094176 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · M. Anne Szostak Trust

Disclosed balance after: 18,240

F3 · kind: The reporting person directed that the 2,101 shares beneficially owned by reporting person be transferred to the M. Anne Szostak Trust, in which the reporting person has a pecuniary interest.

F4 · balance_after: 18,240 shares are beneficially owned by the M. Anne Szostak Trust, in which the reporting person has a pecuniary interest.

SEC source: 0001209191-18-017340 · doc4.xml · nonDerivative · entry 3

SZOSTAK M ANNE · CIK 0001094176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F3 · kind: The reporting person directed that the 2,101 shares beneficially owned by reporting person be transferred to the M. Anne Szostak Trust, in which the reporting person has a pecuniary interest.

SEC source: 0001209191-18-017340 · doc4.xml · nonDerivative · entry 2

SZOSTAK M ANNE · CIK 0001094176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,101

F2 · kind: These shares are restricted stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (1) above) that vested on March 2, 2018.

SEC source: 0001209191-18-017340 · doc4.xml · nonDerivative · entry 1

SZOSTAK M ANNE · CIK 0001094176 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,957

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 · kind: These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

SEC source: 0001209191-18-017322 · doc4.xml · derivative · entry 5

Carrillo Antonio · CIK 0001486776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,641 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 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F1 · kind: These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

F6 · derivative.exercise_date: These restricted stock units vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the vesting date.

F6 · derivative.expiration_date: These restricted stock units vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the vesting date.

SEC source: 0001209191-18-017322 · doc4.xml · derivative · entry 4

Carrillo Antonio · CIK 0001486776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,247

Underlying: Common Stock · 1,247 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F5 · derivative.exercise_date: These restricted stock units vest in one installment on March 4, 2021 and will be settled in shares of the Issuer's Common Stock on the vesting date.

F5 · derivative.expiration_date: These restricted stock units vest in one installment on March 4, 2021 and will be settled in shares of the Issuer's Common Stock on the vesting date.

SEC source: 0001209191-18-017322 · doc4.xml · nonDerivative · entry 3

Carrillo Antonio · CIK 0001486776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,233

F3 · kind: Represents shares withheld by Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units referenced in footnotes (1) and (2) above.

SEC source: 0001209191-18-017322 · doc4.xml · nonDerivative · entry 2

Carrillo Antonio · CIK 0001486776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,762

F2 · kind: These shares are restricted stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (1) above) that vested on March 2, 2018.

SEC source: 0001209191-18-017322 · doc4.xml · nonDerivative · entry 1

Carrillo Antonio · CIK 0001486776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,641

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 · kind: These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

SEC source: 0001209191-18-017338 · doc4.xml · derivative · entry 12

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,388 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.

F10 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F4 · kind: These shares represent restricted stock units granted on March 2, 2015 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

F4 · derivative.exercise_date: These shares represent restricted stock units granted on March 2, 2015 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

F4 · derivative.expiration_date: These shares represent restricted stock units granted on March 2, 2015 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

SEC source: 0001209191-18-017338 · doc4.xml · derivative · entry 11

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 398

Underlying: Common Stock · 398 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.

F10 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F1 · kind: These shares represent restricted stock units granted on March 2, 2016 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments on each anniversary date of the grant commencing on March 2, 2017.

F1 · derivative.exercise_date: These shares represent restricted stock units granted on March 2, 2016 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments on each anniversary date of the grant commencing on March 2, 2017.

F1 · derivative.expiration_date: These shares represent restricted stock units granted on March 2, 2016 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments on each anniversary date of the grant commencing on March 2, 2017.

SEC source: 0001209191-18-017338 · doc4.xml · derivative · entry 10

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,408

Underlying: Common Stock · 2,408 shares

Expires not disclosed

F10 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F11 · derivative.exercise_date: These shares represent restricted stock units granted on March 2, 2018 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments on March 4, 2019, March 4, 2020 and March 4, 2021.

F11 · derivative.expiration_date: These shares represent restricted stock units granted on March 2, 2018 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments on March 4, 2019, March 4, 2020 and March 4, 2021.

SEC source: 0001209191-18-017338 · doc4.xml · nonDerivative · entry 6

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,382

F6 · kind: Represents shares withheld by Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units referenced in footnotes (4) and (5) above.

SEC source: 0001209191-18-017338 · doc4.xml · nonDerivative · entry 5

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,745

F5 · kind: These shares are restricted stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (4) above) that vested on March 2, 2018.

SEC source: 0001209191-18-017338 · doc4.xml · nonDerivative · entry 4

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,643

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 · kind: These shares represent restricted stock units granted on March 2, 2015 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

SEC source: 0001209191-18-017338 · doc4.xml · nonDerivative · entry 3

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,255

F3 · kind: Represents shares withheld by Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units referenced in footnotes (1) and (2) above.

SEC source: 0001209191-18-017338 · doc4.xml · nonDerivative · entry 2

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,357

F2 · kind: These shares are restricted stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (1) above) that vested on March 2, 2018.

SEC source: 0001209191-18-017338 · doc4.xml · nonDerivative · entry 1

Stephens Angela A. · CIK 0001457301 · Sr. Vice President, Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,338

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 · kind: These shares represent restricted stock units granted on March 2, 2016 pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 and vest in three equal annual installments on each anniversary date of the grant commencing on March 2, 2017.

SEC source: 0001209191-18-017336 · doc4.xml · derivative · entry 4

SHIVE DUNIA A · CIK 0001182313 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,641 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F1 · kind: These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

F5 · derivative.exercise_date: These restricted stock units vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the vesting date.

F5 · derivative.expiration_date: These restricted stock units vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the vesting date.

SEC source: 0001209191-18-017336 · doc4.xml · derivative · entry 3

SHIVE DUNIA A · CIK 0001182313 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,247

Underlying: Common Stock · 1,247 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F4 · derivative.exercise_date: These restricted stock units vest in one installment on March 4, 2021 and will be settled in shares of the Issuer's Common Stock on the vesting date

F4 · derivative.expiration_date: These restricted stock units vest in one installment on March 4, 2021 and will be settled in shares of the Issuer's Common Stock on the vesting date

SEC source: 0001209191-18-017336 · doc4.xml · nonDerivative · entry 2

SHIVE DUNIA A · CIK 0001182313 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,916

F2 · kind: These shares are restricted stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (1) above) that vested on March 2, 2018.

SEC source: 0001209191-18-017336 · doc4.xml · nonDerivative · entry 1

SHIVE DUNIA A · CIK 0001182313 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,795

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 · kind: These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

SEC source: 0001209191-18-017342 · doc4.xml · derivative · entry 5

Thomas David · CIK 0001446970 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,045 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 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F1 · kind: These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

F6 · derivative.exercise_date: These restricted stock units vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the settlement date.

F6 · derivative.expiration_date: These restricted stock units vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the settlement date.

SEC source: 0001209191-18-017342 · doc4.xml · derivative · entry 4

Thomas David · CIK 0001446970 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,022

Underlying: Common Stock · 6,022 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F5 · derivative.exercise_date: These restricted stock units vest in one installment on March 4, 2021 and will be settled in shares of the Issuer's Common Stock on the settlement date.

F5 · derivative.expiration_date: These restricted stock units vest in one installment on March 4, 2021 and will be settled in shares of the Issuer's Common Stock on the settlement date.

SEC source: 0001209191-18-017342 · doc4.xml · nonDerivative · entry 3

Thomas David · CIK 0001446970 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,927

F3 · kind: Represents shares withheld by Issuer to satisfy tax withholding obligations in connection with the vesting of restricted stock units referenced in footnotes (1) and (2) above.

SEC source: 0001209191-18-017342 · doc4.xml · nonDerivative · entry 2

Thomas David · CIK 0001446970 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,420

F2 · kind: These shares are restricted stock units (acquired with dividend equivalent payments made under the Issuer's dividend reinvestment plan with respect to the shares referenced in footnote (1) above) that vested on March 2, 2018.

SEC source: 0001209191-18-017342 · doc4.xml · nonDerivative · entry 1

Thomas David · CIK 0001446970 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,269

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 · kind: These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

SEC source: 0001209191-18-017346 · doc4.xml · derivative · entry 5

Trebilcock James R. · CIK 0001446902 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,965 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 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F1 · kind: These shares represent restricted stock units granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009 that vested on March 2, 2018.

F6 · derivative.exercise_date: These restricted stock units vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the vesting date.

F6 · derivative.expiration_date: These restricted stock units vest in one installment three years from the date of grant and will be settled in shares of the Issuer's Common Stock on the vesting date.

SEC source: 0001209191-18-017346 · doc4.xml · derivative · entry 4

Trebilcock James R. · CIK 0001446902 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,033

Underlying: Common Stock · 9,033 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock and is granted pursuant to the Issuer's Omnibus Stock Incentive Plan of 2009.

F5 · derivative.exercise_date: These restricted stock units vest in one installment on March 4, 2021 and will be settled in shares of the Issuer's Common Stock on the vesting date.

F5 · derivative.expiration_date: These restricted stock units vest in one installment on March 4, 2021 and will be settled in shares of the Issuer's Common Stock on the vesting date.