LAZ

SEC source: 0001209191-20-015655 · doc4.xml · nonDerivative · entry 1

Russo Evan L · CIK 0001717489 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,088

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 · price: Shares of Class A Common Stock were acquired upon the vesting of the relevant portion of prior grants of Restricted Stock Units ("RSUs"), including certain RSUs that had been acquired pursuant to the dividend equivalent reinvestment provisions of the underlying RSU awards.

SEC source: 0001209191-20-015686 · doc4.xml · derivative · entry 7

Stern Alexander F. · CIK 0001450474 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,471

Underlying: Class A Common Stock · 22,079 shares

Expires 2020-03-02

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.

F8 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F8 · price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F6 · balance_after: Amount excludes 31,010 Performance-based Restricted Participation Units directly or indirectly owned by the reporting person.

SEC source: 0001209191-20-015686 · doc4.xml · derivative · entry 6

Stern Alexander F. · CIK 0001450474 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,961

Underlying: Class A Common Stock · 137,848 shares

Expires 2020-03-02

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.

F10 · derivative.exercise_price: Each PRSU (the performance conditions of which have been satisfied) represents a contingent right to receive one share of Class A Common Stock.

F10 · price: Each PRSU (the performance conditions of which have been satisfied) represents a contingent right to receive one share of Class A Common Stock.

SEC source: 0001209191-20-015686 · doc4.xml · nonDerivative · entry 3

Stern Alexander F. · CIK 0001450474 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 365,221

F2 · shares: Represents shares of Class A Common Stock sold to the Company to cover estimated taxes arising from the vesting of PRSUs and RSUs.

F3 · price: Represents the New York Stock Exchange closing price of Class A Common Stock on the trading day immediately preceding the vesting date of PRSUs and RSUs referenced in Footnote (1).

SEC source: 0001209191-20-015686 · doc4.xml · nonDerivative · entry 2

Stern Alexander F. · CIK 0001450474 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 443,522

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 · price: Shares of Class A Common Stock were acquired upon the vesting of a prior grant of Performance-based Restricted Stock Units ("PRSUs") awarded with respect to compensation for 2016, including certain Restricted Stock Units ("RSUs") that had been acquired pursuant to the dividend equivalent reinvestment provisions of the underlying PRSU award. The grant was previously reflected in the Company's proxy statements.

SEC source: 0001209191-20-015686 · doc4.xml · nonDerivative · entry 1

Stern Alexander F. · CIK 0001450474 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,443

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 · price: Shares of Class A Common Stock were acquired upon the vesting of a prior grant of Performance-based Restricted Stock Units ("PRSUs") awarded with respect to compensation for 2016, including certain Restricted Stock Units ("RSUs") that had been acquired pursuant to the dividend equivalent reinvestment provisions of the underlying PRSU award. The grant was previously reflected in the Company's proxy statements.

SEC source: 0001209191-20-015689 · doc4.xml · derivative · entry 7

RAGONE DOMINICK · CIK 0001442152 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,918

Underlying: Class A Common Stock · 6,146 shares

Expires 2020-03-02

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.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F7 · price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

SEC source: 0001209191-20-015689 · doc4.xml · nonDerivative · entry 5

RAGONE DOMINICK · CIK 0001442152 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,892

F4 · shares: Represents shares of Class A Common Stock withheld by the Company to cover taxes arising from the vesting of RSUs and Restricted Class A Common Stock, as applicable.

F5 · price: Represents the New York Stock Exchange closing price of Class A Common Stock on the trading day immediately preceding the vesting date of RSUs and Restricted Class A Common Stock referenced in Footnote (3).

SEC source: 0001209191-20-015689 · doc4.xml · nonDerivative · entry 4

RAGONE DOMINICK · CIK 0001442152 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,166

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 · price: Shares of unrestricted Class A Common Stock were acquired upon the vesting of the relevant portion of prior grants of Restricted Stock Units ("RSUs") and Restricted Class A Common Stock, including certain RSUs that had been acquired pursuant to the dividend equivalent reinvestment provisions of the underlying RSU awards.

SEC source: 0001209191-20-015689 · doc4.xml · nonDerivative · entry 3

RAGONE DOMINICK · CIK 0001442152 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,936

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 · price: Shares of unrestricted Class A Common Stock were acquired upon the vesting of the relevant portion of prior grants of Restricted Stock Units ("RSUs") and Restricted Class A Common Stock, including certain RSUs that had been acquired pursuant to the dividend equivalent reinvestment provisions of the underlying RSU awards.

SEC source: 0001209191-20-015689 · doc4.xml · nonDerivative · entry 2

RAGONE DOMINICK · CIK 0001442152 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,677

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 · price: Shares of unrestricted Class A Common Stock were acquired upon the vesting of the relevant portion of prior grants of Restricted Stock Units ("RSUs") and Restricted Class A Common Stock, including certain RSUs that had been acquired pursuant to the dividend equivalent reinvestment provisions of the underlying RSU awards.

SEC source: 0001209191-20-015651 · doc4.xml · nonDerivative · entry 3

Hoffman Scott D · CIK 0001326139 · CAO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,298

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

F2 · price: Shares of unrestricted Class A Common Stock were acquired upon the vesting of a prior grant of PRSUs awarded with respect to compensation for 2016, including certain RSUs that had been acquired pursuant to the dividend equivalent reinvestment provisions of the underlying PRSU award. The grant was previously reflected in the Company's proxy statements. The PRSUs and RSUs that had been acquired pursuant to the award had previously been converted into shares of Restricted Class A Common Stock in connection with the reporting person's retirement eligibility and such shares remained subject to vesting.

F3 · balance_after: Amount excludes 16,202 Performance-based Restricted Participation Units directly or indirectly owned by the reporting person.

SEC source: 0001209191-20-015651 · doc4.xml · nonDerivative · entry 2

Hoffman Scott D · CIK 0001326139 · CAO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,693

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

F2 · price: Shares of unrestricted Class A Common Stock were acquired upon the vesting of a prior grant of PRSUs awarded with respect to compensation for 2016, including certain RSUs that had been acquired pursuant to the dividend equivalent reinvestment provisions of the underlying PRSU award. The grant was previously reflected in the Company's proxy statements. The PRSUs and RSUs that had been acquired pursuant to the award had previously been converted into shares of Restricted Class A Common Stock in connection with the reporting person's retirement eligibility and such shares remained subject to vesting.

SEC source: 0001209191-20-015649 · doc4.xml · nonDerivative · entry 6

BHUTANI ASHISH · CIK 0001287727 · Director · CEO of Lazard Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 828,755

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 · price: Shares of unrestricted Class A Common Stock were acquired upon the vesting of a prior grant of PRSUs awarded with respect to compensation for 2016, including certain RSUs that had been acquired pursuant to the dividend equivalent reinvestment provisions of the underlying PRSU award. The grant was previously reflected in the Company's proxy statements. The PRSUs and RSUs that had been acquired pursuant to the award had previously been converted into shares of Restricted Class A Common Stock in connection with the reporting person's retirement eligibility and such shares remained subject to vesting.

F5 · balance_after: Amount excludes 30,609 Performance-based Restricted Participation Units directly or indirectly owned by the reporting person.

SEC source: 0001209191-20-015649 · doc4.xml · nonDerivative · entry 5

BHUTANI ASHISH · CIK 0001287727 · Director · CEO of Lazard Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,355

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 · price: Shares of unrestricted Class A Common Stock were acquired upon the vesting of a prior grant of PRSUs awarded with respect to compensation for 2016, including certain RSUs that had been acquired pursuant to the dividend equivalent reinvestment provisions of the underlying PRSU award. The grant was previously reflected in the Company's proxy statements. The PRSUs and RSUs that had been acquired pursuant to the award had previously been converted into shares of Restricted Class A Common Stock in connection with the reporting person's retirement eligibility and such shares remained subject to vesting.

SEC source: 0001209191-20-015652 · doc4.xml · derivative · entry 6

JACOBS KENNETH M · CIK 0001073157 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Class A Common Stock · 3,128 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion that the reporting person is permitted to sell in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · price: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion that the reporting person is permitted to sell in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion that the reporting person is permitted to sell in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion that the reporting person is permitted to sell in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F3 · balance_after: Amount excludes 47,917 Performance-based Restricted Participation Units directly or indirectly owned by the reporting person.

SEC source: 0001209191-20-015652 · doc4.xml · derivative · entry 5

JACOBS KENNETH M · CIK 0001073157 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,128

Underlying: Class A Common Stock · 3,128 shares

Expires not disclosed

F4 · security: Additional RSUs were acquired pursuant to the dividend equivalent reinvestment provisions of underlying PRSU awards.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F5 · price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F6 · derivative.exercise_date: Of these RSUs, 1,849 vested on March 2, 2020 and 1,279 will vest on or around March 1, 2021.

F6 · derivative.expiration_date: Of these RSUs, 1,849 vested on March 2, 2020 and 1,279 will vest on or around March 1, 2021.

SEC source: 0001209191-20-015652 · doc4.xml · nonDerivative · entry 1

JACOBS KENNETH M · CIK 0001073157 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,236

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 · price: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion that the reporting person is permitted to sell in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

SEC source: 0001209191-20-015680 · doc4.xml · derivative · entry 3

Soto Alexandra · CIK 0001777410 · Exec Human Capital & Workplace

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,712

Underlying: Class A Common Stock · 2,215 shares

Expires not disclosed

F4 · security: Additional RSUs were acquired pursuant to the dividend equivalent reinvestment provisions of underlying RSU awards.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F5 · price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F6 · derivative.exercise_date: Of these RSUs, 362 vested on March 2, 2020, 778 will vest on or around March 1, 2021, 829 will vest on or around March 1, 2022 and 246 will vest on or around March 1, 2023.

F6 · derivative.expiration_date: Of these RSUs, 362 vested on March 2, 2020, 778 will vest on or around March 1, 2021, 829 will vest on or around March 1, 2022 and 246 will vest on or around March 1, 2023.

SEC source: 0001209191-20-015655 · doc4.xml · derivative · entry 3

Russo Evan L · CIK 0001717489 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,012

Underlying: Class A Common Stock · 564 shares

Expires not disclosed

F5 · security: Additional RSUs were acquired pursuant to the dividend equivalent reinvestment provisions of underlying PRSU and RSU awards.

F6 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F6 · price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F7 · derivative.exercise_date: Of these RSUs, 240 vested on March 2, 2020 and 324 will vest on or around March 1, 2021.

F7 · derivative.expiration_date: Of these RSUs, 240 vested on March 2, 2020 and 324 will vest on or around March 1, 2021.

SEC source: 0001209191-20-015686 · doc4.xml · derivative · entry 5

Stern Alexander F. · CIK 0001450474 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,550

Underlying: Class A Common Stock · 3,230 shares

Expires not disclosed

F7 · security: Additional RSUs were acquired pursuant to the dividend equivalent reinvestment provisions of underlying PRSU awards.

F8 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F8 · price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F9 · derivative.exercise_date: Of these RSUs, 2,072 vested on or around March 2, 2020 and 1,158 will vest on or around March 1, 2021.

F9 · derivative.expiration_date: Of these RSUs, 2,072 vested on or around March 2, 2020 and 1,158 will vest on or around March 1, 2021.

SEC source: 0001209191-20-015689 · doc4.xml · derivative · entry 6

RAGONE DOMINICK · CIK 0001442152 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,064

Underlying: Class A Common Stock · 353 shares

Expires not disclosed

F6 · security: Additional RSUs were acquired pursuant to the dividend equivalent reinvestment provisions of underlying RSU awards.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F7 · price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F8 · derivative.exercise_date: Of these RSUs, 81 vested on March 2, 2020, 88 will vest on or around March 1, 2021, 113 will vest on or around March 1, 2022 and 71 will vest on or around March 1, 2023.

F8 · derivative.expiration_date: Of these RSUs, 81 vested on March 2, 2020, 88 will vest on or around March 1, 2021, 113 will vest on or around March 1, 2022 and 71 will vest on or around March 1, 2023.

SEC source: 0001209191-20-015689 · doc4.xml · nonDerivative · entry 1

RAGONE DOMINICK · CIK 0001442152 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,425

F1 · security: The Restricted Class A Common Stock will vest in two tranches: approximately 33% will vest on or around March 1, 2022 and approximately 67% will vest on or around March 1, 2023.

F2 · price: Additional shares of Restricted Class A Common Stock were acquired pursuant to the dividend equivalent reinvestment provisions of underlying restricted stock awards.

SEC source: 0001209191-20-015651 · doc4.xml · derivative · entry 5

Hoffman Scott D · CIK 0001326139 · CAO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Class A Common Stock · 1,096 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion that the reporting person is permitted to sell in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · price: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion that the reporting person is permitted to sell in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion that the reporting person is permitted to sell in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion that the reporting person is permitted to sell in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F3 · balance_after: Amount excludes 16,202 Performance-based Restricted Participation Units directly or indirectly owned by the reporting person.

SEC source: 0001209191-20-015651 · doc4.xml · derivative · entry 4

Hoffman Scott D · CIK 0001326139 · CAO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,096

Underlying: Class A Common Stock · 1,096 shares

Expires not disclosed

F4 · security: Additional RSUs were acquired pursuant to the dividend equivalent reinvestment provisions of underlying PRSU awards.

F5 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F5 · price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F6 · derivative.exercise_date: Of these RSUs, 655 vested on March 2, 2020 and 441 will vest on or around March 1, 2021.

F6 · derivative.expiration_date: Of these RSUs, 655 vested on March 2, 2020 and 441 will vest on or around March 1, 2021.

SEC source: 0001209191-20-015651 · doc4.xml · nonDerivative · entry 1

Hoffman Scott D · CIK 0001326139 · CAO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,082

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 · price: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion that the reporting person is permitted to sell in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

SEC source: 0001209191-20-015649 · doc4.xml · derivative · entry 8

BHUTANI ASHISH · CIK 0001287727 · Director · CEO of Lazard Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Class A Common Stock · 2,217 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion retained by the Company in order to cover taxes required to be withheld, will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · price: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion retained by the Company in order to cover taxes required to be withheld, will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion retained by the Company in order to cover taxes required to be withheld, will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion retained by the Company in order to cover taxes required to be withheld, will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F5 · balance_after: Amount excludes 30,609 Performance-based Restricted Participation Units directly or indirectly owned by the reporting person.

SEC source: 0001209191-20-015649 · doc4.xml · derivative · entry 7

BHUTANI ASHISH · CIK 0001287727 · Director · CEO of Lazard Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,217

Underlying: Class A Common Stock · 2,217 shares

Expires not disclosed

F6 · security: Additional RSUs were acquired pursuant to the dividend equivalent reinvestment provisions of underlying PRSU awards.

F7 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F7 · price: Each RSU represents a contingent right to receive one share of Class A Common Stock.

F8 · derivative.exercise_date: Of these RSUs, 1,296 vested on March 2, 2020 and 921 will vest on or around March 1, 2021.

F8 · derivative.expiration_date: Of these RSUs, 1,296 vested on March 2, 2020 and 921 will vest on or around March 1, 2021.

SEC source: 0001209191-20-015649 · doc4.xml · nonDerivative · entry 4

BHUTANI ASHISH · CIK 0001287727 · Director · CEO of Lazard Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 749,503

F2 · shares: Represents shares of Class A Common Stock retained by the Company to cover taxes required to be withheld in connection with the settlement of RSUs.

F3 · price: Represents the New York Stock Exchange closing price of Class A Common Stock on the trading day immediately preceding the settlement date of the RSUs referenced in Footnote (1).

SEC source: 0001209191-20-015649 · doc4.xml · nonDerivative · entry 3

BHUTANI ASHISH · CIK 0001287727 · Director · CEO of Lazard Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 750,684

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

F2 · price: Represents shares of Class A Common Stock retained by the Company to cover taxes required to be withheld in connection with the settlement of RSUs.

SEC source: 0001209191-20-015649 · doc4.xml · nonDerivative · entry 2

BHUTANI ASHISH · CIK 0001287727 · Director · CEO of Lazard Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,607

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 · price: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion retained by the Company in order to cover taxes required to be withheld, will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

SEC source: 0001209191-20-015649 · doc4.xml · nonDerivative · entry 1

BHUTANI ASHISH · CIK 0001287727 · Director · CEO of Lazard Asset Management

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,788

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 · price: Restricted Stock Units ("RSUs") granted to the reporting person pursuant to the dividend equivalent reinvestment provisions of underlying Performance-based Restricted Stock Unit ("PRSU") awards are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding the portion retained by the Company in order to cover taxes required to be withheld, will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

SEC source: 0001209191-20-012178 · doc4.xml · derivative · entry 8

JACOBS KENNETH M · CIK 0001073157 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,917

Underlying: Class A Common Stock · 47,917 shares

Expires not disclosed

F7 · security: Represents a prior grant of Performance-based Restricted Participation Units ("PRPUs") awarded with respect to compensation for 2018 for which performance conditions have been satisfied. The grant was previously reflected in the Company's proxy statement for the relevant year.

F8 · derivative.exercise_price: Each PRPU (the performance and other conditions of which have been satisfied) represents an interest in Lazard Group LLC that may be exchanged for one share of Class A Common Stock.

F7 · price: Represents a prior grant of Performance-based Restricted Participation Units ("PRPUs") awarded with respect to compensation for 2018 for which performance conditions have been satisfied. The grant was previously reflected in the Company's proxy statement for the relevant year.

F9 · derivative.exercise_date: These PRPUs will vest on or around March 1, 2022.

F9 · derivative.expiration_date: These PRPUs will vest on or around March 1, 2022.

SEC source: 0001209191-20-012178 · doc4.xml · derivative · entry 7

JACOBS KENNETH M · CIK 0001073157 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Class A Common Stock · 173,344 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: Represents prior grants of PRSUs awarded with respect to compensation for 2016 and 2017 for which performance conditions have been satisfied. The grants were previously reflected in the Company's proxy statements for the relevant years.

F1 · derivative.exercise_price: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · price: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · derivative.exercise_date: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · derivative.expiration_date: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

SEC source: 0001209191-20-012178 · doc4.xml · derivative · entry 6

JACOBS KENNETH M · CIK 0001073157 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 173,344

Underlying: Class A Common Stock · 173,344 shares

Expires not disclosed

F5 · security: Represents prior grants of PRSUs awarded with respect to compensation for 2016 and 2017 for which performance conditions have been satisfied. The grants were previously reflected in the Company's proxy statements for the relevant years.

F6 · derivative.exercise_price: Each PRSU (the performance conditions of which have been satisfied) represents a contingent right to receive one share of Class A Common Stock.

F6 · price: Each PRSU (the performance conditions of which have been satisfied) represents a contingent right to receive one share of Class A Common Stock.

F1 · derivative.exercise_date: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · derivative.expiration_date: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

SEC source: 0001209191-20-012178 · doc4.xml · nonDerivative · entry 4

JACOBS KENNETH M · CIK 0001073157 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,319,807

F3 · shares: Represents shares of Class A Common Stock sold to the Company to cover estimated taxes arising from the settlement of PRSUs.

F4 · price: Represents the New York Stock Exchange closing price of Class A Common Stock on the trading day immediately preceding the settlement date of the PRSUs referenced in Footnote (1).

SEC source: 0001209191-20-012178 · doc4.xml · nonDerivative · entry 3

JACOBS KENNETH M · CIK 0001073157 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,411,299

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

F2 · price: Represents the portion of Restricted Class A Common Stock that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements).

SEC source: 0001209191-20-012178 · doc4.xml · nonDerivative · entry 2

JACOBS KENNETH M · CIK 0001073157 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,108

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

F2 · price: Represents the portion of Restricted Class A Common Stock that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements).

SEC source: 0001209191-20-012178 · doc4.xml · nonDerivative · entry 1

JACOBS KENNETH M · CIK 0001073157 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,600

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 · price: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

SEC source: 0001209191-20-012179 · doc4.xml · derivative · entry 2

Russo Evan L · CIK 0001717489 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,305

Underlying: Class A Common Stock · 15,305 shares

Expires not disclosed

F4 · security: Represents a prior grant of Performance-based Restricted Participation Units ("PRPUs") awarded with respect to compensation for 2018 for which performance conditions have been satisfied. The grant was previously reflected in the Company's proxy statement for the relevant year.

F5 · derivative.exercise_price: Each PRPU (the performance and other conditions of which have been satisfied) represents an interest in Lazard Group LLC that may be exchanged for one share of Class A Common Stock.

F4 · price: Represents a prior grant of Performance-based Restricted Participation Units ("PRPUs") awarded with respect to compensation for 2018 for which performance conditions have been satisfied. The grant was previously reflected in the Company's proxy statement for the relevant year.

F6 · derivative.exercise_date: These PRPUs will vest on or around March 1, 2022.

F6 · derivative.expiration_date: These PRPUs will vest on or around March 1, 2022.

F7 · balance_after: Amount excludes 86,634 shares of Class A Common Stock and 23,448 Restricted Stock Units directly or indirectly beneficially owned by the reporting person

SEC source: 0001209191-20-012179 · doc4.xml · derivative · entry 1

Russo Evan L · CIK 0001717489 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,160

Underlying: Class A Common Stock · 4,080 shares

Expires not disclosed

F1 · security: Represents prior grants of Performance-based Restricted Stock Units ("PRSUs") awarded with respect to compensation for 2017 for which performance conditions have been satisfied. The grant was previously reflected in the Company's proxy statement for the relevant year.

F2 · derivative.exercise_price: Each PRSU (the performance conditions of which have been satisfied) represents a contingent right to receive one share of Class A Common Stock.

F2 · price: Each PRSU (the performance conditions of which have been satisfied) represents a contingent right to receive one share of Class A Common Stock.

F3 · derivative.exercise_date: These PRSUs will vest on or around March 1, 2021.

F3 · derivative.expiration_date: These PRSUs will vest on or around March 1, 2021.

SEC source: 0001209191-20-012181 · doc4.xml · derivative · entry 2

Stern Alexander F. · CIK 0001450474 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,010

Underlying: Class A Common Stock · 31,010 shares

Expires not disclosed

F4 · security: Represents a prior grant of Performance-based Restricted Participation Units ("PRPUs") awarded with respect to compensation for 2018 for which performance conditions have been satisfied. The grant was previously reflected in the Company's proxy statement for the relevant year.

F5 · derivative.exercise_price: Each PRPU (the performance and other conditions of which have been satisfied) represents an interest in Lazard Group LLC that may be exchanged for one share of Class A Common Stock.

F5 · price: Each PRPU (the performance and other conditions of which have been satisfied) represents an interest in Lazard Group LLC that may be exchanged for one share of Class A Common Stock.

F6 · derivative.exercise_date: These PRPUs will vest on or around March 1, 2022.

F6 · derivative.expiration_date: These PRPUs will vest on or around March 1, 2022.

F7 · balance_after: Amount excludes 283,595 shares of Class A Common Stock directly or indirectly beneficially owned by the reporting person.

SEC source: 0001209191-20-012181 · doc4.xml · derivative · entry 1

Stern Alexander F. · CIK 0001450474 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 176,809

Underlying: Class A Common Stock · 109,129 shares

Expires not disclosed

F1 · security: Represents prior grants of Performance-based Restricted Stock Units ("PRSUs") awarded with respect to compensation for 2016 and 2017 for which performance conditions have been satisfied. The grants were previously reflected in the Company's proxy statements for the relevant years.

F2 · derivative.exercise_price: Each PRSU (the performance conditions of which have been satisfied) represents a contingent right to receive one share of Class A Common Stock.

F2 · price: Each PRSU (the performance conditions of which have been satisfied) represents a contingent right to receive one share of Class A Common Stock.

F3 · derivative.exercise_date: Of these PRSUs, 89,649 will vest on or around March 2, 2020, and 19,480 will vest on or around March 1, 2021.

F3 · derivative.expiration_date: Of these PRSUs, 89,649 will vest on or around March 2, 2020, and 19,480 will vest on or around March 1, 2021.

SEC source: 0001209191-20-012176 · doc4.xml · derivative · entry 7

Hoffman Scott D · CIK 0001326139 · CAO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,202

Underlying: Class A Common Stock · 16,202 shares

Expires not disclosed

F7 · security: Represents a prior grant of Performance-based Restricted Participation Units ("PRPUs") awarded with respect to compensation for 2018 for which performance conditions have been satisfied. The grant was previously reflected in the Company's proxy statement for the relevant year.

F8 · derivative.exercise_price: Each PRPU (the performance and other conditions of which have been satisfied) represents an interest in Lazard Group LLC that may be exchanged for one share of Class A Common Stock.

F7 · price: Represents a prior grant of Performance-based Restricted Participation Units ("PRPUs") awarded with respect to compensation for 2018 for which performance conditions have been satisfied. The grant was previously reflected in the Company's proxy statement for the relevant year.

F9 · derivative.exercise_date: These PRPUs will vest on or around March 1, 2022.

F9 · derivative.expiration_date: These PRPUs will vest on or around March 1, 2022.

SEC source: 0001209191-20-012176 · doc4.xml · derivative · entry 6

Hoffman Scott D · CIK 0001326139 · CAO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Restricted Class A Common Stock · 61,084 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: Represents prior grants of PRSUs awarded with respect to compensation for 2016 and 2017 for which performance conditions have been satisfied. The grants were previously reflected in the Company's proxy statements for the relevant years.

F1 · derivative.exercise_price: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · price: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · derivative.exercise_date: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · derivative.expiration_date: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

SEC source: 0001209191-20-012176 · doc4.xml · derivative · entry 5

Hoffman Scott D · CIK 0001326139 · CAO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,084

Underlying: Class A Common Stock · 61,084 shares

Expires not disclosed

F5 · security: Represents prior grants of PRSUs awarded with respect to compensation for 2016 and 2017 for which performance conditions have been satisfied. The grants were previously reflected in the Company's proxy statements for the relevant years.

F6 · derivative.exercise_price: Each PRSU (the performance conditions of which have been satisfied) represents a contingent right to receive one share of Class A Common Stock.

F6 · price: Each PRSU (the performance conditions of which have been satisfied) represents a contingent right to receive one share of Class A Common Stock.

F1 · derivative.exercise_date: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

F1 · derivative.expiration_date: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.

SEC source: 0001209191-20-012176 · doc4.xml · nonDerivative · entry 4

Hoffman Scott D · CIK 0001326139 · CAO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,909

F3 · shares: Represents shares of Class A Common Stock sold to the Company to cover estimated taxes arising from the settlement of PRSUs.

F4 · price: Represents the New York Stock Exchange closing price of Class A Common Stock on the trading day immediately preceding the settlement date of the PRSUs referenced in Footnote (1).

SEC source: 0001209191-20-012176 · doc4.xml · nonDerivative · entry 3

Hoffman Scott D · CIK 0001326139 · CAO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,151

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

F2 · price: Represents the portion of Restricted Class A Common Stock that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements).

SEC source: 0001209191-20-012176 · doc4.xml · nonDerivative · entry 2

Hoffman Scott D · CIK 0001326139 · CAO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,986

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

F2 · price: Represents the portion of Restricted Class A Common Stock that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements).

SEC source: 0001209191-20-012176 · doc4.xml · nonDerivative · entry 1

Hoffman Scott D · CIK 0001326139 · CAO and General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,228

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 · price: The reporting person is eligible for retirement under the Company's RSU Retirement Policy, which is described in the Company's 2019 Proxy Statement. The performance conditions for certain Performance-based Restricted Stock Units ("PRSUs") that were previously granted to the reporting person have been satisfied and, as a result of the reporting person's retirement eligibility, such PRSUs are being treated as subject to taxation and have been settled in the form of Restricted Class A Common Stock. The Restricted Class A Common Stock, excluding any portion that the reporting person is permitted to sell solely in order to pay the related taxes (in accordance with the applicable award agreements), will remain subject to all restrictive covenants and sales restrictions contained in the underlying award agreements until the original vesting dates set forth therein.