MBI

SEC source: 0000814585-19-000014 · primary_doc.xml · nonDerivative · entry 2

Fallon William C · CIK 0001334233 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,163,406

F3 · shares: Restricted Stock granted pursuant to long-term incentive award under 16b-3 exemption. The shares issued are the target number of performance-based restricted stock that may be earned (in a range of 0% to 200% of the target number of shares issued) based on the achievement of a certain performance metric as of December 31, 2021. Any shares that are not earned on such date will be forfeited. The shares that are earned on such date will vest in one-third increments on each of the third, fourth and fifth anniversaries of the date of grant, subject to certain continued service conditions.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000014 · primary_doc.xml · nonDerivative · entry 1

Fallon William C · CIK 0001334233 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,085,982

F1 · shares: Time based shares that will vest in equal installments on the third, fourth and fifth anniversary of the grant date, subject to the NEO's continued employment on the vesting date (subject to certain exceptions).

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000012 · primary_doc.xml · nonDerivative · entry 3

Young Christopher H. · CIK 0001717555 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 468,596

F4 · shares: Restricted Stock granted pursuant to long-term incentive award under 16b-3 exemption. The shares issued are the target number of performance-based restricted stock that may be earned (in a range of 0% to 200% of the target number of shares issued) based on the achievement of a certain performance metric as of December 31, 2021. Any shares that are not earned on such date will be forfeited. The shares that are earned on such date will vest in one-third increments on each of the third, fourth and fifth anniversaries of the date of grant, subject to certain continued service conditions.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000012 · primary_doc.xml · nonDerivative · entry 2

Young Christopher H. · CIK 0001717555 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 444,631

F3 · shares: Time based shares that will vest in equal installments on the third, fourth and fifth anniversary of the grant date, subject to the NEO's continued employment on the vesting date (subject to certain exceptions).

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000012 · primary_doc.xml · nonDerivative · entry 1

Young Christopher H. · CIK 0001717555 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 429,373

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000010 · primary_doc.xml · nonDerivative · entry 3

Avitabile Daniel M. · CIK 0001717524 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 469,127

F4 · shares: Restricted Stock granted pursuant to long-term incentive award under 16b-3 exemption. The shares issued are the target number of performance-based restricted stock that may be earned (in a range of 0% to 200% of the target number of shares issued) based on the achievement of a certain performance metric as of December 31, 2021. Any shares that are not earned on such date will be forfeited. The shares that are earned on such date will vest in one-third increments on each of the third, fourth and fifth anniversaries of the date of grant, subject to certain continued service conditions.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000010 · primary_doc.xml · nonDerivative · entry 2

Avitabile Daniel M. · CIK 0001717524 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 445,162

F3 · shares: Time based shares that will vest in equal installments on the third, fourth and fifth anniversary of the grant date, subject to the NEO's continued employment on the vesting date (subject to certain exceptions).

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000010 · primary_doc.xml · nonDerivative · entry 1

Avitabile Daniel M. · CIK 0001717524 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 429,904

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000009 · primary_doc.xml · nonDerivative · entry 3

Harris Jonathan C. · CIK 0001717554 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 501,477

F3 · shares: Restricted Stock grated pursuant to long-term incentive award under 16b-3 exemption. The shares issued are the target number of performance-based restricted stock that may be earned (in a range of 0% to 200% of the target number of shares issued) based on the achievement of a certain performance metric as of December 31, 2021. Any shares that are not earned on such date will be forfeited. The shares that are earned on such date will vest in one-third increments on each of the third, fourth and fifth anniversaries of the date of grant, subject to certain continued service conditions.

SEC source: 0000814585-19-000009 · primary_doc.xml · nonDerivative · entry 2

Harris Jonathan C. · CIK 0001717554 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 475,669

F2 · shares: Time based shares that will vest in equal installments on the third, fourth and fifth anniversary of the grant date, subject to the NEO's continued employment on the vesting date (subject to certain exceptions).

SEC source: 0000814585-19-000009 · primary_doc.xml · nonDerivative · entry 1

Harris Jonathan C. · CIK 0001717554 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 459,237

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

SEC source: 0000814585-19-000008 · primary_doc.xml · nonDerivative · entry 1

Young Christopher H. · CIK 0001717555 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 430,557

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000007 · primary_doc.xml · nonDerivative · entry 1

Schachinger Joseph R. · CIK 0001706359 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,200

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000006 · primary_doc.xml · nonDerivative · entry 1

McKiernan Anthony · CIK 0001525942 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,034,114

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000005 · primary_doc.xml · nonDerivative · entry 1

Harris Jonathan C. · CIK 0001717554 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 460,421

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000004 · primary_doc.xml · nonDerivative · entry 1

Fallon William C · CIK 0001334233 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,036,686

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000003 · primary_doc.xml · nonDerivative · entry 1

Bergonzi Adam T. · CIK 0001717578 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 641,291

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000002 · primary_doc.xml · nonDerivative · entry 1

Avitabile Daniel M. · CIK 0001717524 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 430,953

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-19-000001 · primary_doc.xml · derivative · entry 2

Chin Francis Y · CIK 0001681624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,026.11

Underlying: Common Stock · 1,125.84 shares

Expires not disclosed

F2 · shares: Contribution credited to units acquired under Directors Deferred Compensation Plan for retainer and meeting fees.

F3 · derivative.exercise_date: Exercisable and expiration dates of units is date of termination of Reporting Person's status as Director which triggers payments.

F3 · derivative.expiration_date: Exercisable and expiration dates of units is date of termination of Reporting Person's status as Director which triggers payments.

SEC source: 0000814585-19-000001 · primary_doc.xml · nonDerivative · entry 1

Chin Francis Y · CIK 0001681624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,474

F1 · shares: Shares acquired in payment of director retainer and meeting fees.

SEC source: 0000919574-18-007579 · ownership.xml · nonDerivative · entry 3

Fine Capital Partners, L.P. · CIK 0001339161 · 10% owner

Fine Capital Advisors, LLC · CIK 0001388732 · 10% owner

Fine Debra · CIK 0001388742 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,005,925

F1 · ownership.nature: The securities reported herein are held in the accounts of private funds. Fine Capital Partners, L.P. may be deemed to be a beneficial owner of such securities by virtue of its role as the investment manager of such private funds. Fine Capital Advisors, LLC may be deemed to be a beneficial owner of such securities by virtue of its role as the general partner of Fine Capital Partners, L.P. Ms. Debra Fine may be deemed to be a beneficial owner of such securities by virtue of her role as the manager of Fine Capital Advisors, LLC. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or her pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Ms. Debra Fine directly is, as of the date of this report, also the direct owner of certain of the Issuer's shares not reported herein.

SEC source: 0000919574-18-007579 · ownership.xml · nonDerivative · entry 2

Fine Capital Partners, L.P. · CIK 0001339161 · 10% owner

Fine Capital Advisors, LLC · CIK 0001388732 · 10% owner

Fine Debra · CIK 0001388742 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,094,925

F1 · ownership.nature: The securities reported herein are held in the accounts of private funds. Fine Capital Partners, L.P. may be deemed to be a beneficial owner of such securities by virtue of its role as the investment manager of such private funds. Fine Capital Advisors, LLC may be deemed to be a beneficial owner of such securities by virtue of its role as the general partner of Fine Capital Partners, L.P. Ms. Debra Fine may be deemed to be a beneficial owner of such securities by virtue of her role as the manager of Fine Capital Advisors, LLC. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or her pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Ms. Debra Fine directly is, as of the date of this report, also the direct owner of certain of the Issuer's shares not reported herein.

SEC source: 0000919574-18-007579 · ownership.xml · nonDerivative · entry 1

Fine Capital Partners, L.P. · CIK 0001339161 · 10% owner

Fine Capital Advisors, LLC · CIK 0001388732 · 10% owner

Fine Debra · CIK 0001388742 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,135,930

F1 · ownership.nature: The securities reported herein are held in the accounts of private funds. Fine Capital Partners, L.P. may be deemed to be a beneficial owner of such securities by virtue of its role as the investment manager of such private funds. Fine Capital Advisors, LLC may be deemed to be a beneficial owner of such securities by virtue of its role as the general partner of Fine Capital Partners, L.P. Ms. Debra Fine may be deemed to be a beneficial owner of such securities by virtue of her role as the manager of Fine Capital Advisors, LLC. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or her pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Ms. Debra Fine directly is, as of the date of this report, also the direct owner of certain of the Issuer's shares not reported herein.

SEC source: 0000814585-18-000041 · primary_doc.xml · nonDerivative · entry 1

DEWBREY DIANE L · CIK 0001200125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,086

F1 · shares: Restricted stock granted on November 13, 2018 with a 1 year vesting provision and which will vest on November 13, 2019.

SEC source: 0000919574-18-007070 · ownership.xml · nonDerivative · entry 3

Fine Capital Partners, L.P. · CIK 0001339161 · 10% owner

Fine Capital Advisors, LLC · CIK 0001388732 · 10% owner

Fine Debra · CIK 0001388742 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,250,930

F1 · ownership.nature: The securities reported herein are held in the accounts of private funds. Fine Capital Partners, L.P. may be deemed to be a beneficial owner of such securities by virtue of its role as the investment manager of such private funds. Fine Capital Advisors, LLC may be deemed to be a beneficial owner of such securities by virtue of its role as the general partner of Fine Capital Partners, L.P. Ms. Debra Fine may be deemed to be a beneficial owner of such securities by virtue of her role as the manager of Fine Capital Advisors, LLC. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or her pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Ms. Debra Fine directly is, as of the date of this report, also the direct owner of certain of the Issuer's shares not reported herein.

SEC source: 0000919574-18-007070 · ownership.xml · nonDerivative · entry 2

Fine Capital Partners, L.P. · CIK 0001339161 · 10% owner

Fine Capital Advisors, LLC · CIK 0001388732 · 10% owner

Fine Debra · CIK 0001388742 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,258,930

F1 · ownership.nature: The securities reported herein are held in the accounts of private funds. Fine Capital Partners, L.P. may be deemed to be a beneficial owner of such securities by virtue of its role as the investment manager of such private funds. Fine Capital Advisors, LLC may be deemed to be a beneficial owner of such securities by virtue of its role as the general partner of Fine Capital Partners, L.P. Ms. Debra Fine may be deemed to be a beneficial owner of such securities by virtue of her role as the manager of Fine Capital Advisors, LLC. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or her pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Ms. Debra Fine directly is, as of the date of this report, also the direct owner of certain of the Issuer's shares not reported herein.

SEC source: 0000814585-18-000034 · primary_doc.xml · nonDerivative · entry 1

Avitabile Daniel M. · CIK 0001717524 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 432,630

F1 · shares: Restricted stock granted pursuant to long-term incentive award under the MBIA Inc. 2005 Omnibus Incentive Plan, as amended. The restricted stock will cliff vest on March 3, 2025 provided Mr. Avitabile remains continuously employed through such date.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-18-000039 · primary_doc.xml · nonDerivative · entry 1

Young Christopher H. · CIK 0001717555 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 431,871

F1 · shares: Restricted stock granted pursuant to long-term incentive award under the MBIA Inc. 2005 Omnibus Incentive Plan, as amended. The restricted stock will cliff vest on March 3, 2025 provided Mr. Young remains continuously employed through such date.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-18-000038 · primary_doc.xml · nonDerivative · entry 1

McKiernan Anthony · CIK 0001525942 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,040,885

F1 · shares: Restricted stock granted pursuant to long-term incentive award under the MBIA Inc. 2005 Omnibus Incentive Plan, as amended. The restricted stock will cliff vest on March 3, 2025 provided Mr. McKiernan remains continuously employed through such date.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-18-000037 · primary_doc.xml · nonDerivative · entry 1

Harris Jonathan C. · CIK 0001717554 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 462,098

F1 · shares: Restricted stock granted pursuant to long-term incentive award under the MBIA Inc. 2005 Omnibus Incentive Plan, as amended. The restricted stock will cliff vest on March 3, 2025 provided Mr. Harris remains continuously employed through such date.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-18-000036 · primary_doc.xml · nonDerivative · entry 1

Fallon William C · CIK 0001334233 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,051,191

F1 · shares: Restricted stock granted pursuant to long-term incentive award under the MBIA Inc. 2005 Omnibus Incentive Plan, as amended. The restricted stock will cliff vest on March 3, 2025 provided Mr. Fallon remains continuously employed through such date.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-18-000035 · primary_doc.xml · nonDerivative · entry 1

Bergonzi Adam T. · CIK 0001717578 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 643,604

F1 · shares: Restricted stock granted pursuant to long-term incentive award under the MBIA Inc. 2005 Omnibus Incentive Plan, as amended. The restricted stock will cliff vest on March 3, 2025 provided Mr. Bergonzi remains continuously employed through such date.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000919574-18-007070 · ownership.xml · nonDerivative · entry 1

Fine Capital Partners, L.P. · CIK 0001339161 · 10% owner

Fine Capital Advisors, LLC · CIK 0001388732 · 10% owner

Fine Debra · CIK 0001388742 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,408,930

F1 · ownership.nature: The securities reported herein are held in the accounts of private funds. Fine Capital Partners, L.P. may be deemed to be a beneficial owner of such securities by virtue of its role as the investment manager of such private funds. Fine Capital Advisors, LLC may be deemed to be a beneficial owner of such securities by virtue of its role as the general partner of Fine Capital Partners, L.P. Ms. Debra Fine may be deemed to be a beneficial owner of such securities by virtue of her role as the manager of Fine Capital Advisors, LLC. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its or her pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Ms. Debra Fine directly is, as of the date of this report, also the direct owner of certain of the Issuer's shares not reported herein.

SEC source: 0000814585-18-000033 · primary_doc.xml · derivative · entry 2

Chin Francis Y · CIK 0001681624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,900.27

Underlying: Common Stock · 927.1 shares

Expires not disclosed

F2 · shares: Contribution credited to units acquired under Directors Deferred Compensation Plan for retainer and meeting fees.

F3 · derivative.exercise_date: Exercisable and expiration dates of units is date of termination of Reporting Person's status as Director which triggers payments.

F3 · derivative.expiration_date: Exercisable and expiration dates of units is date of termination of Reporting Person's status as Director which triggers payments.

SEC source: 0000814585-18-000033 · primary_doc.xml · nonDerivative · entry 1

Chin Francis Y · CIK 0001681624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,099

F1 · shares: Shares acquired in payment of director retainer and meeting fees.

SEC source: 0000919574-18-005331 · ownership.xml · nonDerivative · entry 2

Fine Capital Partners, L.P. · CIK 0001339161 · 10% owner

Fine Capital Advisors, LLC · CIK 0001388732 · 10% owner

Fine Debra · CIK 0001388742 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,608,930

F1 · ownership.nature: The securities reported herein are held in the accounts of private funds. Fine Capital Partners, L.P. may be deemed to be a beneficial owner of such securities by virtue of its role as the investment manager of such private funds. Fine Capital Advisors, LLC may be deemed to be a beneficial owner of such securities by virtue of its role as the general partner of Fine Capital Partners, L.P. Ms. Debra Fine may be deemed to be a beneficial owner of such securities by virtue of her role as the manager of Fine Capital Advisors, LLC. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 3 except to the extent of its or her pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Ms. Debra Fine is, as of the date of this report, also the direct owner of certain of the Issuer's shares not reported herein.

SEC source: 0000919574-18-005331 · ownership.xml · nonDerivative · entry 1

Fine Capital Partners, L.P. · CIK 0001339161 · 10% owner

Fine Capital Advisors, LLC · CIK 0001388732 · 10% owner

Fine Debra · CIK 0001388742 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 9,736,830

F1 · ownership.nature: The securities reported herein are held in the accounts of private funds. Fine Capital Partners, L.P. may be deemed to be a beneficial owner of such securities by virtue of its role as the investment manager of such private funds. Fine Capital Advisors, LLC may be deemed to be a beneficial owner of such securities by virtue of its role as the general partner of Fine Capital Partners, L.P. Ms. Debra Fine may be deemed to be a beneficial owner of such securities by virtue of her role as the manager of Fine Capital Advisors, LLC. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 3 except to the extent of its or her pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

F2 · ownership.nature: Ms. Debra Fine is, as of the date of this report, also the direct owner of certain of the Issuer's shares not reported herein.

SEC source: 0000814585-18-000032 · primary_doc.xml · derivative · entry 2

Chin Francis Y · CIK 0001681624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,973.17

Underlying: Common Stock · 1,000.7 shares

Expires not disclosed

F2 · shares: Contribution credited to units acquired under Directors Deferred Compensation Plan for retainer and meeting fees.

F3 · derivative.exercise_date: Exercisable and expiration dates of units is date of termination of Reporting Person's status as Director which triggers payments.

F3 · derivative.expiration_date: Exercisable and expiration dates of units is date of termination of Reporting Person's status as Director which triggers payments.

SEC source: 0000814585-18-000032 · primary_doc.xml · nonDerivative · entry 1

Chin Francis Y · CIK 0001681624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,790

F1 · shares: Shares acquired in payment of director retainer and meeting fees.

SEC source: 0000814585-18-000031 · primary_doc.xml · nonDerivative · entry 1

Chin Francis Y · CIK 0001681624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,456

F1 · shares: Restricted stock granted on May 14, 2018 at a price of $8.86 per share with 1 year vesting on May 14, 2019.

SEC source: 0000814585-18-000030 · primary_doc.xml · nonDerivative · entry 1

GILBERT STEVEN J · CIK 0001105209 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,393

F1 · shares: Restricted stock granted on May 14, 2018 at a price of $8.86 per share with 1 year vesting on May 14, 2019.

SEC source: 0000814585-18-000029 · primary_doc.xml · nonDerivative · entry 1

RINEHART CHARLES R · CIK 0001191034 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,879

F1 · shares: Restricted stock granted on May 14, 2018 at a price of $8.86 per share with 1 year vesting on May 14, 2019.

SEC source: 0000814585-18-000028 · primary_doc.xml · nonDerivative · entry 1

Shasta Theodore · CIK 0001468776 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,137

F1 · shares: Restricted stock granted on May 14, 2018 at a price of $8.86 per share with 1 year vesting on May 14, 2019.

SEC source: 0000814585-18-000027 · primary_doc.xml · nonDerivative · entry 1

VAUGHAN RICHARD C · CIK 0001228948 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,960

F1 · shares: Restricted stock granted on May 14, 2018 at a price of $8.86 per share with 1 year vesting on May 14, 2019.

SEC source: 0000814585-18-000026 · primary_doc.xml · derivative · entry 2

Chin Francis Y · CIK 0001681624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,972.47

Underlying: Common Stock · 1,378.37 shares

Expires not disclosed

F2 · shares: Contribution credited to units acquired under Directors Deferred Compensation Plan for retainer and meeting fees.

F3 · derivative.exercise_date: Exercisable and expiration dates of units is date of termination of Reporting Person's status as Director which triggers payments.

F3 · derivative.expiration_date: Exercisable and expiration dates of units is date of termination of Reporting Person's status as Director which triggers payments.

SEC source: 0000814585-18-000026 · primary_doc.xml · nonDerivative · entry 1

Chin Francis Y · CIK 0001681624 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,532

F1 · shares: Shares acquired in payment of director retainer and meeting fees.

SEC source: 0000814585-18-000018 · primary_doc.xml · nonDerivative · entry 2

Harris Jonathan C. · CIK 0001717554 · General Counsel and Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,767

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

SEC source: 0000814585-18-000017 · primary_doc.xml · nonDerivative · entry 2

Young Christopher H. · CIK 0001717555 · Assistant Vice Pesident

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,540

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-18-000016 · primary_doc.xml · nonDerivative · entry 2

Schachinger Joseph R. · CIK 0001706359 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,484

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.

SEC source: 0000814585-18-000015 · primary_doc.xml · nonDerivative · entry 2

Bergonzi Adam T. · CIK 0001717578 · Assistant Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,529

F1 · shares: Represents shares surrendered to Issuer for payment of tax liability upon vesting of restricted stock.

F2 · balance_after: Balance reflects adjustment for retirement plan shares.