MU

SEC source: 0001562180-21-006462 · primarydocument.xml · nonDerivative · entry 1

McCarthy Mary Pat · CIK 0001565570 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,100

F1 · shares: Director Restricted Stock Awards vest at 100% on one year anniversary date of award.

SEC source: 0001562180-21-006463 · primarydocument.xml · nonDerivative · entry 1

SWITZ ROBERT E · CIK 0001183792 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,103

F1 · shares: Director Restricted Stock Awards vest at 100% on one year anniversary date of award.

SEC source: 0001562180-21-006464 · primarydocument.xml · nonDerivative · entry 1

Wright Mary Ann · CIK 0001354116 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,009

F1 · shares: Director Restricted Stock Awards vest at 100% on one year anniversary date of award.

SEC source: 0001562180-21-006477 · primarydocument.xml · derivative · entry 10

ARNZEN APRIL S · CIK 0001632063 · SVP, Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,640

Underlying: Common Stock · 16,240 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.

F8 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F8 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F1 · derivative.underlying_shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006477 · primarydocument.xml · derivative · entry 9

ARNZEN APRIL S · CIK 0001632063 · SVP, Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,693

Underlying: Common Stock · 429 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.

F7 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F8 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F1 · derivative.underlying_shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006477 · primarydocument.xml · derivative · entry 8

ARNZEN APRIL S · CIK 0001632063 · SVP, Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,494

Underlying: Common Stock · 7,494 shares

Expires not disclosed

F6 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to High Value NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F6 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to High Value NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F6 · derivative.underlying_shares: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to High Value NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

SEC source: 0001562180-21-006477 · primarydocument.xml · derivative · entry 7

ARNZEN APRIL S · CIK 0001632063 · SVP, Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,494

Underlying: Common Stock · 7,494 shares

Expires not disclosed

F5 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to Data Center NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F5 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to Data Center NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F5 · derivative.underlying_shares: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to Data Center NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

SEC source: 0001562180-21-006477 · primarydocument.xml · derivative · entry 6

ARNZEN APRIL S · CIK 0001632063 · SVP, Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,587

Underlying: Common Stock · 12,587 shares

Expires not disclosed

F4 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F4 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F4 · derivative.underlying_shares: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

SEC source: 0001562180-21-006477 · primarydocument.xml · nonDerivative · entry 5

ARNZEN APRIL S · CIK 0001632063 · SVP, Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,057

F3 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of performance restricted stock units awarded under the Issuer's 2004 Equity Incentive Plan.

SEC source: 0001562180-21-006477 · primarydocument.xml · nonDerivative · entry 4

ARNZEN APRIL S · CIK 0001632063 · SVP, Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,943

F3 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of performance restricted stock units awarded under the Issuer's 2004 Equity Incentive Plan.

SEC source: 0001562180-21-006477 · primarydocument.xml · nonDerivative · entry 3

ARNZEN APRIL S · CIK 0001632063 · SVP, Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,132

F2 · shares: Restricted Stock Awards vest in 33 1/3% increments annually on the anniversary of the grant.

SEC source: 0001562180-21-006477 · primarydocument.xml · nonDerivative · entry 2

ARNZEN APRIL S · CIK 0001632063 · SVP, Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,156

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 · shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006477 · primarydocument.xml · nonDerivative · entry 1

ARNZEN APRIL S · CIK 0001632063 · SVP, Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,727

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 · shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006479 · primarydocument.xml · derivative · entry 11

MEHROTRA SANJAY · CIK 0001242654 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,770

Underlying: Common Stock · 3,578 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.

F9 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F9 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F1 · derivative.underlying_shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006479 · primarydocument.xml · derivative · entry 10

MEHROTRA SANJAY · CIK 0001242654 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,605

Underlying: Common Stock · 135,114 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.

F8 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F8 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F1 · derivative.underlying_shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006479 · primarydocument.xml · derivative · entry 9

MEHROTRA SANJAY · CIK 0001242654 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,027

Underlying: Common Stock · 44,027 shares

Expires not disclosed

F7 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to High Value NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F7 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to High Value NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F7 · derivative.underlying_shares: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to High Value NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

SEC source: 0001562180-21-006479 · primarydocument.xml · derivative · entry 8

MEHROTRA SANJAY · CIK 0001242654 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,027

Underlying: Common Stock · 44,027 shares

Expires not disclosed

F6 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to Data Center NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F6 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to Data Center NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F6 · derivative.underlying_shares: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to Data Center NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

SEC source: 0001562180-21-006479 · primarydocument.xml · derivative · entry 7

MEHROTRA SANJAY · CIK 0001242654 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,946

Underlying: Common Stock · 73,946 shares

Expires not disclosed

F5 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F5 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F5 · derivative.underlying_shares: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

SEC source: 0001562180-21-006479 · primarydocument.xml · nonDerivative · entry 5

MEHROTRA SANJAY · CIK 0001242654 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 841,780

F3 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of performance restricted stock units awarded under the Issuer's 2004 Equity Incentive Plan.

SEC source: 0001562180-21-006479 · primarydocument.xml · nonDerivative · entry 4

MEHROTRA SANJAY · CIK 0001242654 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 905,595

F3 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of performance restricted stock units awarded under the Issuer's 2004 Equity Incentive Plan.

SEC source: 0001562180-21-006479 · primarydocument.xml · nonDerivative · entry 3

MEHROTRA SANJAY · CIK 0001242654 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 907,285

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 · shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006479 · primarydocument.xml · nonDerivative · entry 2

MEHROTRA SANJAY · CIK 0001242654 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 903,707

F2 · shares: Restricted Stock Awards vest in 33 1/3% increments annually on the anniversary of the grant.

SEC source: 0001562180-21-006479 · primarydocument.xml · nonDerivative · entry 1

MEHROTRA SANJAY · CIK 0001242654 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 727,598

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 · shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006478 · primarydocument.xml · derivative · entry 7

Poppen Joel L · CIK 0001595382 · SVP, General Counsel&Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,694

Underlying: Common Stock · 429 shares

Expires not disclosed

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

F4 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F4 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F2 · derivative.underlying_shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006478 · primarydocument.xml · derivative · entry 6

Poppen Joel L · CIK 0001595382 · SVP, General Counsel&Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,640

Underlying: Common Stock · 16,240 shares

Expires not disclosed

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

F3 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F3 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F2 · derivative.underlying_shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006478 · primarydocument.xml · nonDerivative · entry 4

Poppen Joel L · CIK 0001595382 · SVP, General Counsel&Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,559

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 · shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006478 · primarydocument.xml · nonDerivative · entry 3

Poppen Joel L · CIK 0001595382 · SVP, General Counsel&Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,130

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 · shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006478 · primarydocument.xml · nonDerivative · entry 2

Poppen Joel L · CIK 0001595382 · SVP, General Counsel&Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,890

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of performance restricted stock units awarded under the Issuer's 2004 Equity Incentive Plan.

SEC source: 0001562180-21-006478 · primarydocument.xml · nonDerivative · entry 1

Poppen Joel L · CIK 0001595382 · SVP, General Counsel&Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 245,079

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of performance restricted stock units awarded under the Issuer's 2004 Equity Incentive Plan.

SEC source: 0001562180-21-006481 · primarydocument.xml · derivative · entry 10

Sadana Sumit · CIK 0001311079 · EVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,456

Underlying: Common Stock · 15,456 shares

Expires not disclosed

F8 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to High Value NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F8 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to High Value NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F8 · derivative.underlying_shares: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to High Value NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

SEC source: 0001562180-21-006481 · primarydocument.xml · derivative · entry 9

Sadana Sumit · CIK 0001311079 · EVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,456

Underlying: Common Stock · 15,456 shares

Expires not disclosed

F7 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to Data Center NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F7 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to Data Center NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F7 · derivative.underlying_shares: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to Data Center NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

SEC source: 0001562180-21-006481 · primarydocument.xml · derivative · entry 8

Sadana Sumit · CIK 0001311079 · EVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,960

Underlying: Common Stock · 25,960 shares

Expires not disclosed

F6 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F6 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F6 · derivative.underlying_shares: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

SEC source: 0001562180-21-006481 · primarydocument.xml · derivative · entry 7

Sadana Sumit · CIK 0001311079 · EVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,272

Underlying: Common Stock · 1,311 shares

Expires not disclosed

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

F5 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F5 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F1 · derivative.underlying_shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006481 · primarydocument.xml · derivative · entry 6

Sadana Sumit · CIK 0001311079 · EVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,139

Underlying: Common Stock · 49,485 shares

Expires not disclosed

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

F4 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F4 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F1 · derivative.underlying_shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006481 · primarydocument.xml · nonDerivative · entry 5

Sadana Sumit · CIK 0001311079 · EVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 207,983

F3 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of performance restricted stock units awarded under the Issuer's 2004 Equity Incentive Plan.

SEC source: 0001562180-21-006481 · primarydocument.xml · nonDerivative · entry 4

Sadana Sumit · CIK 0001311079 · EVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,355

F3 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of performance restricted stock units awarded under the Issuer's 2004 Equity Incentive Plan.

SEC source: 0001562180-21-006481 · primarydocument.xml · nonDerivative · entry 3

Sadana Sumit · CIK 0001311079 · EVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 231,975

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 · shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006481 · primarydocument.xml · nonDerivative · entry 2

Sadana Sumit · CIK 0001311079 · EVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,490

F2 · shares: Restricted Stock Awards vest in 33 1/3% increments annually on the anniversary of the grant.

SEC source: 0001562180-21-006481 · primarydocument.xml · nonDerivative · entry 1

Sadana Sumit · CIK 0001311079 · EVP, Chief Business Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,664

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 · shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006480 · primarydocument.xml · derivative · entry 10

Deboer Scott J · CIK 0001568238 · EVP, Technology & Products

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,709

Underlying: Common Stock · 11,709 shares

Expires not disclosed

F8 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to High Value NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F8 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to High Value NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F8 · derivative.underlying_shares: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to High Value NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

SEC source: 0001562180-21-006480 · primarydocument.xml · derivative · entry 9

Deboer Scott J · CIK 0001568238 · EVP, Technology & Products

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,709

Underlying: Common Stock · 11,709 shares

Expires not disclosed

F7 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to Data Center NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F7 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to Data Center NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F7 · derivative.underlying_shares: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to Data Center NAND delivery and solutions over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

SEC source: 0001562180-21-006480 · primarydocument.xml · derivative · entry 8

Deboer Scott J · CIK 0001568238 · EVP, Technology & Products

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,666

Underlying: Common Stock · 19,666 shares

Expires not disclosed

F6 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F6 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

F6 · derivative.underlying_shares: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock which percentage varies based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year period beginning September 3, 2021 and ending on August 29, 2024 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 13, 2021), and certification of such performance by the Compensation Committee.

SEC source: 0001562180-21-006480 · primarydocument.xml · derivative · entry 7

Deboer Scott J · CIK 0001568238 · EVP, Technology & Products

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,667

Underlying: Common Stock · 33,833 shares

Expires not disclosed

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

F5 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F5 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F1 · derivative.underlying_shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006480 · primarydocument.xml · derivative · entry 6

Deboer Scott J · CIK 0001568238 · EVP, Technology & Products

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,705

Underlying: Common Stock · 896 shares

Expires not disclosed

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

F4 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F4 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to relative total shareholder return over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F1 · derivative.underlying_shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006480 · primarydocument.xml · nonDerivative · entry 5

Deboer Scott J · CIK 0001568238 · EVP, Technology & Products

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,033

F3 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of performance restricted stock units awarded under the Issuer's 2004 Equity Incentive Plan.

SEC source: 0001562180-21-006480 · primarydocument.xml · nonDerivative · entry 4

Deboer Scott J · CIK 0001568238 · EVP, Technology & Products

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 205,427

F3 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of performance restricted stock units awarded under the Issuer's 2004 Equity Incentive Plan.

SEC source: 0001562180-21-006480 · primarydocument.xml · nonDerivative · entry 3

Deboer Scott J · CIK 0001568238 · EVP, Technology & Products

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 220,289

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 · shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006480 · primarydocument.xml · nonDerivative · entry 2

Deboer Scott J · CIK 0001568238 · EVP, Technology & Products

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 186,456

F2 · shares: Restricted Stock Awards vest in 33 1/3% increments annually on the anniversary of the grant.

SEC source: 0001562180-21-006480 · primarydocument.xml · nonDerivative · entry 1

Deboer Scott J · CIK 0001568238 · EVP, Technology & Products

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,618

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 · shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.

SEC source: 0001562180-21-006482 · primarydocument.xml · derivative · entry 12

Zinsner David · CIK 0001330891 · EVP & Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,311

Underlying: Common Stock · 36,088 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.

F9 · derivative.exercise_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F9 · derivative.expiration_date: Each performance-based restricted stock unit represents the right to receive, following vesting, a percentage of one share of common stock based upon the achievement of pre-established performance metrics related to NAND over a 3-year performance period beginning August 30, 2019 and ending on September 1, 2022 (subject to a 200% aggregate limit on the total target shares that may be received under the performance-based restricted stock units awarded on October 16, 2019), and certification of such performance by the Compensation Committee.

F2 · derivative.underlying_shares: The Compensation Committee certified achievement of the pre-established performance goals at a level resulting in a vest of 100% of the total target shares under the performance-based restricted stock units previously awarded on October 16, 2019. As reported at grant, the performance-based restricted stock unit could result in a payout that varies based on actual achievement of the goals, subject to a 200% aggregate limit on the payout of target shares.