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NORTHROP GRUMMAN CORP /DE/

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2963
SEC CIK
0001133421
Parsed reports
704

Last 12 months

Inside the activity.

0 purchase rows · 61 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202507
Dec 202501
Jan 202602
Feb 2026029
Mar 202601
Apr 202600
May 2026011
Jun 202600
Jul 202600
Aug 2026010
Sep 202600
Oct 202600

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
February 19, 2019 Filed Feb 21, 2019 22:22 UTC
Peppard Denise M.Corp Vice President
Exercise / conversionCommon Stock 2,801 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003287 · doc4.xml · nonDerivative · entry 1

Peppard Denise M. · CIK 0001421154 · Corp Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,911.22

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 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:21 UTC
Kalan Lesley ACorp VP, Government Relations
Exercise / conversionRestricted Stock Rights · Derivative 733 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003286 · doc4.xml · derivative · entry 4

Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,089

Underlying: Common Stock · 733 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

F4 · derivative.exercise_date: Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.

F2 · derivative.expiration_date: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

F5 · balance_after: Total amount includes 1,751 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 1,445 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; and 893 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20.

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:21 UTC
Kalan Lesley ACorp VP, Government Relations
Tax withholdingCommon Stock 327 $287.35 $93,963.45
Disclosure

SEC source: 0001225208-19-003286 · doc4.xml · nonDerivative · entry 2

Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,492.89

F1 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F3 · shares: Shares surrendered to issuer in payment of tax liability in connection with vesting of RSRs in accordance with Rule 16b-3(e).

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:21 UTC
Kalan Lesley ACorp VP, Government Relations
Exercise / conversionCommon Stock 733 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003286 · doc4.xml · nonDerivative · entry 1

Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,819.89

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 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:21 UTC
Jones Christopher TCorp VP & Pres Tech Svcs
Exercise / conversionRestricted Stock Rights · Derivative 4,943 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003285 · doc4.xml · derivative · entry 4

Jones Christopher T · CIK 0001559104 · Corp VP & Pres Tech Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,820

Underlying: Common Stock · 4,943 shares

Expires not disclosed

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

F5 · derivative.exercise_price: Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

F5 · derivative.exercise_date: Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.

F2 · derivative.expiration_date: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

F6 · balance_after: Total amount includes 3,283 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 2,710 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; and 3,827 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20.

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:21 UTC
Jones Christopher TCorp VP & Pres Tech Svcs
Tax withholdingCommon Stock 2,230 $287.35 $640,790.50
Disclosure

SEC source: 0001225208-19-003285 · doc4.xml · nonDerivative · entry 2

Jones Christopher T · CIK 0001559104 · Corp VP & Pres Tech Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,155.899

F1 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F3 · shares: Shares surrendered to issuer in payment of tax liability in connection with vesting of RSRs in accordance with Rule 16b-3(e).

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:21 UTC
Jones Christopher TCorp VP & Pres Tech Svcs
Exercise / conversionCommon Stock 4,943 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003285 · doc4.xml · nonDerivative · entry 1

Jones Christopher T · CIK 0001559104 · Corp VP & Pres Tech Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,385.899

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 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:20 UTC
CHESTON SHEILA C.Corp. VP & General Counsel
Exercise / conversionRestricted Stock Rights · Derivative 4,120 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003283 · doc4.xml · derivative · entry 3

CHESTON SHEILA C. · CIK 0001499087 · Corp. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,382

Underlying: Common Stock · 4,120 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

F4 · derivative.exercise_date: Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.

F2 · derivative.expiration_date: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

F5 · balance_after: Total amount includes 2,845 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 2,348 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; and 3,189 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20.

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:20 UTC
CHESTON SHEILA C.Corp. VP & General Counsel
Tax withholdingCommon Stock 1,990 $287.35 $571,826.50
Disclosure

SEC source: 0001225208-19-003283 · doc4.xml · nonDerivative · entry 2

CHESTON SHEILA C. · CIK 0001499087 · Corp. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,747.37

F1 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F3 · shares: Shares surrendered to issuer in payment of tax liability in connection with vesting of RSRs in accordance with Rule 16b-3(e).

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:20 UTC
CHESTON SHEILA C.Corp. VP & General Counsel
Exercise / conversionCommon Stock 4,120 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003283 · doc4.xml · nonDerivative · entry 1

CHESTON SHEILA C. · CIK 0001499087 · Corp. VP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,737.37

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 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:20 UTC
Caylor Mark ACorp VP & Pres, Mission System
Exercise / conversionRestricted Stock Rights · Derivative 4,120 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003282 · doc4.xml · derivative · entry 4

Caylor Mark A · CIK 0001559097 · Corp VP & Pres, Mission System

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,835

Underlying: Common Stock · 4,120 shares

Expires not disclosed

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

F5 · derivative.exercise_price: Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

F5 · derivative.exercise_date: Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.

F2 · derivative.expiration_date: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

F6 · balance_after: Total amount includes 3,830 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 1,655 RSRs granted under the LTISP on 12/4/18 that will vest on 12/4/21; 3,161 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; and 3,189 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20.

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:20 UTC
Caylor Mark ACorp VP & Pres, Mission System
Tax withholdingCommon Stock 1,990 $287.35 $571,826.50
Disclosure

SEC source: 0001225208-19-003282 · doc4.xml · nonDerivative · entry 2

Caylor Mark A · CIK 0001559097 · Corp VP & Pres, Mission System

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,410.16

F1 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F3 · shares: Shares surrendered to issuer in payment of tax liability in connection with vesting of RSRs in accordance with Rule 16b-3(e).

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:20 UTC
Caylor Mark ACorp VP & Pres, Mission System
Exercise / conversionCommon Stock 4,120 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003282 · doc4.xml · nonDerivative · entry 1

Caylor Mark A · CIK 0001559097 · Corp VP & Pres, Mission System

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,400.16

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 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:19 UTC Exercise / conversionRestricted Stock Rights · Derivative 4,943 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003280 · doc4.xml · derivative · entry 3

Bedingfield Kenneth L · CIK 0001539147 · Corp VP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,137

Underlying: Common Stock · 4,943 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

F4 · derivative.exercise_date: Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.

F2 · derivative.expiration_date: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

F5 · balance_after: Total amount includes 3,830 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 3,161 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; and 4,146 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20.

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:19 UTC Tax withholdingCommon Stock 2,388 $287.35 $686,191.80
Disclosure

SEC source: 0001225208-19-003280 · doc4.xml · nonDerivative · entry 2

Bedingfield Kenneth L · CIK 0001539147 · Corp VP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,454.82

F1 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F3 · shares: Shares surrendered to issuer in payment of tax liability in connection with vesting of RSRs in accordance with Rule 16b-3(e).

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:19 UTC Exercise / conversionCommon Stock 4,943 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003280 · doc4.xml · nonDerivative · entry 1

Bedingfield Kenneth L · CIK 0001539147 · Corp VP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,842.82

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 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:19 UTC
Antkowiak Patrick M.CVP & Chief S&T Ofcr
Exercise / conversionRestricted Stock Rights · Derivative 1,648 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003279 · doc4.xml · derivative · entry 3

Antkowiak Patrick M. · CIK 0001626333 · CVP & Chief S&T Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,273

Underlying: Common Stock · 1,648 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

F4 · derivative.exercise_date: Each RSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock.

F2 · derivative.expiration_date: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

F5 · balance_after: Total amount includes 1,094 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 903 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; and 1,276 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20.

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:19 UTC
Antkowiak Patrick M.CVP & Chief S&T Ofcr
Tax withholdingCommon Stock 784 $287.35 $225,282.40
Disclosure

SEC source: 0001225208-19-003279 · doc4.xml · nonDerivative · entry 2

Antkowiak Patrick M. · CIK 0001626333 · CVP & Chief S&T Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,908.37

F1 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F3 · shares: Shares surrendered to issuer in payment of tax liability in connection with vesting of RSRs in accordance with Rule 16b-3(e).

Read SEC document
February 19, 2019 Filed Feb 21, 2019 22:19 UTC
Antkowiak Patrick M.CVP & Chief S&T Ofcr
Exercise / conversionCommon Stock 1,648 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-003279 · doc4.xml · nonDerivative · entry 1

Antkowiak Patrick M. · CIK 0001626333 · CVP & Chief S&T Ofcr

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,692.37

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 · date: In accordance with the terms of the 2011 Long-Term Incentive Stock Plan ("LTISP"), because the third anniversary of the grant (February 17, 2019) fell on a weekend, the award shares vested on February 19, 2019, the next business day. The vested award shares were valued based on the Company's closing stock price on February 19, 2019. The shares will be distributed into the participant's account on February 20, 2019.

F2 · shares: Shares issued upon vesting of Restricted Stock Rights ("RSRs") granted under the LTISP on 2/17/16 that vested on 2/19/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Warden Kathy JDirector · President and CEO
GrantRestricted Stock Rights · Derivative 14,227 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002778 · doc4.xml · derivative · entry 5

Warden Kathy J · CIK 0001559112 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,918

Underlying: Common Stock · 14,227 shares

Expires not disclosed

F7 · derivative.exercise_price: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F7 · derivative.exercise_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F7 · derivative.expiration_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F8 · balance_after: Total amount includes 14,227 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 4,943 RSRs granted under the LTISP on 9/19/18 that will vest on 9/19/21; 4,516 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; 4,465 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; and 5,767 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Warden Kathy JDirector · President and CEO
Exercise / conversionRestricted Performance Stock Rights · Derivative 14,616.5 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002778 · doc4.xml · derivative · entry 4

Warden Kathy J · CIK 0001559112 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,208

Underlying: Common Stock · 14,616.5 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · shares: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a valuation of performance measurement period ("measurement period") that ended 12/31/18. RPSRs to be settled at 115% of target. The shares are anticipated to be distributed into the participant's account on February 14, 2019.

F3 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F3 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F6 · balance_after: Total amount includes 33,572 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; 13,016 RPSRs granted on 9/19/18 with a measurement period ending on 12/31/20; 9,944 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; and 10,676 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Warden Kathy JDirector · President and CEO
GrantRestricted Performance Stock Rights · Derivative 35,478.5 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002778 · doc4.xml · derivative · entry 3

Warden Kathy J · CIK 0001559112 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,824.5

Underlying: Common Stock · 35,478.5 shares

Expires not disclosed

F3 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F4 · shares: The RPSRs acquired include (i) 1,906.50 vested RPSRs with respect to the measurement period ended 12/31/18 acquired due to settlement of the 2016 RPSRs held at 115% of the target award; and (ii) 33,572 unvested RPSRs granted under the LTISP on 2/13/19 with a measurement period ending on 12/31/21.

F3 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F3 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F5 · balance_after: Total amount includes 14,616.50 vested RPSRs granted under the LTISP on 2/17/16 with a measurement period ending on 12/31/18; 33,572 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; 13,016 RPSRs granted on 9/19/18 with a measurement period ending on 12/31/20; 9,944 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; and 10,676 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Warden Kathy JDirector · President and CEO
Tax withholdingCommon Stock 6,062 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002778 · doc4.xml · nonDerivative · entry 2

Warden Kathy J · CIK 0001559112 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,565.85

F2 · shares: Shares surrendered to issuer in payment of tax liability in connection with settlement of RPSRs in accordance with Rule 16b-3(e)

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Warden Kathy JDirector · President and CEO
Exercise / conversionCommon Stock 14,616.5 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002778 · doc4.xml · nonDerivative · entry 1

Warden Kathy J · CIK 0001559112 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,627.85

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: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a valuation of performance measurement period ("measurement period") that ended 12/31/18. RPSRs to be settled at 115% of target. The shares are anticipated to be distributed into the participant's account on February 14, 2019.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Ryan Lucy CCorp VP, Communications
GrantRestricted Stock Rights · Derivative 657 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002777 · doc4.xml · derivative · entry 2

Ryan Lucy C · CIK 0001762551 · Corp VP, Communications

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,752

Underlying: Common Stock · 657 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F4 · derivative.exercise_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F4 · derivative.expiration_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F5 · balance_after: Total amount includes 657 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 303 RSRs granted under the LTISP on 10/30/18 that will vest on 10/30/21; and 792 RSRs granted under the LTISP on 10/30/18 that will vest on 3/1/20.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Ryan Lucy CCorp VP, Communications
GrantRestricted Performance Stock Rights · Derivative 1,550 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002777 · doc4.xml · derivative · entry 1

Ryan Lucy C · CIK 0001762551 · Corp VP, Communications

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,257

Underlying: Common Stock · 1,550 shares

Expires not disclosed

F1 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F2 · shares: The RPSRs acquired include 1,550 unvested RPSRs granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/13/19 with a measurement period ending on 12/31/21.

F1 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F3 · balance_after: Total amount includes 1,550 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; and 707 RPSRs granted on 10/30/18 with a measurement period ending on 12/31/20.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Purvis Shawn NCVP, President, Enterprise Svc
GrantRestricted Stock Rights · Derivative 1,970 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002776 · doc4.xml · derivative · entry 7

Purvis Shawn N · CIK 0001725609 · CVP, President, Enterprise Svc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,558

Underlying: Common Stock · 1,970 shares

Expires not disclosed

F8 · derivative.exercise_price: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F8 · derivative.exercise_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F8 · derivative.expiration_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F9 · balance_after: Total amount includes 1,970 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 1,626 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; 427 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; and 535 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Purvis Shawn NCVP, President, Enterprise Svc
Exercise / conversionRestricted Performance Stock Rights · Derivative 2,446.08 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002776 · doc4.xml · derivative · entry 6

Purvis Shawn N · CIK 0001725609 · CVP, President, Enterprise Svc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,225

Underlying: Common Stock · 2,446.08 shares

Expires not disclosed

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

F4 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · shares: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a valuation of performance measurement period ("measurement period") that ended 12/31/18. RPSRs to be settled at 196% of target. The shares are anticipated to be distributed into the participant's account on February 14, 2019.

F4 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F4 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F7 · balance_after: Total amount includes 4,648 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; 3,580 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; and 997 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Purvis Shawn NCVP, President, Enterprise Svc
GrantRestricted Performance Stock Rights · Derivative 5,846.08 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002776 · doc4.xml · derivative · entry 5

Purvis Shawn N · CIK 0001725609 · CVP, President, Enterprise Svc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,671.08

Underlying: Common Stock · 5,846.08 shares

Expires not disclosed

F4 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F5 · shares: The RPSRs acquired include (i) 1,198.08 vested RPSRs with respect to the measurement period ended 12/31/18 acquired due to settlement of the 2016 RPSRs held at 196% of the target award; and (ii) 4,648 unvested RPSRs granted under the LTISP on 2/13/19 with a measurement period ending on 12/31/21.

F4 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F4 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F6 · balance_after: Total amount includes 2,446.08 vested RPSRs granted under the LTISP on 2/17/16 with a measurement period ending on 12/31/18; 4,648 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; 3,580 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; and 997 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Purvis Shawn NCVP, President, Enterprise Svc
Tax withholdingCommon Stock 748 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002776 · doc4.xml · nonDerivative · entry 2

Purvis Shawn N · CIK 0001725609 · CVP, President, Enterprise Svc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,217.42

F2 · shares: Shares surrendered to issuer in payment of tax liability in connection with settlement of RPSRs in accordance with Rule 16b-3(e)

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Purvis Shawn NCVP, President, Enterprise Svc
Exercise / conversionCommon Stock 2,446.08 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002776 · doc4.xml · nonDerivative · entry 1

Purvis Shawn N · CIK 0001725609 · CVP, President, Enterprise Svc

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,965.42

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: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a valuation of performance measurement period ("measurement period") that ended 12/31/18. RPSRs to be settled at 196% of target. The shares are anticipated to be distributed into the participant's account on February 14, 2019.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Perry David TCVP Chief Global Bus Off
GrantRestricted Stock Rights · Derivative 1,970 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002775 · doc4.xml · derivative · entry 7

Perry David T · CIK 0001555175 · CVP Chief Global Bus Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,776

Underlying: Common Stock · 1,970 shares

Expires not disclosed

F9 · derivative.exercise_price: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F9 · derivative.exercise_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F9 · derivative.expiration_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F10 · balance_after: Total amount includes 1,970 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 1,626 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; 2,296 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; and 2,884 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Perry David TCVP Chief Global Bus Off
Exercise / conversionRestricted Performance Stock Rights · Derivative 7,308.25 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002775 · doc4.xml · derivative · entry 6

Perry David T · CIK 0001555175 · CVP Chief Global Bus Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,719

Underlying: Common Stock · 7,308.25 shares

Expires not disclosed

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

F5 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · shares: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a valuation of performance measurement period ("measurement period") that ended 12/31/18. RPSRs to be settled at 115% of target. The shares are anticipated to be distributed into the participant's account on February 14, 2019.

F5 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F5 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F8 · balance_after: Total amount includes 4,648 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; 3,580 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; and 5,491 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Perry David TCVP Chief Global Bus Off
GrantRestricted Performance Stock Rights · Derivative 5,601.25 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002775 · doc4.xml · derivative · entry 5

Perry David T · CIK 0001555175 · CVP Chief Global Bus Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,027.25

Underlying: Common Stock · 5,601.25 shares

Expires not disclosed

F5 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F6 · shares: The RPSRs acquired include (i) 953.25 vested RPSRs with respect to the measurement period ended 12/31/18 acquired due to settlement of the 2016 RPSRs held at 115% of the target award; and (ii) 4,648 unvested RPSRs granted under the LTISP on 2/13/19 with a measurement period ending on 12/31/21.

F5 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F5 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F7 · balance_after: Total amount includes 7,308.25 vested RPSRs granted under the LTISP on 2/17/16 with a measurement period ending on 12/31/18; 4,648 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; 3,580 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; and 5,491 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Perry David TCVP Chief Global Bus Off
Tax withholdingCommon Stock 2,778 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002775 · doc4.xml · nonDerivative · entry 2

Perry David T · CIK 0001555175 · CVP Chief Global Bus Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,617.31

F2 · shares: Shares surrendered to issuer in payment of tax liability in connection with settlement of RPSRs in accordance with Rule 16b-3(e)

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:27 UTC
Perry David TCVP Chief Global Bus Off
Exercise / conversionCommon Stock 7,308.25 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002775 · doc4.xml · nonDerivative · entry 1

Perry David T · CIK 0001555175 · CVP Chief Global Bus Off

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,395.31

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: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a valuation of performance measurement period ("measurement period") that ended 12/31/18. RPSRs to be settled at 115% of target. The shares are anticipated to be distributed into the participant's account on February 14, 2019.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Peppard Denise M.Corp Vice President
Exercise / conversionRestricted Performance Stock Rights · Derivative 7,100.1 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002774 · doc4.xml · derivative · entry 4

Peppard Denise M. · CIK 0001421154 · Corp Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,766

Underlying: Common Stock · 7,100.1 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · shares: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a valuation of performance measurement period ("measurement period") that ended 12/31/18. RPSRs to be settled at 115% of target. The shares are anticipated to be distributed into the participant's account on February 14, 2019.

F3 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F3 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F6 · balance_after: Total amount includes 3,580 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; and 5,186 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Peppard Denise M.Corp Vice President
GrantRestricted Performance Stock Rights · Derivative 926.1 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002774 · doc4.xml · derivative · entry 3

Peppard Denise M. · CIK 0001421154 · Corp Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,866.1

Underlying: Common Stock · 926.1 shares

Expires not disclosed

F3 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F4 · shares: The RPSRs acquired include 926.10 vested RPSRs with respect to the measurement period ended 12/31/18 acquired due to settlement of the 2016 RPSRs held at 115% of the target award.

F3 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F3 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F5 · balance_after: Total amount includes 7,100.10 vested RPSRs granted under the LTISP on 2/17/16 with a measurement period ending on 12/31/18; 3,580 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; and 5,186 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Peppard Denise M.Corp Vice President
Tax withholdingCommon Stock 2,682 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002774 · doc4.xml · nonDerivative · entry 2

Peppard Denise M. · CIK 0001421154 · Corp Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,110.22

F2 · shares: Shares surrendered to issuer in payment of tax liability in connection with settlement of RPSRs in accordance with Rule 16b-3(e)

Read SEC document
February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Peppard Denise M.Corp Vice President
Exercise / conversionCommon Stock 7,100.1 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002774 · doc4.xml · nonDerivative · entry 1

Peppard Denise M. · CIK 0001421154 · Corp Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,792.22

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: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a valuation of performance measurement period ("measurement period") that ended 12/31/18. RPSRs to be settled at 115% of target. The shares are anticipated to be distributed into the participant's account on February 14, 2019.

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February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Pamiljans Janis GCorp VP & President AS Systems
GrantRestricted Stock Rights · Derivative 3,830 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002773 · doc4.xml · derivative · entry 2

Pamiljans Janis G · CIK 0001701037 · Corp VP & President AS Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,756

Underlying: Common Stock · 3,830 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F4 · derivative.exercise_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F4 · derivative.expiration_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F5 · balance_after: Total amount includes 3,830 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 3,161 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; and 765 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20.

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February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Pamiljans Janis GCorp VP & President AS Systems
GrantRestricted Performance Stock Rights · Derivative 9,038 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002773 · doc4.xml · derivative · entry 1

Pamiljans Janis G · CIK 0001701037 · Corp VP & President AS Systems

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,180

Underlying: Common Stock · 9,038 shares

Expires not disclosed

F1 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F2 · shares: The RPSRs acquired include 9,038 unvested RPSRs granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/13/19 with a measurement period ending on 12/31/21.

F1 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F3 · balance_after: Total amount includes 9,038 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; 6,961 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; 9,395 RPSRs granted on 4/1/17 with a measurement period ending on 12/31/19; and 1,786 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

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February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Larson Blake ECorp VP & Pres, NGIS
GrantRestricted Stock Rights · Derivative 3,283 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002772 · doc4.xml · derivative · entry 2

Larson Blake E · CIK 0001313857 · Corp VP & Pres, NGIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,619

Underlying: Common Stock · 3,283 shares

Expires not disclosed

F4 · derivative.exercise_price: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F4 · derivative.exercise_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F4 · derivative.expiration_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F5 · balance_after: Total amount includes 3,283 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 2,831 RSRs granted under the LTISP on 6/13/18 that will vest on 6/13/21; and 5,505 RSRs granted under the LTISP on 6/13/18 that will vest on 12/31/19.

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February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Larson Blake ECorp VP & Pres, NGIS
GrantRestricted Performance Stock Rights · Derivative 7,748 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002772 · doc4.xml · derivative · entry 1

Larson Blake E · CIK 0001313857 · Corp VP & Pres, NGIS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,390

Underlying: Common Stock · 7,748 shares

Expires not disclosed

F1 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F2 · shares: The RPSRs acquired include 7,748 unvested RPSRs granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/13/19 with a measurement period ending on 12/31/21.

F1 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F3 · balance_after: Total amount includes 7,748 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; and 6,642 RPSRs granted on 6/13/18 with a measurement period ending on 12/31/20.

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February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Kalan Lesley ACorp VP, Government Relations
GrantRestricted Stock Rights · Derivative 1,751 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002771 · doc4.xml · derivative · entry 6

Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,822

Underlying: Common Stock · 1,751 shares

Expires not disclosed

F7 · derivative.exercise_price: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F7 · derivative.exercise_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F7 · derivative.expiration_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F8 · balance_after: Total amount includes 1,751 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 1,445 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; 893 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; and 733 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19.

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February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Kalan Lesley ACorp VP, Government Relations
Exercise / conversionRestricted Performance Stock Rights · Derivative 3,353.56 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002771 · doc4.xml · derivative · entry 5

Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,398

Underlying: Common Stock · 3,353.56 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F1 · shares: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a valuation of performance measurement period ("measurement period") that ended 12/31/18. RPSRs to be settled at 196% of target. The shares are anticipated to be distributed into the participant's account on February 14, 2019.

F3 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F3 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F6 · balance_after: Total amount includes 4,132 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; 3,182 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; and 2,084 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

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February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Kalan Lesley ACorp VP, Government Relations
GrantRestricted Performance Stock Rights · Derivative 5,774.56 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002771 · doc4.xml · derivative · entry 4

Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,751.56

Underlying: Common Stock · 5,774.56 shares

Expires not disclosed

F3 · derivative.exercise_price: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F4 · shares: The RPSRs acquired include (i) 1,642.56 vested RPSRs with respect to the measurement period ended 12/31/18 acquired due to settlement of the 2016 RPSRs held at 196% of the target award and (ii) 4,132 unvested RPSRs granted under the LTISP on 2/13/19 with a measurement period ending on 12/31/21.

F3 · derivative.exercise_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F3 · derivative.expiration_date: Each RPSR represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the Issuer's election, cash or a combination of cash and Issuer common stock. The RPSRs vest if the applicable performance metric is satisfied for the relevant measurement period. Grants awarded pursuant to Rule 16b-3(d).

F5 · balance_after: Total amount includes 3,353.56 vested RPSRs granted under the LTISP on 2/17/16 with a measurement period ending on 12/31/18; 4,132 RPSRs granted on 2/13/19 with a measurement period ending on 12/31/21; 3,182 RPSRs granted on 2/13/18 with a measurement period ending on 12/31/20; and 2,084 RPSRs granted on 2/17/17 with a measurement period ending on 12/31/19.

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February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Kalan Lesley ACorp VP, Government Relations
Tax withholdingCommon Stock 1,019 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002771 · doc4.xml · nonDerivative · entry 2

Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,086.89

F2 · shares: Shares surrendered to issuer in payment of tax liability in connection with settlement of RPSRs in accordance with Rule 16b-3(e)

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February 13, 2019 Filed Feb 15, 2019 21:25 UTC
Kalan Lesley ACorp VP, Government Relations
Exercise / conversionCommon Stock 3,353.56 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002771 · doc4.xml · nonDerivative · entry 1

Kalan Lesley A · CIK 0001725864 · Corp VP, Government Relations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,105.89

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: Shares expected to be issued in settlement of Restricted Performance Stock Rights ("RPSRs") granted under the 2011 Long-Term Incentive Stock Plan ("LTISP") on 2/17/16 with a valuation of performance measurement period ("measurement period") that ended 12/31/18. RPSRs to be settled at 196% of target. The shares are anticipated to be distributed into the participant's account on February 14, 2019.

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February 13, 2019 Filed Feb 15, 2019 21:24 UTC
Jones Christopher TCorp VP & Pres Tech Svcs
GrantRestricted Stock Rights · Derivative 3,283 $0.00 $0.00
Disclosure

SEC source: 0001225208-19-002770 · doc4.xml · derivative · entry 6

Jones Christopher T · CIK 0001559104 · Corp VP & Pres Tech Svcs

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,763

Underlying: Common Stock · 3,283 shares

Expires not disclosed

F8 · derivative.exercise_price: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F8 · derivative.exercise_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F8 · derivative.expiration_date: Each Restricted Stock Right ("RSR") represents a contingent right to receive an equivalent number of shares of Issuer common stock, or, at the election of the Issuer's Compensation Committee, cash or a combination of cash and Issuer common stock. The RSRs were granted under the LTISP on 2/13/19 and will vest on 2/13/22.

F9 · balance_after: Total amount includes 3,283 RSRs granted under the LTISP on 2/13/19 that will vest on 2/13/22; 2,710 RSRs granted under the LTISP on 2/13/18 that will vest on 2/13/21; 3,827 RSRs granted under the LTISP on 2/17/17 that will vest on 2/17/20; and 4,943 RSRs granted under the LTISP on 2/17/16 that will vest on 2/17/19.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.