OTIS

SEC source: 0001062993-23-020065 · form4.xml · derivative · entry 2

Minarro Viseras Enrique · CIK 0001705737 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,736

Underlying: Common Stock · 25,736 shares

Expires 2033-10-31

F2 · derivative.exercise_date: These RSUs and stock appreciation rights (SARs) vest in three equal annual installments beginning on the first anniversary of the Transaction Date. SARs become exercisable upon vesting.

SEC source: 0001062993-23-020065 · form4.xml · derivative · entry 1

Minarro Viseras Enrique · CIK 0001705737 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,946

Underlying: Common Stock · 7,946 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F2 · derivative.exercise_date: These RSUs and stock appreciation rights (SARs) vest in three equal annual installments beginning on the first anniversary of the Transaction Date. SARs become exercisable upon vesting.

F2 · derivative.expiration_date: These RSUs and stock appreciation rights (SARs) vest in three equal annual installments beginning on the first anniversary of the Transaction Date. SARs become exercisable upon vesting.

SEC source: 0001062993-23-019842 · form4.xml · derivative · entry 2

Bartlett Thomas A · CIK 0001315047 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,280.536

Underlying: Common Stock · 1,280.536 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) upon his appointment as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. DSUs accrue dividend equivalents.

F1 · derivative.exercise_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) upon his appointment as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. DSUs accrue dividend equivalents.

F1 · derivative.expiration_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) upon his appointment as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. DSUs accrue dividend equivalents.

SEC source: 0001062993-23-019841 · form4.xml · derivative · entry 1

Brannon Jill · CIK 0001770342 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,134.226

Underlying: Common Stock · 2,134.226 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) upon her appointment as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. DSUs accrue dividend equivalents.

F1 · derivative.exercise_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) upon her appointment as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. DSUs accrue dividend equivalents.

F1 · derivative.expiration_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) upon her appointment as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. DSUs accrue dividend equivalents.

SEC source: 0001062993-23-019216 · form4.xml · derivative · entry 3

Maheshwari Anurag · CIK 0001942059 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,687

Underlying: Common Stock · 1,841 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted Stock Units (RSUs) convert into common stock on a one for one basis. RSUs include the right to receive dividend equivalents credited as additional RSUs.

F2 · derivative.exercise_date: On October 3, 2022, the reporting person was granted RSUs vesting in three equal annual installments beginning on the first anniversary of the grant date. The first installment vested on the Transaction Date.

F2 · derivative.expiration_date: On October 3, 2022, the reporting person was granted RSUs vesting in three equal annual installments beginning on the first anniversary of the grant date. The first installment vested on the Transaction Date.

SEC source: 0001062993-23-019216 · form4.xml · nonDerivative · entry 2

Maheshwari Anurag · CIK 0001942059 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,693

SEC source: 0001062993-23-019216 · form4.xml · nonDerivative · entry 1

Maheshwari Anurag · CIK 0001942059 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,539

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

F1 · price: Restricted Stock Units (RSUs) convert into common stock on a one for one basis. RSUs include the right to receive dividend equivalents credited as additional RSUs.

SEC source: 0001062993-23-015801 · form4.xml · derivative · entry 3

Luersman Abbe · CIK 0001875003 · EVP & CPO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,205

Underlying: Common Stock · 1,200 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F2 · derivative.exercise_date: On August 2, 2021, the reporting person was granted RSUs vesting in three substantially equal annual installments beginning on the first anniversary of the grant date. These RSUs include the right to receive dividend equivalents credited as additional RSUs. The second installment vested on the Transaction Date.

F2 · derivative.expiration_date: On August 2, 2021, the reporting person was granted RSUs vesting in three substantially equal annual installments beginning on the first anniversary of the grant date. These RSUs include the right to receive dividend equivalents credited as additional RSUs. The second installment vested on the Transaction Date.

SEC source: 0001062993-23-015801 · form4.xml · nonDerivative · entry 2

Luersman Abbe · CIK 0001875003 · EVP & CPO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,465

SEC source: 0001062993-23-015801 · form4.xml · nonDerivative · entry 1

Luersman Abbe · CIK 0001875003 · EVP & CPO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,829

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

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

SEC source: 0001062993-23-015443 · form4.xml · nonDerivative · entry 1

Ryan Michael Patrick · CIK 0001805849 · VP, CAO & Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.49 to $90.59, inclusive. The reporting person undertakes to provide the registrant, any security holder of the registrant, or the SEC staff, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth above.

SEC source: 0001062993-23-015444 · form4.xml · derivative · entry 10

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,355

Underlying: Common Stock · 14,709 shares

Expires 2031-02-04

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

F1 · derivative.exercise_date: The SARs become exercisable in three equal installments on the first three anniversaries of the date of grant, which was 02/05/2021.

SEC source: 0001062993-23-015444 · form4.xml · derivative · entry 9

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,975 shares

Expires 2029-02-04

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.

SEC source: 0001062993-23-015444 · form4.xml · derivative · entry 8

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,542 shares

Expires 2028-01-01

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.

SEC source: 0001062993-23-015444 · form4.xml · derivative · entry 7

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,213 shares

Expires 2027-01-02

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

SEC source: 0001062993-23-015444 · form4.xml · nonDerivative · entry 6

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,097

SEC source: 0001062993-23-015444 · form4.xml · nonDerivative · entry 5

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 46,089

SEC source: 0001062993-23-015444 · form4.xml · nonDerivative · entry 4

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,894

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.

SEC source: 0001062993-23-015444 · form4.xml · nonDerivative · entry 3

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,185

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.

SEC source: 0001062993-23-015444 · form4.xml · nonDerivative · entry 2

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,210

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.

SEC source: 0001062993-23-015444 · form4.xml · nonDerivative · entry 1

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,668

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.

SEC source: 0001062993-23-014353 · form4.xml · derivative · entry 3

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,385 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F2 · derivative.exercise_date: On July 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

F2 · derivative.expiration_date: On July 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

SEC source: 0001062993-23-014353 · form4.xml · nonDerivative · entry 2

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 32,455

SEC source: 0001062993-23-014353 · form4.xml · nonDerivative · entry 1

Calleja Fernandez Bernardo · CIK 0001831497 · President, Otis EMEA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,600

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

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

SEC source: 0001062993-23-012802 · form4.xml · derivative · entry 4

Loh Sally · CIK 0001967969 · President, Otis China

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,103

Underlying: Common Stock · 1,097 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F3 · derivative.exercise_date: On June 1, 2021, the reporting person was granted RSUs vesting in three substantially equal annual installments beginning on the first anniversary of the grant date. These RSUs include the right to receive dividend equivalents credited as additional RSUs. The second installment vested on the Transaction Date.

F3 · derivative.expiration_date: On June 1, 2021, the reporting person was granted RSUs vesting in three substantially equal annual installments beginning on the first anniversary of the grant date. These RSUs include the right to receive dividend equivalents credited as additional RSUs. The second installment vested on the Transaction Date.

SEC source: 0001062993-23-012802 · form4.xml · derivative · entry 3

Loh Sally · CIK 0001967969 · President, Otis China

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 8,203 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F2 · derivative.exercise_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

F2 · derivative.expiration_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

SEC source: 0001062993-23-012802 · form4.xml · nonDerivative · entry 2

Loh Sally · CIK 0001967969 · President, Otis China

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,879

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

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

SEC source: 0001062993-23-012802 · form4.xml · nonDerivative · entry 1

Loh Sally · CIK 0001967969 · President, Otis China

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,782

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

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

SEC source: 0001062993-23-012797 · form4.xml · derivative · entry 3

Cramer James F. · CIK 0001816080 · President, Otis Americas

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,599 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F2 · derivative.exercise_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

F2 · derivative.expiration_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

SEC source: 0001062993-23-012797 · form4.xml · nonDerivative · entry 2

Cramer James F. · CIK 0001816080 · President, Otis Americas

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,555

SEC source: 0001062993-23-012797 · form4.xml · nonDerivative · entry 1

Cramer James F. · CIK 0001816080 · President, Otis Americas

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,636

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

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

SEC source: 0001062993-23-012801 · form4.xml · derivative · entry 3

Zheng Peiming · CIK 0001807749 · President, Otis China

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,599 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F2 · derivative.exercise_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

F2 · derivative.expiration_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

SEC source: 0001062993-23-012801 · form4.xml · nonDerivative · entry 2

Zheng Peiming · CIK 0001807749 · President, Otis China

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,241

SEC source: 0001062993-23-012801 · form4.xml · nonDerivative · entry 1

Zheng Peiming · CIK 0001807749 · President, Otis China

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,787

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

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

SEC source: 0001062993-23-012799 · form4.xml · derivative · entry 2

de Montlivault Stephane · CIK 0001807059 · President, Otis Asia Pac

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,599 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into common stock on a one for one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F1 · price: Restricted stock units (RSUs) convert into common stock on a one for one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F2 · derivative.exercise_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

F2 · derivative.expiration_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

SEC source: 0001062993-23-012799 · form4.xml · nonDerivative · entry 1

de Montlivault Stephane · CIK 0001807059 · President, Otis Asia Pac

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,760

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

F1 · price: Restricted stock units (RSUs) convert into common stock on a one for one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

SEC source: 0001062993-23-012798 · form4.xml · derivative · entry 3

LaFreniere Nora E. · CIK 0001807121 · EVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,599 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into common stock on a one for one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F1 · price: Restricted stock units (RSUs) convert into common stock on a one for one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F2 · derivative.exercise_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

F2 · derivative.expiration_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

SEC source: 0001062993-23-012798 · form4.xml · nonDerivative · entry 2

LaFreniere Nora E. · CIK 0001807121 · EVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,927

SEC source: 0001062993-23-012798 · form4.xml · nonDerivative · entry 1

LaFreniere Nora E. · CIK 0001807121 · EVP, General Counsel

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 34,479

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

F1 · price: Restricted stock units (RSUs) convert into common stock on a one for one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

SEC source: 0001062993-23-012803 · form4.xml · derivative · entry 3

Ryan Michael Patrick · CIK 0001805849 · VP, CAO & Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,299 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F2 · derivative.exercise_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

F2 · derivative.expiration_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

SEC source: 0001062993-23-012803 · form4.xml · nonDerivative · entry 2

Ryan Michael Patrick · CIK 0001805849 · VP, CAO & Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,372

SEC source: 0001062993-23-012803 · form4.xml · nonDerivative · entry 1

Ryan Michael Patrick · CIK 0001805849 · VP, CAO & Controller

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,299

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

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

SEC source: 0001062993-23-012804 · form4.xml · derivative · entry 3

Marks Judith Fran · CIK 0001665490 · Director · Chair, CEO & President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 61,592 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F2 · derivative.exercise_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

F2 · derivative.expiration_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

SEC source: 0001062993-23-012804 · form4.xml · nonDerivative · entry 2

Marks Judith Fran · CIK 0001665490 · Director · Chair, CEO & President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 134,965

SEC source: 0001062993-23-012804 · form4.xml · nonDerivative · entry 1

Marks Judith Fran · CIK 0001665490 · Director · Chair, CEO & President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 162,897

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

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

SEC source: 0001062993-23-012800 · form4.xml · derivative · entry 3

Maheshwari Anurag · CIK 0001942059 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,253 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

F2 · derivative.exercise_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

F2 · derivative.expiration_date: On June 1, 2020, the reporting person was granted Founders RSUs that vested in full on the third anniversary of the date of grant (the Transaction Date). These Founders RSUs included the right to receive dividend equivalents credited as additional RSUs.

SEC source: 0001062993-23-012800 · form4.xml · nonDerivative · entry 2

Maheshwari Anurag · CIK 0001942059 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,698

SEC source: 0001062993-23-012800 · form4.xml · nonDerivative · entry 1

Maheshwari Anurag · CIK 0001942059 · EVP & CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,346

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

F1 · price: Restricted stock units (RSUs) convert into common stock on a one-for-one basis. RSUs include the right to receive dividend equivalents that are credited as additional RSUs.

SEC source: 0001062993-23-011960 · form4.xml · derivative · entry 1

WALKER JOHN H · CIK 0001006890 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,260.84

Underlying: Common Stock · 4,082.84 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. DSUs accrue dividend equivalents.

F1 · derivative.exercise_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. DSUs accrue dividend equivalents.

F1 · derivative.expiration_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. DSUs accrue dividend equivalents.

SEC source: 0001062993-23-011966 · form4.xml · derivative · entry 1

Black Jeffrey Harry · CIK 0001805644 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,838.36

Underlying: Common Stock · 2,378.7 shares

Expires not disclosed

F1 · derivative.exercise_price: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. DSUs accrue dividend equivalents.

F1 · derivative.exercise_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. DSUs accrue dividend equivalents.

F1 · derivative.expiration_date: The reporting person acquired these deferred stock units (DSUs) under the Board of Directors Deferred Stock Unit Plan (the Plan) for service as a non-employee director. The Plan provides for payment of a portion or all of the annual director compensation in DSUs. Upon retirement or termination, the DSUs in the director's account under the Plan are converted into an equal number of shares of common stock that, at the director's previous election, are distributed either in a lump-sum or in installments. DSUs accrue dividend equivalents.