PEGA

SEC source: 0001013857-24-000067 · wk-form4_1710192681.xml · nonDerivative · entry 2

Higgins John Gerard · CIK 0001915414 · Chief, Client &Partner Success

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,129

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

SEC source: 0001013857-24-000067 · wk-form4_1710192681.xml · nonDerivative · entry 1

Higgins John Gerard · CIK 0001915414 · Chief, Client &Partner Success

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,684

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

F1 · shares: Represents 100% vesting on March 7, 2024. The original grant was 2,785 restricted stock units, which were granted on March 7, 2023. As part of the Company's 2023 Corporate Incentive Compensation Plan (CICP), Mr. Higgins elected to receive half of his annual bonus in RSUs.

SEC source: 0001013857-24-000065 · wk-form4_1710192105.xml · derivative · entry 6

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,670

Underlying: Common stock · 4,557 shares

Expires not disclosed

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

F5 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F3 · shares: Represents a 25% vesting on March 7, 2024. The original grant was 18,227 restricted stock units, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000065 · wk-form4_1710192105.xml · derivative · entry 5

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 3,370 shares

Expires not disclosed

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

F5 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F1 · shares: Represents 100% vesting on March 7, 2024. The original grant was 3,370 restricted stock units, which were granted on March 7, 2023. As part of the Company's 2023 Corporate Incentive Compensation Plan (CICP), Mr. Akgonul elected to receive half of his annual bonus in RSUs.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000065 · wk-form4_1710192105.xml · nonDerivative · entry 4

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,675

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F4 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000065 · wk-form4_1710192105.xml · nonDerivative · entry 3

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 59,010

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 · shares: Represents a 25% vesting on March 7, 2024. The original grant was 18,227 restricted stock units, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

SEC source: 0001013857-24-000065 · wk-form4_1710192105.xml · nonDerivative · entry 2

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,453

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

SEC source: 0001013857-24-000065 · wk-form4_1710192105.xml · nonDerivative · entry 1

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 55,443

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

F1 · shares: Represents 100% vesting on March 7, 2024. The original grant was 3,370 restricted stock units, which were granted on March 7, 2023. As part of the Company's 2023 Corporate Incentive Compensation Plan (CICP), Mr. Akgonul elected to receive half of his annual bonus in RSUs.

SEC source: 0001013857-24-000060 · wk-form4_1709854293.xml · derivative · entry 5

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 390 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 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F1 · shares: Represents a 5% vesting on March 6, 2024. The original grant was 7,806 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

F8 · derivative.expiration_date: Once vested, shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000060 · wk-form4_1709854293.xml · nonDerivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,671

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F3 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000060 · wk-form4_1709854293.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,766

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: Represents a 5% vesting on March 6, 2024. The original grant was 7,806 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000058 · wk-form4_1709854069.xml · derivative · entry 7

TREFLER ALAN · CIK 0001032235 · C.E.O. & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 1,951 shares

Expires not disclosed

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

F5 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F1 · shares: Represents a 5% vesting on March 6, 2024. The original grant was 39,026 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000058 · wk-form4_1709854069.xml · nonDerivative · entry 5

TREFLER ALAN · CIK 0001032235 · C.E.O. & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,724,195

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F3 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000058 · wk-form4_1709854069.xml · nonDerivative · entry 4

TREFLER ALAN · CIK 0001032235 · C.E.O. & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,724,768

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: Represents a 5% vesting on March 6, 2024. The original grant was 39,026 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000056 · wk-form4_1709853687.xml · derivative · entry 6

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 429 shares

Expires not disclosed

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

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F1 · shares: Represents a 5% vesting on March 6, 2024. The original grant was 8,586 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000056 · wk-form4_1709853687.xml · nonDerivative · entry 2

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,743

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F3 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000056 · wk-form4_1709853687.xml · nonDerivative · entry 1

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,912

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: Represents a 5% vesting on March 6, 2024. The original grant was 8,586 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000054 · wk-form4_1709853439.xml · derivative · entry 6

KOUNINIS EFSTATHIOS A · CIK 0001353196 · VP of Finance & CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 98 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 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F1 · shares: Represents a 5% vesting on March 6, 2024. The original grant was 1,952 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000054 · wk-form4_1709853439.xml · nonDerivative · entry 2

KOUNINIS EFSTATHIOS A · CIK 0001353196 · VP of Finance & CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 230

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F3 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000054 · wk-form4_1709853439.xml · nonDerivative · entry 1

KOUNINIS EFSTATHIOS A · CIK 0001353196 · VP of Finance & CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 260

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: Represents a 5% vesting on March 6, 2024. The original grant was 1,952 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000050 · wk-form4_1709853053.xml · derivative · entry 6

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 332 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 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F1 · shares: Represents a 5% vesting on March 6, 2024. The original grant was 6,635 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000050 · wk-form4_1709853053.xml · nonDerivative · entry 2

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,073

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F3 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000050 · wk-form4_1709853053.xml · nonDerivative · entry 1

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,176

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: Represents a 5% vesting on March 6, 2024. The original grant was 6,635 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000060 · wk-form4_1709854293.xml · derivative · entry 4

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,218

Underlying: Common stock · 35,218 shares

Expires 2034-03-05

F7 · shares: Options will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

SEC source: 0001013857-24-000060 · wk-form4_1709854293.xml · derivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,609

Underlying: Common stock · 17,609 shares

Expires not disclosed

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F5 · shares: RSUs will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000058 · wk-form4_1709854069.xml · derivative · entry 6

TREFLER ALAN · CIK 0001032235 · C.E.O. & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 251,257

Underlying: Common stock · 251,257 shares

Expires 2034-03-05

F4 · shares: Options will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

SEC source: 0001013857-24-000056 · wk-form4_1709853687.xml · derivative · entry 5

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 70,436

Underlying: Common stock · 70,436 shares

Expires 2034-03-05

F8 · shares: Options will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

SEC source: 0001013857-24-000056 · wk-form4_1709853687.xml · derivative · entry 4

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,522

Underlying: Common stock · 3,522 shares

Expires not disclosed

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F7 · shares: Represents election by the individual, as part of the Company's Corporate Incentive Plan (CICP), to receive half of their annual bonus in RSUs, based upon the Company's stock price as of March 5, 2024. All RSUs vest 100% on March 5, 2025, subject to attainment of the CICP performance threshold funding for the year ending December 31, 2024.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000056 · wk-form4_1709853687.xml · derivative · entry 3

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,218

Underlying: Common stock · 35,218 shares

Expires not disclosed

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F5 · shares: RSUs will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly amounts over the remaining three years.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000054 · wk-form4_1709853439.xml · derivative · entry 5

KOUNINIS EFSTATHIOS A · CIK 0001353196 · VP of Finance & CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,044

Underlying: Common stock · 7,044 shares

Expires 2034-03-05

F8 · shares: Options will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

SEC source: 0001013857-24-000054 · wk-form4_1709853439.xml · derivative · entry 4

KOUNINIS EFSTATHIOS A · CIK 0001353196 · VP of Finance & CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,522

Underlying: Common stock · 3,522 shares

Expires not disclosed

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F7 · shares: RSUs will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000054 · wk-form4_1709853439.xml · derivative · entry 3

KOUNINIS EFSTATHIOS A · CIK 0001353196 · VP of Finance & CAO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,008

Underlying: Common stock · 1,008 shares

Expires not disclosed

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F5 · shares: Represents election by the individual, as part of the Company's Corporate Incentive Plan (CICP), to receive half of their annual bonus in RSUs, based upon the Company's stock price as of March 5, 2024. All RSUs vest 100% on March 5, 2025, subject to attainment of the CICP performance threshold funding for the year ending December 31, 2024.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000052 · wk-form4_1709853226.xml · derivative · entry 4

Higgins John Gerard · CIK 0001915414 · Chief, Client &Partner Success

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,218

Underlying: Common stock · 35,218 shares

Expires 2034-03-05

F6 · shares: Options will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

SEC source: 0001013857-24-000052 · wk-form4_1709853226.xml · derivative · entry 3

Higgins John Gerard · CIK 0001915414 · Chief, Client &Partner Success

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,609

Underlying: Common stock · 17,609 shares

Expires not disclosed

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F5 · shares: RSUs will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

F3 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000052 · wk-form4_1709853226.xml · derivative · entry 2

Higgins John Gerard · CIK 0001915414 · Chief, Client &Partner Success

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,233

Underlying: Common stock · 2,233 shares

Expires not disclosed

F2 · shares: Represents election by the individual, as part of the Company's Corporate Incentive Plan (CICP), to receive half of their annual bonus in RSUs, based upon the Company's stock price as of March 5, 2024. All RSUs vest 100% on March 5, 2025, subject to attainment of the CICP performance threshold funding for the year ending December 31, 2024.

F3 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000050 · wk-form4_1709853053.xml · derivative · entry 5

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,218

Underlying: Common stock · 35,218 shares

Expires 2034-03-05

F8 · shares: Options will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

SEC source: 0001013857-24-000050 · wk-form4_1709853053.xml · derivative · entry 4

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,609

Underlying: Common stock · 17,609 shares

Expires not disclosed

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F7 · shares: RSUs will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000050 · wk-form4_1709853053.xml · derivative · entry 3

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,564

Underlying: Common stock · 2,564 shares

Expires not disclosed

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F5 · shares: Represents election by the individual, as part of the Company's Corporate Incentive Plan (CICP), to receive half of their annual bonus in RSUs, based upon the Company's stock price as of March 5, 2024. All RSUs vest 100% on March 5, 2025, subject to attainment of the CICP performance threshold funding for the year ending December 31, 2024.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · derivative · entry 9

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,337

Underlying: Common stock · 335 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.

F6 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F4 · shares: Represents a 5% vesting on March 3, 2024, with a release date of March 4, 2024, the first business day following vesting. The original grant was 6,687 restricted stock units, with 20% vesting on March 3, 2021, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

F7 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · derivative · entry 8

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,537

Underlying: Common stock · 192 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.

F6 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F3 · shares: Represents a 5% vesting on March 2, 2024, with a release date of March 4, 2024, the first business day following vesting. The original grant was 3,843 restricted stock units, with 20% vesting on March 2, 2022, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

F7 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · nonDerivative · entry 6

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,376

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F5 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · nonDerivative · entry 5

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,458

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 · shares: Represents a 5% vesting on March 3, 2024, with a release date of March 4, 2024, the first business day following vesting. The original grant was 6,687 restricted stock units, with 20% vesting on March 3, 2021, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · nonDerivative · entry 4

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,123

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · nonDerivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,170

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 · shares: Represents a 5% vesting on March 2, 2024, with a release date of March 4, 2024, the first business day following vesting. The original grant was 3,843 restricted stock units, with 20% vesting on March 2, 2022, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000046 · wk-form4_1709681668.xml · derivative · entry 9

TREFLER ALAN · CIK 0001032235 · C.E.O. & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,572

Underlying: Common stock · 1,393 shares

Expires not disclosed

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

F5 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F3 · shares: Represents a 5% vesting on March 3, 2024, with a release date of March 4, 2024, the first business day following vesting. The original grant was 27,862 restricted stock units, with 20% vesting on March 3, 2021, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000046 · wk-form4_1709681668.xml · derivative · entry 8

TREFLER ALAN · CIK 0001032235 · C.E.O. & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,990

Underlying: Common stock · 1,249 shares

Expires not disclosed

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

F5 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F1 · shares: Represents a 5% vesting on March 2, 2024, with a release date of March 4, 2024, the first business day following vesting. The original grant was 24,976 restricted stock units, with 20% vesting on March 2, 2022, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000046 · wk-form4_1709681668.xml · nonDerivative · entry 7

TREFLER ALAN · CIK 0001032235 · C.E.O. & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,722,817

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F4 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000046 · wk-form4_1709681668.xml · nonDerivative · entry 6

TREFLER ALAN · CIK 0001032235 · C.E.O. & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,723,223

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 · shares: Represents a 5% vesting on March 3, 2024, with a release date of March 4, 2024, the first business day following vesting. The original grant was 27,862 restricted stock units, with 20% vesting on March 3, 2021, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000046 · wk-form4_1709681668.xml · nonDerivative · entry 5

TREFLER ALAN · CIK 0001032235 · C.E.O. & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,721,830

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

SEC source: 0001013857-24-000046 · wk-form4_1709681668.xml · nonDerivative · entry 4

TREFLER ALAN · CIK 0001032235 · C.E.O. & Chairman · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,722,255

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: Represents a 5% vesting on March 2, 2024, with a release date of March 4, 2024, the first business day following vesting. The original grant was 24,976 restricted stock units, with 20% vesting on March 2, 2022, with the remaining 80% vesting in equal quarterly installments over the remaining four years.