PEGA

SEC source: 0001013857-24-000037 · wk-form4_1709679419.xml · nonDerivative · entry 1

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 52,892

F1 · shares: Sold pursuant to a pre-arranged trading plan adopted by Mr. Akgonul November 9, 2023 under Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001013857-24-000035 · wk-form4_1709073062.xml · nonDerivative · entry 5

JONES RICHARD H · CIK 0001222574 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · Richard H. Jones Revocable Trust

Disclosed balance after: 379,658

F1 · price: Represents the weighted average of sale prices, ranging from $63.21 to $63.60. The individual has provided the Company, and undertakes to provide to the staff of the Security and Exchange Commission or any security holder of the Company, upon request, full information regarding the number of shares sold at each separate price.

F2 · balance_after: Reflects exempt transfers between the reporting person and Richard H. Jones, Sr. 2022-A Grantor Retained Annuity Trust.

SEC source: 0001013857-24-000033 · wk-form4_1708985620.xml · nonDerivative · entry 1

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,000

F1 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000031 · wk-form4_1708641405.xml · derivative · entry 4

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,980

Underlying: Common stock · 1,180 shares

Expires 2032-11-02

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.

F3 · shares: Options will vest in equal quarterly installments over a four year period. The first vest occurred on February 2, 2023.

SEC source: 0001013857-24-000031 · wk-form4_1708641405.xml · nonDerivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F2 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000031 · wk-form4_1708641405.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 395

F1 · price: Represents the exercise price of the stock options referenced in Table II and Mr. Kouninis's tax liability, which were paid by way of the Company withholding shares of equal value.

SEC source: 0001013857-24-000031 · wk-form4_1708641405.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,180

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: 0001013857-24-000029 · wk-form4_1708641047.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 35,533

F1 · shares: Sold pursuant to a pre-arranged trading plan adopted by Mr. Trefler November 17, 2023 under Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000027 · wk-form4_1708551710.xml · derivative · entry 4

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 142,560

Underlying: Common stock · 64,804 shares

Expires 2032-11-02

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.

F4 · shares: Options will vest in equal quarterly installments over a four year period. The first vest occurred on February 2, 2023.

SEC source: 0001013857-24-000027 · wk-form4_1708551710.xml · nonDerivative · entry 3

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,535

F2 · price: Represents the weighted average of sale prices, ranging from $63.01 to $63.67. The individual has provided the Company, and undertakes to provide to the staff of the Security and Exchange Commission or any security holder of the Company, upon request, full information regarding the number of shares sold at each separate price.

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

SEC source: 0001013857-24-000027 · wk-form4_1708551710.xml · nonDerivative · entry 2

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,141

F1 · price: Represents the exercise price of the stock options referenced in Table II and Mr. Stillwell's tax liability, which were paid by way of the Company withholding shares of equal value.

SEC source: 0001013857-24-000027 · wk-form4_1708551710.xml · nonDerivative · entry 1

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 89,339

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: 0001013857-24-000025 · wk-form4_1708122990.xml · derivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,750

Underlying: Common stock · 8,750 shares

Expires 2033-03-07

F3 · balance_after: On March 7, 2023, the reporting person was granted an option to purchase 35,000 shares of common stock. The option vests in two installments, with up to 25% to vest on the first anniversary of the date of grant based on the Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2023, and with up to 75% to vest on the second anniversary of the date of grant based on Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2024. The performance criteria for the fiscal year ended December 31, 2023 were met in full, resulting in vesting of the option as to 8,750 shares.

SEC source: 0001013857-24-000025 · wk-form4_1708122990.xml · derivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,316

Underlying: Common stock · 5,316 shares

Expires 2033-03-07

F2 · balance_after: On March 7, 2023, the reporting person was granted an option to purchase 21,264 shares of common stock. The option vests in two instalments, with up to 25% to vest on the first anniversary of the date of grant based on the Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2023, and with up to 75% to vest on the second anniversary of the date of grant based on Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2024. The performance criteria for the fiscal year ended December 31, 2023 were met in full, resulting in vesting of the option as to 5,316 shares.

SEC source: 0001013857-24-000023 · wk-form4_1708122813.xml · derivative · entry 5

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 60,409

Underlying: Common stock · 60,409 shares

Expires 2033-03-07

F2 · balance_after: On March 7, 2023, the reporting person was granted an option to purchase 241,636 shares of common stock. The option vests in two instalments, with up to 25% to vest on the first anniversary of the date of grant based on the Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2023, and with up to 75% to vest on the second anniversary of the date of grant based on Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2024. The performance criteria for the fiscal year ended December 31, 2023 were met in full, resulting in vesting of the option as to 60,409 shares.

SEC source: 0001013857-24-000021 · wk-form4_1708121962.xml · derivative · entry 3

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,000

Underlying: Common stock · 10,000 shares

Expires 2033-03-07

F3 · balance_after: On March 7, 2023, the reporting person was granted an option to purchase 40,000 shares of common stock. The option vests in two installments, with up to 25% to vest on the first anniversary of the date of grant based on the Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2023, and with up to 75% to vest on the second anniversary of the date of grant based on Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2024. The performance criteria for the fiscal year ended December 31, 2023 were met in full, resulting in vesting of the option as to 10,000 shares.

SEC source: 0001013857-24-000021 · wk-form4_1708121962.xml · derivative · entry 2

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,442

Underlying: Common stock · 10,442 shares

Expires 2033-03-07

F2 · balance_after: On March 7, 2023, the reporting person was granted an option to purchase 41,768 shares of common stock. The option vests in two instalments, with up to 25% to vest on the first anniversary of the date of grant based on the Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2023, and with up to 75% to vest on the second anniversary of the date of grant based on Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2024. The performance criteria for the fiscal year ended December 31, 2023 were met in full, resulting in vesting of the option as to 10,442 shares.

SEC source: 0001013857-24-000019 · wk-form4_1708121613.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,875

Underlying: Common stock · 1,875 shares

Expires 2033-03-07

F2 · balance_after: On March 7, 2023, the reporting person was granted an option to purchase 7,500 shares of common stock. The option vests in two instalments, with up to 25% to vest on the first anniversary of the date of grant based on the Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2023, and with up to 75% to vest on the second anniversary of the date of grant based on Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2024. The performance criteria for the fiscal year ended December 31, 2023 were met in full, resulting in vesting of the option as to 1,875 shares.

SEC source: 0001013857-24-000017 · wk-form4_1708121410.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,750

Underlying: Common stock · 8,750 shares

Expires 2033-03-07

F3 · balance_after: On March 7, 2023, the reporting person was granted an option to purchase 35,000 shares of common stock. The option vests in two installments, with up to 25% to vest on the first anniversary of the date of grant based on the Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2023, and with up to 75% to vest on the second anniversary of the date of grant based on Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2024. The performance criteria for the fiscal year ended December 31, 2023 were met in full, resulting in vesting of the option as to 8,750 shares.

SEC source: 0001013857-24-000017 · wk-form4_1708121410.xml · derivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,557

Underlying: Common stock · 4,557 shares

Expires 2033-03-07

F2 · balance_after: On March 7, 2023, the reporting person was granted an option to purchase 18,227 shares of common stock. The option vests in two installments, with up to 25% to vest on the first anniversary of the date of grant based on the Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2023, and with up to 75% to vest on the second anniversary of the date of grant based on Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2024. The performance criteria for the fiscal year ended December 31, 2023 were met in full, resulting in vesting of the option as to 4,557 shares.

SEC source: 0001013857-24-000015 · wk-form4_1708121209.xml · derivative · entry 3

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,500

Underlying: Common stock · 7,500 shares

Expires 2033-03-07

F3 · balance_after: On March 7, 2023, the reporting person was granted an option to purchase 30,000 shares of common stock. The option vests in two installments, with up to 25% to vest on the first anniversary of the date of grant based on the Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2023, and with up to 75% to vest on the second anniversary of the date of grant based on Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2024. The performance criteria for the fiscal year ended December 31, 2023 were met in full, resulting in vesting of the option as to 7,500 shares.

SEC source: 0001013857-24-000015 · wk-form4_1708121209.xml · derivative · entry 2

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,557

Underlying: Common stock · 4,557 shares

Expires 2033-03-07

F2 · balance_after: On March 7, 2023, the reporting person was granted an option to purchase 18,227 shares of common stock. The option vests in two installments, with up to 25% to vest on the first anniversary of the date of grant based on the Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2023, and with up to 75% to vest on the second anniversary of the date of grant based on Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2024. The performance criteria for the fiscal year ended December 31, 2023 were met in full, resulting in vesting of the option as to 4,557 shares.

SEC source: 0001013857-24-000002 · wk-form4_1706742778.xml · derivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 24,553 shares

Expires 2024-03-07

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: Options vested 20% on March 7, 2015, with the remaining 80% vesting in equal quarterly installments over the next four years.

SEC source: 0001013857-24-000002 · wk-form4_1706742778.xml · nonDerivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,037

F1 · price: Represents the exercise price of the stock options referenced in Table II and Mr. Trefler's tax liability, which were paid by way of the Company withholding shares of equal value.

F2 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000002 · wk-form4_1706742778.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,742

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: 0001013857-23-000233 · wk-form4_1703196581.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,189

F1 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-23-000231 · wk-form4_1703195869.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: 24,721,006

F2 · shares: Gifts made to family members and to charitable organizations, including the Trefler Foundation. Mr. Trefler is a Trustee of the Trefler Foundation. Mr. Trefler has no pecuniary interest in shares held by the Trefler Foundation. He retains voting and dispositive control over such shares.

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

SEC source: 0001013857-23-000231 · wk-form4_1703195869.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: 24,776,206

F1 · shares: Gifts made to family members.

SEC source: 0001013857-23-000229 · wk-form4_1702675820.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-23-000219 · wk-form4_1702073066.xml · nonDerivative · entry 3

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,967

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

SEC source: 0001013857-23-000227 · wk-form4_1702074172.xml · derivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 390

Underlying: Common stock · 391 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 December 6, 2023. 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.

F5 · derivative.expiration_date: Once vested, shares of common stock are not subject to expiration.

SEC source: 0001013857-23-000227 · wk-form4_1702074172.xml · nonDerivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,539

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: 0001013857-23-000227 · wk-form4_1702074172.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,635

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 December 6, 2023. 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: 0001013857-23-000225 · wk-form4_1702073905.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: 1,951

Underlying: Common stock · 1,952 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 December 6, 2023. 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.

F5 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-23-000225 · wk-form4_1702073905.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: 24,776,856

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: 0001013857-23-000225 · wk-form4_1702073905.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: 24,777,800

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 December 6, 2023. 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: 0001013857-23-000223 · wk-form4_1702073605.xml · derivative · entry 3

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 429

Underlying: Common stock · 430 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 December 6, 2023. 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.

F5 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-23-000223 · wk-form4_1702073605.xml · nonDerivative · entry 2

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,535

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: 0001013857-23-000223 · wk-form4_1702073605.xml · nonDerivative · entry 1

STILLWELL KENNETH · CIK 0001680115 · COO, CFO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,705

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 December 6, 2023. 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: 0001013857-23-000221 · wk-form4_1702073370.xml · derivative · entry 3

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 98

Underlying: Common stock · 97 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 · derivative.exercise_date: Represents a 5% vesting on December 6, 2023. 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.

F5 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-23-000221 · wk-form4_1702073370.xml · nonDerivative · entry 2

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 248

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: 0001013857-23-000221 · wk-form4_1702073370.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 272

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 December 6, 2023. 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: 0001013857-23-000219 · wk-form4_1702073066.xml · derivative · entry 4

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 332

Underlying: Common stock · 331 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 · derivative.exercise_date: Represents 5% vesting on December 6, 2023. 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.

F5 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-23-000219 · wk-form4_1702073066.xml · nonDerivative · entry 2

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 53,967

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

SEC source: 0001013857-23-000219 · wk-form4_1702073066.xml · nonDerivative · entry 1

Akgonul Rifat Kerim · CIK 0001855325 · Chief Product Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 54,065

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 5% vesting on December 6, 2023. 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: 0001013857-23-000217 · wk-form4_1701819098.xml · derivative · entry 10

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,672

Underlying: Common stock · 334 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 December 3, 2023, with a release date of December 4, 2023, 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: 0001013857-23-000217 · wk-form4_1701819098.xml · derivative · entry 9

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,729

Underlying: Common stock · 193 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 December 2, 2023, with a release date of December 4, 2023, 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: 0001013857-23-000217 · wk-form4_1701819098.xml · nonDerivative · entry 7

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,244

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

SEC source: 0001013857-23-000217 · wk-form4_1701819098.xml · nonDerivative · entry 6

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,326

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 December 3, 2023, with a release date of December 4, 2023, 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: 0001013857-23-000217 · wk-form4_1701819098.xml · nonDerivative · entry 5

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,992