PENG

SEC source: 0000950103-20-005321 · dp123956_4-marten.xml · derivative · entry 2

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

Underlying: Ordinary Shares · 42,000 shares

Expires 2030-03-12

F2 · derivative.exercise_date: The option will vest and become exercisable as to 25% on 3/12/2021, and the remaining shares will vest monthly and become exercisable over the next three years.

SEC source: 0000950103-20-005321 · dp123956_4-marten.xml · nonDerivative · entry 1

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,666

F1 · shares: Reflects an RSU award that will vest as to 33% on 3/12/2021 and the remaining shares will vest semi-annually over the next two years.

SEC source: 0000950103-20-005320 · dp123957_4-kim.xml · derivative · entry 2

Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,000

Underlying: Ordinary Shares · 42,000 shares

Expires 2030-03-12

F2 · derivative.exercise_date: The option will vest and become exercisable as to 25% on 3/12/2021, and the remaining shares will vest monthly and become exercisable over the next three years.

SEC source: 0000950103-20-005320 · dp123957_4-kim.xml · nonDerivative · entry 1

Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,435

F1 · shares: Reflects an RSU award that will vest as to 33% on 3/12/2021 and the remaining shares will vest semi-annually over the next two years.

SEC source: 0000950103-20-002895 · dp121533_4-patel.xml · nonDerivative · entry 1

PATEL MUKESH · CIK 0001008034 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,220

F1 · shares: 100% of the RSUs vest on February 13, 2021.

F2 · balance_after: Includes Restricted Stock Units.

SEC source: 0000950103-20-002896 · dp121534_4-ingram.xml · nonDerivative · entry 1

Ingram Bryan · CIK 0001469468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,235

F1 · shares: 100% of the RSUs vest on February 13, 2021.

F2 · balance_after: Includes Restricted Stock Units.

SEC source: 0000950103-20-002897 · dp121535_4-furr.xml · nonDerivative · entry 1

FURR RANDY W · CIK 0001245699 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,287

F1 · shares: 100% of the RSUs vest on February 13, 2021.

F2 · balance_after: Includes Restricted Stock Units.

SEC source: 0000950103-20-002894 · dp121532_4-nayyar.xml · nonDerivative · entry 1

NAYYAR SANDEEP · CIK 0001230307 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,693

F1 · shares: 100% of the RSUs vest on February 13, 2021.

F2 · balance_after: Includes Restricted Stock Units.

SEC source: 0000950103-20-001664 · dp120328_4-goldberg.xml · nonDerivative · entry 1

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,341

F1 · shares: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold.

SEC source: 0000950103-20-001663 · dp120330_4-pacheco.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 65,476

F1 · shares: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold.

SEC source: 0000950103-20-001665 · dp120329_4-kim.xml · nonDerivative · entry 1

Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,435

F1 · shares: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold.

SEC source: 0000950103-20-000965 · dp119572_4-coull.xml · nonDerivative · entry 1

Coull Thomas · CIK 0001754968 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,433

SEC source: 0000950103-20-000382 · dp119010_4-pacheco.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,112

F1 · shares: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold.

SEC source: 0000950103-20-000280 · dp118891_4-nayyar.xml · nonDerivative · entry 1

NAYYAR SANDEEP · CIK 0001230307 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,058

F1 · price: This transaction was executed in multiple trades at prices ranging from $38.95 to $39.015 The price reported above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

F2 · balance_after: Includes Restricted Stock Units.

SEC source: 0000950103-19-013749 · dp114203_4-pacheco.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 72,725

F1 · shares: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold.

SEC source: 0000950103-19-010869 · dp111308_4-goldberg.xml · nonDerivative · entry 1

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,267

F1 · shares: The transactions were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $27.40 to $28.00. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

SEC source: 0000950103-19-010236 · dp110739_4-goldberg.xml · nonDerivative · entry 1

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,467

F1 · shares: The transactions were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.13 to $32.12. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

SEC source: 0000950103-19-010234 · dp110741_4-pacheco.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,468

F1 · shares: Reflects shares surrendered to the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold.

SEC source: 0000950103-19-010237 · dp110740_4-kim.xml · nonDerivative · entry 2

Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,084

F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/26/2017.

SEC source: 0000950103-19-010237 · dp110740_4-kim.xml · nonDerivative · entry 1

Kim KiWan · CIK 0001707037 · SVP of EM & Pres. Brazil

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,184

F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/26/2017.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $31.14 to $32.11. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

SEC source: 0000950103-19-009662 · dp110060_4-coull.xml · nonDerivative · entry 1

Coull Thomas · CIK 0001754968 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,865

SEC source: 0000950103-19-009544 · dp109979_4-dow.xml · derivative · entry 2

Dow Stephen C. · CIK 0001781971 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Ordinary Shares · 25,000 shares

Expires 2029-07-18

F2 · derivative.exercise_date: The option will vest and become exercisable as to 25% on July 8, 2020. The remaining shares will vest monthly so that the entire award shall become exercisable over four years.

SEC source: 0000950103-19-009544 · dp109979_4-dow.xml · nonDerivative · entry 1

Dow Stephen C. · CIK 0001781971 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,000

F1 · shares: Represents an award of restricted stock units.

SEC source: 0000950103-19-010409 · dp110860_4-dow.xml · nonDerivative · entry 5

Dow Stephen C. · CIK 0001781971 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,900

F2 · kind: The reporting person's sale of the Issuer's common stock at a price of $31.37 per share on July 17, 2019 reported herein included sales of 59 shares of the Issuer's common stock matchable under Section 16(b) of the Securities Exchange Act of 1934 with the reporting person's purchase of 3 shares of the Issuer's common stock at a price of $31.34 per share and 56 shares of Issuer's common stock at a price of $31.35 per share, each on July 17, 2019 as reported herein. The reporting person has paid to the Registrant $0.96 representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.

SEC source: 0000950103-19-010409 · dp110860_4-dow.xml · nonDerivative · entry 4

Dow Stephen C. · CIK 0001781971 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,115

F2 · kind: The reporting person's sale of the Issuer's common stock at a price of $31.37 per share on July 17, 2019 reported herein included sales of 59 shares of the Issuer's common stock matchable under Section 16(b) of the Securities Exchange Act of 1934 with the reporting person's purchase of 3 shares of the Issuer's common stock at a price of $31.34 per share and 56 shares of Issuer's common stock at a price of $31.35 per share, each on July 17, 2019 as reported herein. The reporting person has paid to the Registrant $0.96 representing the full amount of the profit realized in connection with the short-swing transaction, less transaction costs.

SEC source: 0000950103-19-010409 · dp110860_4-dow.xml · nonDerivative · entry 3

Dow Stephen C. · CIK 0001781971 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,059

SEC source: 0000950103-19-010409 · dp110860_4-dow.xml · nonDerivative · entry 2

Dow Stephen C. · CIK 0001781971 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,056

SEC source: 0000950103-19-010409 · dp110860_4-dow.xml · nonDerivative · entry 1

Dow Stephen C. · CIK 0001781971 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,000

F1 · price: The price reported is a weighted average price. The reported securities were purchased in multiple transactions at prices ranging from $31.38 to $31.50. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

SEC source: 0000899243-19-019478 · doc4.xml · nonDerivative · entry 1

SHAH AJAY · CIK 0001008036 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 313,794

F1 · shares: In connection with the acquisition by SMART Global Holdings, Inc. (the "Issuer") of Inforce Computing, Inc. ("Inforce Computing") on July 9, 2019, pursuant to an Agreement and Plan of Merger, dated July 9, 2019 (the "Merger Agreement"), Mr. Shah became entitled to receive 176,612 Ordinary Shares of the Issuer in respect of his approximate 28% ownership interest in Inforce Computing, 150,074 Ordinary Shares of which were issued to Mr. Shah at the closing of the acquisition and an additional 26,538 Ordinary Shares ("Holdback Shares") of which may be issued to Mr. Shah on the date that is one year following the closing of the acquisition, which Holdback Shares were retained by the Issuer as security for post-closing purchase price adjustments and the indemnification obligations of certain shareholders of Inforce Computing under the Merger Agreement.

F1 · price: In connection with the acquisition by SMART Global Holdings, Inc. (the "Issuer") of Inforce Computing, Inc. ("Inforce Computing") on July 9, 2019, pursuant to an Agreement and Plan of Merger, dated July 9, 2019 (the "Merger Agreement"), Mr. Shah became entitled to receive 176,612 Ordinary Shares of the Issuer in respect of his approximate 28% ownership interest in Inforce Computing, 150,074 Ordinary Shares of which were issued to Mr. Shah at the closing of the acquisition and an additional 26,538 Ordinary Shares ("Holdback Shares") of which may be issued to Mr. Shah on the date that is one year following the closing of the acquisition, which Holdback Shares were retained by the Issuer as security for post-closing purchase price adjustments and the indemnification obligations of certain shareholders of Inforce Computing under the Merger Agreement.

F2 · ownership.direct: These securities are held by Mr. Shah directly.

SEC source: 0000950103-19-009308 · dp109732_4-patel.xml · nonDerivative · entry 2

PATEL MUKESH · CIK 0001008034 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Held through Invati Capital LLC

Disclosed balance after: 176,612

F2 · shares: In connection with the acquisition by SMART Global Holdings, Inc. (the "Issuer") of Inforce Computing, Inc. ("Inforce Computing") on July 9, 2019, pursuant to an Agreement and Plan of Merger, dated July 9, 2019 (the "Merger Agreement"), Mr. Patel became entitled to receive 176,612 Ordinary Shares of the Issuer in respect of his approximate 28% ownership interest in Inforce Computing, 150,074 Ordinary Shares of which were issued to Mr. Patel at the closing of the acquisition and an additional 26,538 Ordinary Shares ("Holdback Shares") which may be issued to Mr. Patel on the date that is one year following the closing of the Inforce Acquisition, which Holdback Shares were retained by the Issuer as security for post-closing purchase price adjustments and the indemnification obligations of the shareholders of Inforce Computing under the Merger Agreement.

F2 · price: In connection with the acquisition by SMART Global Holdings, Inc. (the "Issuer") of Inforce Computing, Inc. ("Inforce Computing") on July 9, 2019, pursuant to an Agreement and Plan of Merger, dated July 9, 2019 (the "Merger Agreement"), Mr. Patel became entitled to receive 176,612 Ordinary Shares of the Issuer in respect of his approximate 28% ownership interest in Inforce Computing, 150,074 Ordinary Shares of which were issued to Mr. Patel at the closing of the acquisition and an additional 26,538 Ordinary Shares ("Holdback Shares") which may be issued to Mr. Patel on the date that is one year following the closing of the Inforce Acquisition, which Holdback Shares were retained by the Issuer as security for post-closing purchase price adjustments and the indemnification obligations of the shareholders of Inforce Computing under the Merger Agreement.

SEC source: 0000899243-19-019480 · doc4.xml · nonDerivative · entry 1

Mercadante Paul · CIK 0001491157 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,183

F1 · shares: In connection with the acquisition by SMART Global Holdings, Inc. (the "Issuer") of Inforce Computing, Inc. ("Inforce Computing") on July 9, 2019, pursuant to an Agreement and Plan of Merger, dated July 9, 2019 (the "Merger Agreement"), Mr. Mercadante became entitled to receive 44,183 Ordinary Shares of the Issuer in respect of his approximate 7% ownership interest in Inforce Computing, 37,544 Ordinary Shares of which were issued to Mr. Mercadante at the closing of the acquisition and an additional 6,639 Ordinary Shares ("Holdback Shares") of which may be issued to Mr. Mercadante on the date that is one year following the closing of the acquisition, which Holdback Shares were retained by the Issuer as security for post-closing purchase price adjustments and the indemnification obligations of certain shareholders of Inforce Computing under the Merger Agreement.

F1 · price: In connection with the acquisition by SMART Global Holdings, Inc. (the "Issuer") of Inforce Computing, Inc. ("Inforce Computing") on July 9, 2019, pursuant to an Agreement and Plan of Merger, dated July 9, 2019 (the "Merger Agreement"), Mr. Mercadante became entitled to receive 44,183 Ordinary Shares of the Issuer in respect of his approximate 7% ownership interest in Inforce Computing, 37,544 Ordinary Shares of which were issued to Mr. Mercadante at the closing of the acquisition and an additional 6,639 Ordinary Shares ("Holdback Shares") of which may be issued to Mr. Mercadante on the date that is one year following the closing of the acquisition, which Holdback Shares were retained by the Issuer as security for post-closing purchase price adjustments and the indemnification obligations of certain shareholders of Inforce Computing under the Merger Agreement.

F2 · ownership.direct: These securities are held by Mr. Mercadante directly.

SEC source: 0000950103-19-009657 · dp110059_4.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,136

F1 · shares: This amount reflects a net share withholding by the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold.

SEC source: 0000950103-19-006698 · dp107093_4-goldberg.xml · derivative · entry 3

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 2,381 shares

Expires 2019-08-24

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

F3 · derivative.exercise_date: The option vested and became exercisable in full by 08/24/2013.

SEC source: 0000950103-19-006698 · dp107093_4-goldberg.xml · nonDerivative · entry 2

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,734

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $18.17 to $18.62. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges.

SEC source: 0000950103-19-006698 · dp107093_4-goldberg.xml · nonDerivative · entry 1

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,115

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

F1 · shares: The transactions were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018.

SEC source: 0000899243-19-012801 · doc4.xml · nonDerivative · entry 1

SHAH AJAY · CIK 0001008036 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,182

F1 · shares: Represents a grant of 133,000 restricted stock units vesting over a period of approximately four years, subject to continued service through each vesting date, with (x) 25% vesting on April 20, 2020 and (y) the remainder vesting in equal quarterly installments (one-sixteenth of the original award) on each of January 20, April 20, July 20 and October 20 of each year through the final vesting date.

F2 · ownership.direct: These securities are held by Mr. Shah directly.

SEC source: 0000950103-19-005060 · dp105424_4-goldberg.xml · derivative · entry 3

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,381

Underlying: Ordinary Shares · 2,000 shares

Expires 2019-08-24

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

F3 · derivative.exercise_date: The option vested and became exercisable in full by 08/24/2013.

SEC source: 0000950103-19-005060 · dp105424_4-goldberg.xml · nonDerivative · entry 2

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,734

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $21.81 to $22.37. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges.

SEC source: 0000950103-19-005060 · dp105424_4-goldberg.xml · nonDerivative · entry 1

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,734

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

F1 · shares: The transactions were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018.

SEC source: 0000950103-19-004856 · dp105235_4-mackenzie.xml · nonDerivative · entry 1

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 274,973

F1 · shares: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 12/27/17 as modified on 04/07/18 and 10/09/18.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $21.06 to $21.75. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

SEC source: 0000950103-19-004642 · dp105015_4-pacheco.xml · nonDerivative · entry 1

Pacheco Jack A · CIK 0001344018 · Executive VP, CFO, COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,654

F1 · shares: This amount reflects a net share withholding by the Issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units. No shares were sold.

SEC source: 0000950103-19-004538 · dp104918_4-straub.xml · nonDerivative · entry 1

Straub Maximiliane C · CIK 0001696393 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,458

F1 · shares: Represents a restricted stock unit award that is scheduled to vest as to 6,249 units on April 1, 2020 and as to the remainder of the award on January 31, 2021.

SEC source: 0000950103-19-003595 · dp103973_4-goldberg.xml · derivative · entry 3

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,381

Underlying: Ordinary Shares · 2,000 shares

Expires 2019-08-24

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

F3 · derivative.exercise_date: The option vested and became exercisable in full by 08/24/2013.

SEC source: 0000950103-19-003595 · dp103973_4-goldberg.xml · nonDerivative · entry 2

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,734

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $24.92 to $25.32. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges.

SEC source: 0000950103-19-003595 · dp103973_4-goldberg.xml · nonDerivative · entry 1

GOLDBERG BRUCE M · CIK 0001005688 · VP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,734

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

F1 · shares: The transactions were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018.

SEC source: 0000950103-19-003532 · dp103836_4-mackenzie.xml · nonDerivative · entry 2

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 284,973

F1 · shares: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 12/27/17 as modified on 04/07/18 and 10/09/18.

F3 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $24.28 to $24.34. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

SEC source: 0000950103-19-003532 · dp103836_4-mackenzie.xml · nonDerivative · entry 1

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 285,323

F1 · shares: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 12/27/17 as modified on 04/07/18 and 10/09/18.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $23.27 to $24.25. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

SEC source: 0000950103-19-002261 · dp102636_4-goldberg.xml · nonDerivative · entry 1

GOLDBERG BRUCE M · CIK 0001005688 · V.P., Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,734

F1 · shares: The sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017 and modified on 04/07/2018 and 08/03/2018.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $30.03 to $30.92. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such ranges.

SEC source: 0000950103-19-002090 · dp102455_4-mackenzie.xml · nonDerivative · entry 1

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 294,973

F1 · shares: The transactions reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 12/27/17 as modified on 04/07/18 and 10/09/18.

F2 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $28.50 to $29.15. The reporting person undertakes to provide to the issuer, any security holder of the issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

SEC source: 0000950103-19-001698 · dp102031_4-patel.xml · nonDerivative · entry 1

PATEL MUKESH · CIK 0001008034 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,585

F1 · shares: 100% of the RSUs vest on February 1, 2020.

F2 · balance_after: Includes Restricted Stock Units.