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Nasdaq · USD

PENG

Penguin Solutions, Inc.

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Tapewire entity
4377
SEC CIK
0001616533
Parsed reports
444

Last 12 months

Inside the activity.

0 purchase rows · 34 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202603
Mar 202601
Apr 202605
May 2026010
Jun 2026010
Jul 202602
Aug 202603
Sep 202600
Oct 202600

Latest available

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

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

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
October 11, 2018 Filed Oct 15, 2018 16:24 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 3,836 $0.00 Strike: $2.64 $0.00
Disclosure

SEC source: 0000950103-18-012033 · dp96980_4-goldberg.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 3,836 shares

Expires 2020-09-27

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

F4 · derivative.exercise_date: The option was granted on 09/28/2010 and was fully vested on 09/28/2014.

Read SEC document
October 11, 2018 Filed Oct 15, 2018 16:24 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
SaleOrdinary Shares 3,436 $30.26 $103,973.36
Disclosure

SEC source: 0000950103-18-012033 · dp96980_4-goldberg.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,891

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 $29.69 to $30.55. 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.

Read SEC document
October 11, 2018 Filed Oct 15, 2018 16:24 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
SaleOrdinary Shares 400 $28.51 $11,404.00
Disclosure

SEC source: 0000950103-18-012033 · dp96980_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: 14,327

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 $28.15 to $29.03.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.

Read SEC document
October 11, 2018 Filed Oct 15, 2018 16:24 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
Exercise / conversionOrdinary Shares 3,836 $2.64 $10,127.04
Disclosure

SEC source: 0000950103-18-012033 · dp96980_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: 14,727

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 reported herein 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.

Read SEC document
October 05, 2018 Filed Oct 10, 2018 23:43 UTC Exercise / conversionEmployee Stock Options (right to buy) · Derivative 21,420 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-011890 · dp96775_4-mackenzie.xml · derivative · entry 7

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,113

Underlying: Ordinary Shares · 21,420 shares

Expires 2026-05-23

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 · derivative.exercise_date: This option became exercisable on May 23, 2017 as to 50% of the award. The remainder became exercisable in equal quarterly installments through May 23, 2018.

Read SEC document
October 05, 2018 Filed Oct 10, 2018 23:43 UTC Exercise / conversionEmployee Stock Options (right to buy) · Derivative 4,500 $0.00 Strike: $22.47 $0.00
Disclosure

SEC source: 0000950103-18-011890 · dp96775_4-mackenzie.xml · derivative · entry 6

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,884

Underlying: Ordinary Shares · 4,500 shares

Expires 2019-10-26

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

F4 · derivative.exercise_price: The exercise price for this option was incorrectly listed as $2.64 in the reporting person's Form 3.

F5 · derivative.exercise_date: This option became exercisable during a period ending on October 31, 2015.

Read SEC document
October 05, 2018 Filed Oct 10, 2018 23:43 UTC Exercise / conversionEmployee Stock Options (right to buy) · Derivative 5,764 $0.00 Strike: $2.64 $0.00
Disclosure

SEC source: 0000950103-18-011890 · dp96775_4-mackenzie.xml · derivative · entry 5

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,819

Underlying: Ordinary Shares · 5,764 shares

Expires 2020-09-27

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: This option became exercisable in monthly installments from October 28, 2010 through September 28, 2014.

Read SEC document
October 05, 2018 Filed Oct 10, 2018 23:43 UTC SaleOrdinary Shares 31,684 $35.01 $1,109,256.84
Disclosure

SEC source: 0000950103-18-011890 · dp96775_4-mackenzie.xml · nonDerivative · entry 4

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 369,973

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 $35.00 to $35.01. 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.

Read SEC document
October 05, 2018 Filed Oct 10, 2018 23:43 UTC Exercise / conversionOrdinary Shares 21,420 $11.55 $247,401.00
Disclosure

SEC source: 0000950103-18-011890 · dp96775_4-mackenzie.xml · nonDerivative · entry 3

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 401,657

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.

Read SEC document
October 05, 2018 Filed Oct 10, 2018 23:43 UTC Exercise / conversionOrdinary Shares 4,500 $22.47 $101,115.00
Disclosure

SEC source: 0000950103-18-011890 · dp96775_4-mackenzie.xml · nonDerivative · entry 2

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,237

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.

Read SEC document
October 05, 2018 Filed Oct 10, 2018 23:43 UTC Exercise / conversionOrdinary Shares 5,764 $2.64 $15,216.96
Disclosure

SEC source: 0000950103-18-011890 · dp96775_4-mackenzie.xml · nonDerivative · entry 1

MacKenzie Iain · CIK 0001344017 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 375,737

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 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.

Read SEC document
October 02, 2018 Filed Oct 4, 2018 13:53 UTC
Ingram BryanDirector
GrantOrdinary Shares 5,600 $0.00 $0.00
Disclosure

SEC source: 0000950103-18-011625 · dp96524_4-ingram.xml · nonDerivative · entry 1

Ingram Bryan · CIK 0001469468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,600

F1 · shares: Represents a restricted stock unit award that is scheduled to vest as to 3/4 of the award on October 2, 2019 and as to the remainder of the award on January 31, 2020.

Read SEC document
September 20, 2018 Filed Sep 21, 2018 17:26 UTC
Pacheco Jack AExecutive VP, CFO, COO
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 7,500 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-010961 · dp95865_4-pacheco.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,253

Underlying: Ordinary Shares · 7,500 shares

Expires 2026-05-23

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 original option vested 50% in May 2017 with the remainder vesting quarterly through May 2018.

Read SEC document
September 20, 2018 Filed Sep 21, 2018 17:26 UTC
Pacheco Jack AExecutive VP, CFO, COO
SaleOrdinary Shares 7,500 $30.25 $226,875.00
Disclosure

SEC source: 0000950103-18-010961 · dp95865_4-pacheco.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,894

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 $29.96 to $30.53. 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.

Read SEC document
September 20, 2018 Filed Sep 21, 2018 17:26 UTC
Pacheco Jack AExecutive VP, CFO, COO
Exercise / conversionOrdinary Shares 7,500 $11.55 $86,625.00
Disclosure

SEC source: 0000950103-18-010961 · dp95865_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: 99,394

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 reported herein were effected pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 10/25/17 as modified on 08/03/2018.

Read SEC document
September 17, 2018 Filed Sep 18, 2018 10:54 UTC
Marten AlanSenior Vice President
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 8,800 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-010812 · dp95731_4-marten.xml · derivative · entry 3

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,322

Underlying: Ordinary Shares · 8,800 shares

Expires 2026-05-23

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: Fully vested and exercisable.

Read SEC document
September 17, 2018 Filed Sep 18, 2018 10:54 UTC
Marten AlanSenior Vice President
SaleOrdinary Shares 8,800 $29.70 $261,360.00
Disclosure

SEC source: 0000950103-18-010812 · dp95731_4-marten.xml · nonDerivative · entry 2

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,666

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 $29.36 to $30.16. 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.

Read SEC document
September 17, 2018 Filed Sep 18, 2018 10:54 UTC
Marten AlanSenior Vice President
Exercise / conversionOrdinary Shares 8,800 $11.55 $101,640.00
Disclosure

SEC source: 0000950103-18-010812 · dp95731_4-marten.xml · nonDerivative · entry 1

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,466

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 reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/24/2017 and modified on 4/17/2018.

Read SEC document
September 04, 2018 Filed Sep 6, 2018 12:19 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 3,600 $0.00 Strike: $2.64 $0.00
Disclosure

SEC source: 0000950103-18-010556 · dp95476_4-goldberg.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,836

Underlying: Ordinary Shares · 3,600 shares

Expires 2020-09-27

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

F4 · derivative.exercise_date: The option was granted on 09/28/2010 and was fully vested on 09/28/2014.

Read SEC document
September 04, 2018 Filed Sep 6, 2018 12:19 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
SaleOrdinary Shares 200 $32.88 $6,576.00
Disclosure

SEC source: 0000950103-18-010556 · dp95476_4-goldberg.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,891

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 $32.48 to $33.01. 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.

Read SEC document
September 04, 2018 Filed Sep 6, 2018 12:19 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
SaleOrdinary Shares 3,400 $31.99 $108,766.00
Disclosure

SEC source: 0000950103-18-010556 · dp95476_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: 11,091

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 $31.48 to $32.42. 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.

Read SEC document
September 04, 2018 Filed Sep 6, 2018 12:19 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
Exercise / conversionOrdinary Shares 3,600 $2.64 $9,504.00
Disclosure

SEC source: 0000950103-18-010556 · dp95476_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: 14,491

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 reported herein 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.

Read SEC document
August 21, 2018 Filed Aug 23, 2018 13:35 UTC
Pacheco Jack AExecutive VP, CFO, COO
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 7,500 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-009897 · dp94792_4-pacheco.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,753

Underlying: Ordinary Shares · 7,500 shares

Expires 2026-05-23

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 original option vested 50% in May 2017 with the remainder vesting quarterly through May 2018.

Read SEC document
August 21, 2018 Filed Aug 23, 2018 13:35 UTC
Pacheco Jack AExecutive VP, CFO, COO
SaleOrdinary Shares 7,500 $31.59 $236,925.00
Disclosure

SEC source: 0000950103-18-009897 · dp94792_4-pacheco.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,894

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 $31.10 to $31.94. 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.

Read SEC document
August 21, 2018 Filed Aug 23, 2018 13:35 UTC
Pacheco Jack AExecutive VP, CFO, COO
Exercise / conversionOrdinary Shares 7,500 $11.55 $86,625.00
Disclosure

SEC source: 0000950103-18-009897 · dp94792_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: 99,394

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 reported herein were effective pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 10/25/17 as modified on 08/03/2018.

Read SEC document
August 15, 2018 Filed Aug 17, 2018 14:03 UTC
Marten AlanSenior Vice President
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 8,800 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-009750 · dp94639-marten.xml · derivative · entry 5

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,122

Underlying: Ordinary Shares · 8,800 shares

Expires 2026-05-23

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 · derivative.exercise_date: Fully vested and exercisable.

Read SEC document
August 15, 2018 Filed Aug 17, 2018 14:03 UTC
Marten AlanSenior Vice President
SaleOrdinary Shares 800 $30.62 $24,496.00
Disclosure

SEC source: 0000950103-18-009750 · dp94639-marten.xml · nonDerivative · entry 4

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,666

F5 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $30.50 to $30.70. 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.

Read SEC document
August 15, 2018 Filed Aug 17, 2018 14:03 UTC
Marten AlanSenior Vice President
SaleOrdinary Shares 500 $29.82 $14,910.00
Disclosure

SEC source: 0000950103-18-009750 · dp94639-marten.xml · nonDerivative · entry 3

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,466

F4 · price: The price reported in Column 4 is a weighted average price. The reported securities were sold in multiple transactions at prices ranging from $29.43 to $30.25. 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.

Read SEC document
August 15, 2018 Filed Aug 17, 2018 14:03 UTC
Marten AlanSenior Vice President
SaleOrdinary Shares 7,500 $28.95 $217,125.00
Disclosure

SEC source: 0000950103-18-009750 · dp94639-marten.xml · nonDerivative · entry 2

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,966

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 $28.42 to $29.33. 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.

Read SEC document
August 15, 2018 Filed Aug 17, 2018 14:03 UTC
Marten AlanSenior Vice President
Exercise / conversionOrdinary Shares 8,800 $11.55 $101,640.00
Disclosure

SEC source: 0000950103-18-009750 · dp94639-marten.xml · nonDerivative · entry 1

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,466

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 reported herein were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/24/2017 and modified on 4/17/2018.

F2 · balance_after: Includes 10,000 Ordinary Shares beneficially owned by the reporting person that were reported in the reporting person's Form 4 filing on 6/14/2018 but were inadvertently omitted from the reporting person's Form 4 filings on 6/19/2018 and 7/17/2018.

Read SEC document
August 13, 2018 Filed Aug 15, 2018 14:44 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 3,600 $0.00 Strike: $2.64 $0.00
Disclosure

SEC source: 0000950103-18-009701 · dp94574_4-goldberg.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,436

Underlying: Ordinary Shares · 3,600 shares

Expires 2020-09-27

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

F4 · derivative.exercise_date: The option was granted on 09/28/2010 and was fully vested on 09/28/2014.

F5 · balance_after: These options were included in the reporting person's Form 3 dated 05/22/2017 with an expiration date of 02/05/2014. The correct date of these options was, at the time of the Form 3, and is now, 09/27/2020.

Read SEC document
August 13, 2018 Filed Aug 15, 2018 14:44 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
SaleOrdinary Shares 1,588 $31.42 $49,894.96
Disclosure

SEC source: 0000950103-18-009701 · dp94574_4-goldberg.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,891

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 $31.20 to $31.62. 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.

Read SEC document
August 13, 2018 Filed Aug 15, 2018 14:44 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
SaleOrdinary Shares 2,012 $30.61 $61,587.32
Disclosure

SEC source: 0000950103-18-009701 · dp94574_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: 12.479

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 $30.20 to $31.17. 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.

Read SEC document
August 13, 2018 Filed Aug 15, 2018 14:44 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
Exercise / conversionOrdinary Shares 3,600 $2.64 $9,504.00
Disclosure

SEC source: 0000950103-18-009701 · dp94574_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: 14,491

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 reported herein 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.

Read SEC document
July 30, 2018 Filed Aug 1, 2018 20:02 UTC
Pacheco Jack AExecutive VP, CFO, COO
SaleOrdinary Shares 5,848 $31.83 $186,141.84
Disclosure

SEC source: 0000950103-18-009299 · dp94185_4-pacheco.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,894

F1 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 10/25/17.

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 $31.36 to $32.23. 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.

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July 30, 2018 Filed Aug 1, 2018 20:02 UTC
Pacheco Jack AExecutive VP, CFO, COO
SaleOrdinary Shares 12,577 $30.54 $384,101.58
Disclosure

SEC source: 0000950103-18-009299 · dp94185_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: 97,742

F1 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 10/25/17.

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 $30.29 to $31.26. 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.

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July 30, 2018 Filed Aug 1, 2018 23:29 UTC
Kim KiWanSVP of EM & Pres. Brazil
SaleOrdinary Shares 2,100 $31.87 $66,927.00
Disclosure

SEC source: 0000950103-18-009298 · dp94186_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: 21,043

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

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 $31.41 to $32.23. 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.

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July 30, 2018 Filed Aug 1, 2018 23:29 UTC
Kim KiWanSVP of EM & Pres. Brazil
SaleOrdinary Shares 4,775 $30.57 $145,971.75
Disclosure

SEC source: 0000950103-18-009298 · dp94186_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: 23,143

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 $30.38 to $31.34. 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 ranges.

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July 26, 2018 Filed Jul 30, 2018 19:21 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 4,131 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-009064 · dp93964_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: 3,042

Underlying: Ordinary Shares · 4,131 shares

Expires 2026-05-23

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 original option vested and became exercisable 50% in May 2017 with the remainder vesting quarterly through May 2018.

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July 26, 2018 Filed Jul 30, 2018 19:21 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
SaleOrdinary Shares 4,131 $31.91 $131,820.21
Disclosure

SEC source: 0000950103-18-009064 · dp93964_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: 10,891

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 $31.61 to $32.38. 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.

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July 26, 2018 Filed Jul 30, 2018 19:21 UTC
GOLDBERG BRUCE MVP, Chief Legal Officer
Exercise / conversionOrdinary Shares 4,131 $11.55 $47,713.05
Disclosure

SEC source: 0000950103-18-009064 · dp93964_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: 15,022

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 sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/25/2017.

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July 23, 2018 Filed Jul 24, 2018 20:10 UTC
Pacheco Jack AExecutive VP, CFO, COO
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 7,500 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-008823 · ownership.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,253

Underlying: Ordinary Shares · 7,500 shares

Expires 2026-05-23

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

F4 · derivative.exercise_date: The original option vested 50% in May 2017 with the remainder vesting quarterly through May 2018.

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July 23, 2018 Filed Jul 24, 2018 20:10 UTC
Pacheco Jack AExecutive VP, CFO, COO
SaleOrdinary Shares 3,985 $31.94 $127,280.90
Disclosure

SEC source: 0000950103-18-008823 · ownership.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,319

F1 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 10/25/17.

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 $31.80 to $32.09. 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.

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July 23, 2018 Filed Jul 24, 2018 20:10 UTC
Pacheco Jack AExecutive VP, CFO, COO
SaleOrdinary Shares 3,515 $31.46 $110,581.90
Disclosure

SEC source: 0000950103-18-008823 · ownership.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,304

F1 · shares: Shares sold pursuant to a previously established Rule 10b5-1 Plan adopted by the reporting person on 10/25/17.

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 $30.80 to $31.78. 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.

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July 23, 2018 Filed Jul 24, 2018 20:10 UTC
Pacheco Jack AExecutive VP, CFO, COO
Exercise / conversionOrdinary Shares 7,500 $11.55 $86,625.00
Disclosure

SEC source: 0000950103-18-008823 · ownership.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,819

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.

Read SEC document
July 16, 2018 Filed Jul 17, 2018 19:05 UTC
Marten AlanSenior Vice President
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 4,000 $0.00 Strike: $2.64 $0.00
Disclosure

SEC source: 0000950103-18-008619 · dp93492_4-marten.xml · derivative · entry 6

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 4,000 shares

Expires 2020-09-27

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

F5 · derivative.exercise_date: Fully vested and exercisable.

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July 16, 2018 Filed Jul 17, 2018 19:05 UTC
Marten AlanSenior Vice President
Exercise / conversionEmployee Stock Options (right to buy) · Derivative 4,000 $0.00 Strike: $11.55 $0.00
Disclosure

SEC source: 0000950103-18-008619 · dp93492_4-marten.xml · derivative · entry 5

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,922

Underlying: Ordinary Shares · 4,000 shares

Expires 2026-05-23

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

F4 · derivative.exercise_date: Fully vested and exercisable.

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July 16, 2018 Filed Jul 17, 2018 19:05 UTC
Marten AlanSenior Vice President
SaleOrdinary Shares 3,168 $31.62 $100,172.16
Disclosure

SEC source: 0000950103-18-008619 · dp93492_4-marten.xml · nonDerivative · entry 4

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,666

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 $31.46 to $31.81. 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.

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July 16, 2018 Filed Jul 17, 2018 19:05 UTC
Marten AlanSenior Vice President
SaleOrdinary Shares 4,832 $31.11 $150,323.52
Disclosure

SEC source: 0000950103-18-008619 · dp93492_4-marten.xml · nonDerivative · entry 3

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,834

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 $30.46 to $31.44. 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.

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July 16, 2018 Filed Jul 17, 2018 19:05 UTC
Marten AlanSenior Vice President
Exercise / conversionOrdinary Shares 4,000 $2.64 $10,560.00
Disclosure

SEC source: 0000950103-18-008619 · dp93492_4-marten.xml · nonDerivative · entry 2

Marten Alan · CIK 0001344019 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,666

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 sales were effective pursuant to a Rule 10b5-1 Plan adopted by the reporting person on 10/24/2017 and modified on 4/17/2018.

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