RBA

SEC source: 0001209191-21-056580 · doc4.xml · derivative · entry 1

DeWitt Adam · CIK 0001393867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21

Underlying: Common Shares · 9 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued in respect of the reporting person's deferred share units, and become exercisable and payable concurrently with the deferred share units. Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share.

F1 · derivative.exercise_date: The dividend equivalent rights accrued in respect of the reporting person's deferred share units, and become exercisable and payable concurrently with the deferred share units. Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share.

F1 · derivative.expiration_date: The dividend equivalent rights accrued in respect of the reporting person's deferred share units, and become exercisable and payable concurrently with the deferred share units. Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share.

SEC source: 0001209191-21-056579 · doc4.xml · derivative · entry 1

Briscoe Beverley Anne · CIK 0001661691 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,924

Underlying: Common Shares · 177 shares

Expires not disclosed

F1 · derivative.exercise_price: The dividend equivalent rights accrued in respect of the reporting person's deferred share units, and become exercisable and payable concurrently with the deferred share units. Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share.

F1 · derivative.exercise_date: The dividend equivalent rights accrued in respect of the reporting person's deferred share units, and become exercisable and payable concurrently with the deferred share units. Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share.

F1 · derivative.expiration_date: The dividend equivalent rights accrued in respect of the reporting person's deferred share units, and become exercisable and payable concurrently with the deferred share units. Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share.

SEC source: 0001209191-21-053288 · doc4.xml · nonDerivative · entry 1

JETER JAMES J · CIK 0001242860 · President, Sales U.S.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,773

SEC source: 0001209191-21-052467 · doc4.xml · derivative · entry 6

Driscoll Sharon Ruth · CIK 0001661692 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,963

Underlying: Common Shares · 14,795 shares

Expires 2026-03-02

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.

F2 · derivative.exercise_date: The option was granted on March 2, 2016 and vests equally in three equal annual installments beginning March 1, 2017.

SEC source: 0001209191-21-052467 · doc4.xml · nonDerivative · entry 5

Driscoll Sharon Ruth · CIK 0001661692 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-21-052467 · doc4.xml · nonDerivative · entry 4

Driscoll Sharon Ruth · CIK 0001661692 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,795

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: 0001209191-21-051844 · doc4.xml · derivative · entry 1

Zimmerman Christopher · CIK 0001661698 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,292

Underlying: Common Shares · 543 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") represents the economic equivalent of one RBA common share.

F2 · derivative.exercise_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

F2 · derivative.expiration_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

SEC source: 0001209191-21-051842 · doc4.xml · derivative · entry 1

Shenkan Amy Guggenheim · CIK 0001710815 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,669

Underlying: Common Shares · 543 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") represents the economic equivalent of one RBA common share.

F2 · derivative.exercise_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

F2 · derivative.expiration_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

SEC source: 0001209191-21-051840 · doc4.xml · derivative · entry 1

RAISS SARAH E. · CIK 0001510551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,842

Underlying: Common Shares · 543 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") represents the economic equivalent of one RBA common share.

F2 · derivative.exercise_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

F2 · derivative.expiration_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

SEC source: 0001209191-21-051838 · doc4.xml · derivative · entry 1

Olsson Erik · CIK 0001400231 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,327

Underlying: Common Shares · 797 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") represents the economic equivalent of one RBA common share.

F2 · derivative.exercise_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

F2 · derivative.expiration_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

SEC source: 0001209191-21-051830 · doc4.xml · derivative · entry 1

DeWitt Adam · CIK 0001393867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,205

Underlying: Common Shares · 543 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") represents the economic equivalent of one RBA common share.

F2 · derivative.exercise_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

F2 · derivative.expiration_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

SEC source: 0001209191-21-051835 · doc4.xml · derivative · entry 1

FENNELL J KIM · CIK 0001228026 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,669

Underlying: Common Shares · 543 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") represents the economic equivalent of one RBA common share.

F2 · derivative.exercise_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

F2 · derivative.expiration_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

SEC source: 0001209191-21-051832 · doc4.xml · derivative · entry 1

Elton Robert George · CIK 0001661705 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,384

Underlying: Common Shares · 543 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") represents the economic equivalent of one RBA common share.

F2 · derivative.exercise_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

F2 · derivative.expiration_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

SEC source: 0001209191-21-051797 · doc4.xml · derivative · entry 5

JETER JAMES J · CIK 0001242860 · President, Sales U.S.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,416

Underlying: Common Shares · 7,250 shares

Expires 2029-03-07

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.

F2 · derivative.exercise_date: The option was granted on March 7, 2019 and vests equally in three equal annual installments beginning March 6, 2020.

SEC source: 0001209191-21-051797 · doc4.xml · nonDerivative · entry 4

JETER JAMES J · CIK 0001242860 · President, Sales U.S.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-21-051797 · doc4.xml · nonDerivative · entry 3

JETER JAMES J · CIK 0001242860 · President, Sales U.S.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,250

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: 0001209191-21-051829 · doc4.xml · derivative · entry 1

Briscoe Beverley Anne · CIK 0001661691 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,343

Underlying: Common Shares · 543 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Deferred Share Unit ("DSU") represents the economic equivalent of one RBA common share.

F2 · derivative.exercise_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

F2 · derivative.expiration_date: Following the reporting person ceasing to hold any position as a director of RBA or any of its subsidiaries and not otherwise being employed by RBA or any of its subsidiaries ("Termination"), a lump sum cash payment will be made by RBA to the reporting person, net of tax withholding, calculated by multiplying the number of DSUs by the fair market value of one RBA common share as of (i) the 24th business day after the first publication by or on behalf of RBA of interim financial statements and MD&A for the fiscal quarter of the corporation following such Termination or (ii) where the Termination occurs in RBA's fourth fiscal quarter, the 24th business day (or such fewer number of business days as may be determined by the Committee) after the first publication by or on behalf of RBA of annual financial statements and MD&As for such fiscal year of RBA.

SEC source: 0001209191-21-051796 · doc4.xml · derivative · entry 6

Watt Darren Jeffrey · CIK 0001661695 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,144

Underlying: Common Shares · 3,300 shares

Expires 2025-03-10

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.

F2 · derivative.exercise_date: The option was granted on March 10, 2015 and vests equally in three equal annual installments beginning March 9, 2016.

SEC source: 0001209191-21-051796 · doc4.xml · nonDerivative · entry 5

Watt Darren Jeffrey · CIK 0001661695 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

SEC source: 0001209191-21-051796 · doc4.xml · nonDerivative · entry 4

Watt Darren Jeffrey · CIK 0001661695 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,300

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: 0001209191-21-051613 · doc4.xml · derivative · entry 3

Watt Darren Jeffrey · CIK 0001661695 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,477

Underlying: Common Shares · 9,477 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051613 · doc4.xml · derivative · entry 2

Watt Darren Jeffrey · CIK 0001661695 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,742

Underlying: Common Shares · 7,742 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051613 · doc4.xml · derivative · entry 1

Watt Darren Jeffrey · CIK 0001661695 · Gen. Counsel & Corp. Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,269

Underlying: Common Shares · 6,269 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051612 · doc4.xml · derivative · entry 3

THIEDE CARMEN D · CIK 0001588767 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,633

Underlying: Common Shares · 14,633 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051612 · doc4.xml · derivative · entry 2

THIEDE CARMEN D · CIK 0001588767 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,954

Underlying: Common Shares · 11,954 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051612 · doc4.xml · derivative · entry 1

THIEDE CARMEN D · CIK 0001588767 · Chief People Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,680

Underlying: Common Shares · 9,680 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051611 · doc4.xml · derivative · entry 3

Taylor Kari R · CIK 0001787804 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,729

Underlying: Common Shares · 20,729 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051611 · doc4.xml · derivative · entry 2

Taylor Kari R · CIK 0001787804 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,935

Underlying: Common Shares · 16,935 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051611 · doc4.xml · derivative · entry 1

Taylor Kari R · CIK 0001787804 · Chief Revenue Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,713

Underlying: Common Shares · 13,713 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051609 · doc4.xml · derivative · entry 3

JETER JAMES J · CIK 0001242860 · President, Sales U.S.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,706

Underlying: Common Shares · 11,706 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051609 · doc4.xml · derivative · entry 2

JETER JAMES J · CIK 0001242860 · President, Sales U.S.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,563

Underlying: Common Shares · 9,563 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051609 · doc4.xml · derivative · entry 1

JETER JAMES J · CIK 0001242860 · President, Sales U.S.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,744

Underlying: Common Shares · 7,744 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051608 · doc4.xml · derivative · entry 3

Geisner Kevin Alan · CIK 0001861925 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,633

Underlying: Common Shares · 14,633 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051608 · doc4.xml · derivative · entry 2

Geisner Kevin Alan · CIK 0001861925 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,954

Underlying: Common Shares · 11,954 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051608 · doc4.xml · derivative · entry 1

Geisner Kevin Alan · CIK 0001861925 · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,680

Underlying: Common Shares · 9,680 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051607 · doc4.xml · derivative · entry 3

Fandozzi Ann · CIK 0001570885 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 112,877

Underlying: Common Shares · 112,877 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051607 · doc4.xml · derivative · entry 2

Fandozzi Ann · CIK 0001570885 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 92,214

Underlying: Common Shares · 92,214 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051607 · doc4.xml · derivative · entry 1

Fandozzi Ann · CIK 0001570885 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,669

Underlying: Common Shares · 74,669 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051606 · doc4.xml · derivative · entry 3

Driscoll Sharon Ruth · CIK 0001661692 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,782

Underlying: Common Shares · 34,782 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051606 · doc4.xml · derivative · entry 2

Driscoll Sharon Ruth · CIK 0001661692 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,415

Underlying: Common Shares · 28,415 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051606 · doc4.xml · derivative · entry 1

Driscoll Sharon Ruth · CIK 0001661692 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,009

Underlying: Common Shares · 23,009 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051605 · doc4.xml · derivative · entry 3

CONCORS BARON · CIK 0001808515 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,871

Underlying: Common Shares · 27,871 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051605 · doc4.xml · derivative · entry 2

CONCORS BARON · CIK 0001808515 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,769

Underlying: Common Shares · 22,769 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051605 · doc4.xml · derivative · entry 1

CONCORS BARON · CIK 0001808515 · Chief Information Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,437

Underlying: Common Shares · 18,437 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051604 · doc4.xml · derivative · entry 3

ACKLEY MATTHEW · CIK 0001232220 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,239

Underlying: Common Shares · 13,239 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051604 · doc4.xml · derivative · entry 2

ACKLEY MATTHEW · CIK 0001232220 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,816

Underlying: Common Shares · 10,816 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051604 · doc4.xml · derivative · entry 1

ACKLEY MATTHEW · CIK 0001232220 · Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,758

Underlying: Common Shares · 8,758 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051766 · doc4.xml · derivative · entry 3

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,355

Underlying: Common Shares · 31,355 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051766 · doc4.xml · derivative · entry 2

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,615

Underlying: Common Shares · 25,615 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051766 · doc4.xml · derivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,742

Underlying: Common Shares · 20,742 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.