RBBN

SEC source: 0001062993-22-008058 · form4.xml · nonDerivative · entry 6

Bruny Steven M · CIK 0001720723 · EVP Sales, Americas Region

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 267,792

F3 · kind: Reflects share of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs and/or PSUs.

F3 · shares: Reflects share of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs and/or PSUs.

SEC source: 0001062993-22-008058 · form4.xml · nonDerivative · entry 5

Bruny Steven M · CIK 0001720723 · EVP Sales, Americas Region

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 279,312

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 · shares: The RSU originally vested as to one-third on March 16, 2021 and the remaining two-thirds of the RSUs will vest in four equal semi-annual installments thereafter through March 16, 2023.

F1 · price: RSUs convert into common stock on a one-for one basis.

SEC source: 0001062993-22-008057 · form4.xml · derivative · entry 9

Marmurek Eric S · CIK 0001720721 · SVP, Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,864

Underlying: Common Stock · 15,432 shares

Expires not disclosed

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

F1 · derivative.exercise_price: RSUs convert to Common Stock on a one-for-one basis.

F4 · derivative.exercise_date: The RSUs originally vested as to one third on March 16, 2021, and the remaining two-thirds will vest in four equal semi-annual installments thereafter through March 16, 2023.

F4 · derivative.expiration_date: The RSUs originally vested as to one third on March 16, 2021, and the remaining two-thirds will vest in four equal semi-annual installments thereafter through March 16, 2023.

SEC source: 0001062993-22-008057 · form4.xml · nonDerivative · entry 6

Marmurek Eric S · CIK 0001720721 · SVP, Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,772

F2 · shares: Reflects shares of Common stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs and/or PSUs.

F2 · price: Reflects shares of Common stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs and/or PSUs.

SEC source: 0001062993-22-008057 · form4.xml · nonDerivative · entry 5

Marmurek Eric S · CIK 0001720721 · SVP, Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,385

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 · price: RSUs convert to Common Stock on a one-for-one basis.

SEC source: 0001062993-22-007812 · form4.xml · derivative · entry 3

McCaffery Stephen J. · CIK 0001690129 · EVP, Sales EMEA and APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,877

Underlying: Common Stock · 13,940 shares

Expires not disclosed

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

F1 · derivative.exercise_price: RSUs convert to common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs vested as to one-third on March 15, 2022 and the remaining two-thirds of the RSUs will vest in four equal semi-annual installments thereafter through March 15, 2024.

F3 · derivative.expiration_date: The RSUs vested as to one-third on March 15, 2022 and the remaining two-thirds of the RSUs will vest in four equal semi-annual installments thereafter through March 15, 2024.

SEC source: 0001062993-22-007812 · form4.xml · nonDerivative · entry 2

McCaffery Stephen J. · CIK 0001690129 · EVP, Sales EMEA and APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,418

F2 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001062993-22-007812 · form4.xml · nonDerivative · entry 1

McCaffery Stephen J. · CIK 0001690129 · EVP, Sales EMEA and APAC

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,969

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 · price: RSUs convert to common stock on a one-for-one basis.

SEC source: 0001062993-22-007810 · form4.xml · derivative · entry 3

Macken Patrick W · CIK 0001641965 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,859

Underlying: Common Stock · 15,931 shares

Expires not disclosed

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

F1 · derivative.exercise_price: RSUs convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The RSUs vested as to one-third on March 15, 2022 and the remaining two-thirds of the RSUs will vest in four equal semi-annual installments thereafter through March 15, 2024.

F2 · derivative.expiration_date: The RSUs vested as to one-third on March 15, 2022 and the remaining two-thirds of the RSUs will vest in four equal semi-annual installments thereafter through March 15, 2024.

SEC source: 0001062993-22-007810 · form4.xml · nonDerivative · entry 2

Macken Patrick W · CIK 0001641965 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,126

F3 · shares: Reflects share of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs.

F3 · price: Reflects share of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001062993-22-007810 · form4.xml · nonDerivative · entry 1

Macken Patrick W · CIK 0001641965 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,025

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 · price: RSUs convert into common stock on a one-for-one basis.

SEC source: 0001062993-22-007809 · form4.xml · derivative · entry 4

LOPEZ MIGUEL A · CIK 0001600024 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,842

Underlying: Common Stock · 17,922 shares

Expires not disclosed

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

F2 · derivative.exercise_price: RSUs convert to common stock on a one-for-one basis.

F4 · shares: The RSUs vest over a three-year period as follows: one-third of the restricted stock units vested on March 15, 2022, and the remaining two-thirds of the RSUs shall vest in four equal, semi-annual installments thereafter through March 15, 2024.

F4 · derivative.exercise_date: The RSUs vest over a three-year period as follows: one-third of the restricted stock units vested on March 15, 2022, and the remaining two-thirds of the RSUs shall vest in four equal, semi-annual installments thereafter through March 15, 2024.

F4 · derivative.expiration_date: The RSUs vest over a three-year period as follows: one-third of the restricted stock units vested on March 15, 2022, and the remaining two-thirds of the RSUs shall vest in four equal, semi-annual installments thereafter through March 15, 2024.

SEC source: 0001062993-22-007809 · form4.xml · nonDerivative · entry 3

LOPEZ MIGUEL A · CIK 0001600024 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,527

F3 · shares: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001062993-22-007809 · form4.xml · nonDerivative · entry 2

LOPEZ MIGUEL A · CIK 0001600024 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,897

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 · price: RSUs convert to common stock on a one-for-one basis.

SEC source: 0001062993-22-007809 · form4.xml · nonDerivative · entry 1

LOPEZ MIGUEL A · CIK 0001600024 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,975

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.96 to $2.98, inclusive. The reporting person undertakes to provide to Ribbon, any security holder of Ribbon, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price with the ranges set forth in this footnote.

SEC source: 0001062993-22-007811 · form4.xml · derivative · entry 5

Bucci Sam · CIK 0001824854 · EVP & GM IP Optical Networks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,411

Underlying: Common Stock · 16,706 shares

Expires not disclosed

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

F1 · derivative.exercise_price: RSUs convert to Common Stock on a one-for-one basis.

F4 · derivative.exercise_date: The RSUs originally vested as to one third on September 15, 2021, and the remaining two-thirds of the RSUs vest in four equal semi-annual installments thereafter through September 15, 2023.

F4 · derivative.expiration_date: The RSUs originally vested as to one third on September 15, 2021, and the remaining two-thirds of the RSUs vest in four equal semi-annual installments thereafter through September 15, 2023.

SEC source: 0001062993-22-007811 · form4.xml · derivative · entry 4

Bucci Sam · CIK 0001824854 · EVP & GM IP Optical Networks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,859

Underlying: Common Stock · 15,931 shares

Expires not disclosed

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

F1 · derivative.exercise_price: RSUs convert to Common Stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSUs vested as to one third on March 15, 2022 and the remaining two-thirds will vest in four equal semi-annual installments thereafter through March 15, 2024.

F3 · derivative.expiration_date: The RSUs vested as to one third on March 15, 2022 and the remaining two-thirds will vest in four equal semi-annual installments thereafter through March 15, 2024.

SEC source: 0001062993-22-007811 · form4.xml · nonDerivative · entry 3

Bucci Sam · CIK 0001824854 · EVP & GM IP Optical Networks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 166,394

F2 · shares: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of the RSUs.

F2 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of the RSUs.

SEC source: 0001062993-22-007811 · form4.xml · nonDerivative · entry 2

Bucci Sam · CIK 0001824854 · EVP & GM IP Optical Networks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,676

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

F4 · shares: The RSUs originally vested as to one third on September 15, 2021, and the remaining two-thirds of the RSUs vest in four equal semi-annual installments thereafter through September 15, 2023.

F1 · price: RSUs convert to Common Stock on a one-for-one basis.

SEC source: 0001062993-22-007811 · form4.xml · nonDerivative · entry 1

Bucci Sam · CIK 0001824854 · EVP & GM IP Optical Networks

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,970

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

F3 · shares: The RSUs vested as to one third on March 15, 2022 and the remaining two-thirds will vest in four equal semi-annual installments thereafter through March 15, 2024.

F1 · price: RSUs convert to Common Stock on a one-for-one basis.

SEC source: 0001062993-22-008056 · form4.xml · derivative · entry 8

Scarfo Anthony · CIK 0001550524 · EVP & GM, Cloud & Edge BU

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,839 shares

Expires not disclosed

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

F6 · derivative.exercise_price: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

F6 · derivative.exercise_date: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

F6 · derivative.expiration_date: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

SEC source: 0001062993-22-008056 · form4.xml · derivative · entry 7

Scarfo Anthony · CIK 0001550524 · EVP & GM, Cloud & Edge BU

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,877

Underlying: Common Stock · 13,940 shares

Expires not disclosed

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

F1 · derivative.exercise_price: RSUs convert into common stock on a one-for-one basis.

F4 · derivative.exercise_date: The RSUs vested as to one-third on March 15, 2022 and the remaining two-thirds will vest in four equal semi-annual installments thereafter through March 15, 2024.

F4 · derivative.expiration_date: The RSUs vested as to one-third on March 15, 2022 and the remaining two-thirds will vest in four equal semi-annual installments thereafter through March 15, 2024.

SEC source: 0001062993-22-008056 · form4.xml · nonDerivative · entry 4

Scarfo Anthony · CIK 0001550524 · EVP & GM, Cloud & Edge BU

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 197,461

F2 · shares: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of the RSUs and/or PSUs.

F2 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of the RSUs and/or PSUs.

SEC source: 0001062993-22-008056 · form4.xml · nonDerivative · entry 3

Scarfo Anthony · CIK 0001550524 · EVP & GM, Cloud & Edge BU

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 214,459

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 · price: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

SEC source: 0001062993-22-008056 · form4.xml · nonDerivative · entry 2

Scarfo Anthony · CIK 0001550524 · EVP & GM, Cloud & Edge BU

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,620

F5 · price: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of financial metrics in each of the 2019, 2020 and 2021 fiscal years establised by the Issuer's Compensation Committee of it's Board of Directors (Compensation Committee) at the time of grant. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited

SEC source: 0001062993-22-008056 · form4.xml · nonDerivative · entry 1

Scarfo Anthony · CIK 0001550524 · EVP & GM, Cloud & Edge BU

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,279

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 · price: RSUs convert into common stock on a one-for-one basis.

SEC source: 0001062993-22-008058 · form4.xml · derivative · entry 8

Bruny Steven M · CIK 0001720723 · EVP Sales, Americas Region

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,839 shares

Expires not disclosed

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

F6 · derivative.exercise_price: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

F6 · derivative.exercise_date: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

F6 · derivative.expiration_date: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

SEC source: 0001062993-22-008058 · form4.xml · derivative · entry 7

Bruny Steven M · CIK 0001720723 · EVP Sales, Americas Region

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,877

Underlying: Common Stock · 13,940 shares

Expires not disclosed

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

F1 · derivative.exercise_price: RSUs convert into common stock on a one-for one basis.

F4 · derivative.exercise_date: The RSU vested as to one-third on March 15, 2022 and the remaining two-thirds will vest in four equal semi-annual installments thereafter through March 15, 2024.

F4 · derivative.expiration_date: The RSU vested as to one-third on March 15, 2022 and the remaining two-thirds will vest in four equal semi-annual installments thereafter through March 15, 2024.

SEC source: 0001062993-22-008058 · form4.xml · nonDerivative · entry 4

Bruny Steven M · CIK 0001720723 · EVP Sales, Americas Region

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,306

F3 · kind: Reflects share of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs and/or PSUs.

F3 · shares: Reflects share of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs and/or PSUs.

SEC source: 0001062993-22-008058 · form4.xml · nonDerivative · entry 3

Bruny Steven M · CIK 0001720723 · EVP Sales, Americas Region

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 277,897

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 · shares: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

F6 · price: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

SEC source: 0001062993-22-008058 · form4.xml · nonDerivative · entry 2

Bruny Steven M · CIK 0001720723 · EVP Sales, Americas Region

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 256,058

F5 · shares: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of financial metrics in each of the 2019, 2020 and 2021 fiscal years establised by the Issuer's Compensation Committee of it's Board of Directors (Compensation Committee) at the time of grant. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

F5 · price: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of financial metrics in each of the 2019, 2020 and 2021 fiscal years establised by the Issuer's Compensation Committee of it's Board of Directors (Compensation Committee) at the time of grant. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

SEC source: 0001062993-22-008058 · form4.xml · nonDerivative · entry 1

Bruny Steven M · CIK 0001720723 · EVP Sales, Americas Region

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 233,717

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

F4 · shares: The RSU vested as to one-third on March 15, 2022 and the remaining two-thirds will vest in four equal semi-annual installments thereafter through March 15, 2024.

F1 · price: RSUs convert into common stock on a one-for one basis.

SEC source: 0001062993-22-008057 · form4.xml · derivative · entry 8

Marmurek Eric S · CIK 0001720721 · SVP, Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,047 shares

Expires not disclosed

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

F6 · derivative.exercise_price: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

F6 · derivative.exercise_date: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

F6 · derivative.expiration_date: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

SEC source: 0001062993-22-008057 · form4.xml · derivative · entry 7

Marmurek Eric S · CIK 0001720721 · SVP, Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,466

Underlying: Common Stock · 8,234 shares

Expires not disclosed

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

F1 · derivative.exercise_price: RSUs convert to Common Stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSU vested as to one third on March 15, 2022 and the remaining two-thirds will vest in four equal semi-annual installments thereafter through March 15, 2024

F3 · derivative.expiration_date: The RSU vested as to one third on March 15, 2022 and the remaining two-thirds will vest in four equal semi-annual installments thereafter through March 15, 2024

SEC source: 0001062993-22-008057 · form4.xml · nonDerivative · entry 4

Marmurek Eric S · CIK 0001720721 · SVP, Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,953

F2 · shares: Reflects shares of Common stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs and/or PSUs.

F2 · price: Reflects shares of Common stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs and/or PSUs.

SEC source: 0001062993-22-008057 · form4.xml · nonDerivative · entry 3

Marmurek Eric S · CIK 0001720721 · SVP, Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 108,339

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

F6 · price: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of the Issuer's total sharholder return (TSR) for the 3-year period ended December 31, 2021 compared to TSR goals established by the Compensation Committee at the time of grant based on the TSR of a group of peer companies identified by the Compensation Committee. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

SEC source: 0001062993-22-008057 · form4.xml · nonDerivative · entry 2

Marmurek Eric S · CIK 0001720721 · SVP, Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 97,292

F5 · price: PSUs that convert to Common Stock on a one-for-one basis based on the achievement of financial metrics in each of the 2019, 2020 and 2021 fiscal years establised by the Issuer's Compensation Committee of it's Board of Directors (Compensation Committee) at the time of grant. The PSUs then vested on March 15, 2022. Any unearned shares were forefeited.

SEC source: 0001062993-22-008057 · form4.xml · nonDerivative · entry 1

Marmurek Eric S · CIK 0001720721 · SVP, Finance & CAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,991

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 · price: RSUs convert to Common Stock on a one-for-one basis.

SEC source: 0001062993-22-007773 · form4.xml · nonDerivative · entry 1

McClelland Bruce William · CIK 0001424201 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,141,963

SEC source: 0001062993-22-007749 · form4.xml · nonDerivative · entry 1

GRAYSON BRUNS H · CIK 0001204899 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,140

SEC source: 0000019617-22-000273 · primary_doc.xml · nonDerivative · entry 1

JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 49,952,254

SEC source: 0000019617-22-000209 · primary_doc.xml · nonDerivative · entry 1

JPMORGAN CHASE & CO · CIK 0000019617 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Through Subsidiary

Disclosed balance after: 49,952,303

SEC source: 0001062993-22-001291 · form4.xml · derivative · entry 3

McCaffery Stephen J. · CIK 0001690129 · EVP EMEAS and APAC Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 73,638 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each RSU represents a contingent right to receive one share of the Issuers common stock. RSUs convert to common stock on a one-for-one basis.

F3 · derivative.exercise_date: The RSU vested in full on January 15, 2022.

F3 · derivative.expiration_date: The RSU vested in full on January 15, 2022.

SEC source: 0001062993-22-001291 · form4.xml · nonDerivative · entry 2

McCaffery Stephen J. · CIK 0001690129 · EVP EMEAS and APAC Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,029

F2 · price: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs.

SEC source: 0001062993-22-001291 · form4.xml · nonDerivative · entry 1

McCaffery Stephen J. · CIK 0001690129 · EVP EMEAS and APAC Sales

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,638

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 · price: Each RSU represents a contingent right to receive one share of the Issuers common stock. RSUs convert to common stock on a one-for-one basis.

SEC source: 0001062993-22-001293 · form4.xml · derivative · entry 3

LOPEZ MIGUEL A · CIK 0001600024 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,778

Underlying: Common Stock · 16,593 shares

Expires not disclosed

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

F1 · derivative.exercise_price: RSUs convert to common stock on a one-for-one basis.

F3 · shares: The RSUs vest over a three-year period as follows: one-third of the restricted stock units vested on July 15, 2021, and the remaining two-thirds of the RSUs shall vest in four equal, semi-annual installments thereafter through July 15, 2023.

F3 · derivative.exercise_date: The RSUs vest over a three-year period as follows: one-third of the restricted stock units vested on July 15, 2021, and the remaining two-thirds of the RSUs shall vest in four equal, semi-annual installments thereafter through July 15, 2023.

F3 · derivative.expiration_date: The RSUs vest over a three-year period as follows: one-third of the restricted stock units vested on July 15, 2021, and the remaining two-thirds of the RSUs shall vest in four equal, semi-annual installments thereafter through July 15, 2023.

SEC source: 0001062993-22-001293 · form4.xml · nonDerivative · entry 2

LOPEZ MIGUEL A · CIK 0001600024 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,975

F2 · shares: Reflects shares of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs.

F4 · balance_after: Reflects correction of typographical error in number of shares forfeited included on Form 4 filed on July 16, 2021. Correct number was 33,940 shares.

SEC source: 0001062993-22-001293 · form4.xml · nonDerivative · entry 1

LOPEZ MIGUEL A · CIK 0001600024 · EVP, CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,070

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 · price: RSUs convert to common stock on a one-for-one basis.

SEC source: 0001062993-21-013323 · form4.xml · derivative · entry 3

Macken Patrick W · CIK 0001641965 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 25,000 shares

Expires not disclosed

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

F1 · derivative.exercise_price: RSUs convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: The RSUs vested as to one-third on June 19, 2020 and the remaining two-thirds of the RSUs vested in four equal semi-annual installments thereafter through June 19, 2023.

F2 · derivative.expiration_date: The RSUs vested as to one-third on June 19, 2020 and the remaining two-thirds of the RSUs vested in four equal semi-annual installments thereafter through June 19, 2023.

SEC source: 0001062993-21-013323 · form4.xml · nonDerivative · entry 2

Macken Patrick W · CIK 0001641965 · EVP, Chief Legal Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,094

F3 · price: Reflects share of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs.

F3 · balance_after: Reflects share of Common Stock withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of RSUs.