RJF

SEC source: 0001225208-23-010425 · doc4.xml · nonDerivative · entry 2

Bunn James E · CIK 0001706890 · Pres-GlobEq&Inv Banking-RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,296

SEC source: 0001225208-23-010425 · doc4.xml · nonDerivative · entry 1

Bunn James E · CIK 0001706890 · Pres-GlobEq&Inv Banking-RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,886

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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-23-010424 · doc4.xml · derivative · entry 4

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 900

Underlying: Common Stock · 900 shares

Expires 2024-11-22

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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: RSUs vested 60% on 11/22/2022, 20% on 11/22/2023, and will vest 20% on 11/22/2024.

SEC source: 0001225208-23-010424 · doc4.xml · nonDerivative · entry 2

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,600

SEC source: 0001225208-23-010424 · doc4.xml · nonDerivative · entry 1

Aisenbrey Christopher S · CIK 0001913663 · Chief Human Resources Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,819

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.

F1 · price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-23-010607 · doc4.xml · nonDerivative · entry 1

Dowdle Jeffrey A · CIK 0001541020 · COO & Head of Asset Mgmt.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 44,422

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-23-010606 · doc4.xml · nonDerivative · entry 1

REILLY PAUL C · CIK 0001240439 · Director · Chair & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 310,125

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-23-010605 · doc4.xml · nonDerivative · entry 1

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 173,704

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-23-010604 · doc4.xml · nonDerivative · entry 1

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 56,964

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-23-010600 · doc4.xml · nonDerivative · entry 1

JAMES THOMAS A · CIK 0001182775 · Director · Chairman Emeritus

10b5-1 filing: No plan indicated

Ownership: Indirect · By Thomas A. James Family Rev Trust

Disclosed balance after: 17,605,833

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on December 15, 2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-23-010603 · doc4.xml · nonDerivative · entry 1

Catanese George · CIK 0001340350 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,218

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-23-010595 · doc4.xml · nonDerivative · entry 1

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,825

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-23-010590 · doc4.xml · nonDerivative · entry 1

Santelli Jonathan N · CIK 0001672865 · EVP, Gen Counsel, Secy

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,542

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-23-010589 · doc4.xml · derivative · entry 6

Oorlog Jonathan W JR · CIK 0001825440 · SVP & Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,396

Underlying: Common Stock · 2,396 shares

Expires 2028-11-30

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: RSUs vest 60% on 11/30/2026, 20% on 11/30/2027, and 20% on 11/30/2028.

SEC source: 0001225208-23-010562 · doc4.xml · nonDerivative · entry 1

Allaire Bella Loykhter · CIK 0001537767 · Executive Vice President-RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,840

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-23-010563 · doc4.xml · nonDerivative · entry 1

Bunn James E · CIK 0001706890 · Pres-GlobEq&Inv Banking-RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,149

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-23-010561 · doc4.xml · nonDerivative · entry 1

Shoukry Paul M · CIK 0001798349 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,405

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-23-010560 · doc4.xml · nonDerivative · entry 1

Elwyn Tashtego S · CIK 0001601145 · CEO & President - RJA

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,907

F1 · shares: Vesting of Performance Restricted Stock Units (PRSUs) granted on 12/15/2020. The PRSU grant was adjusted to reflect the stock split that occurred on September 21, 2021.

SEC source: 0001225208-23-010159 · doc4.xml · nonDerivative · entry 1

Dowdle Jeffrey A · CIK 0001541020 · COO & Head of Asset Mgmt.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,270

F1 · kind: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.

F2 · price: Reflects the weighted average sale price. The range of prices for such transaction was $99.40 to $99.48.

SEC source: 0001225208-23-010020 · doc4.xml · nonDerivative · entry 1

Shoukry Paul M · CIK 0001798349 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,700

SEC source: 0001225208-23-009107 · doc4.xml · derivative · entry 2

Coulter James Robert Edward · CIK 0001902845 · Director & CEO, RJ Ltd.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,203 shares

Expires 2023-09-30

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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-23-009107 · doc4.xml · nonDerivative · entry 1

Coulter James Robert Edward · CIK 0001902845 · Director & CEO, RJ Ltd.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,510

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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-23-007917 · doc4.xml · nonDerivative · entry 1

Santelli Jonathan N · CIK 0001672865 · EVP, Gen Counsel, Secy

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,820

SEC source: 0001225208-23-007867 · doc4.xml · nonDerivative · entry 1

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 19,515

F1 · kind: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.

F2 · price: Reflects the weighted average sale price. The range of prices for such transaction was $109.01 to $109.28.

SEC source: 0001225208-23-006763 · doc4.xml · nonDerivative · entry 1

Carter Horace · CIK 0001902821 · President, Fixed Income

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 23,268

SEC source: 0001225208-23-006632 · doc4.xml · nonDerivative · entry 1

Dowdle Jeffrey A · CIK 0001541020 · COO & Head of Asset Mgmt.

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,314

F1 · kind: The reporting person effected multiple same-way open market sale transactions on the same day at different prices through a trade order executed by a broker-dealer. The reporting person has reported on a single line all such transactions that occurred within a one dollar price range. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer or a shareholder of the issuer, full information regarding the number of shares sold at each separate price.

F2 · price: Reflects the weighted average sale price. The range of prices for such transaction was $96.35 to $96.40.

SEC source: 0001225208-23-004803 · doc4.xml · derivative · entry 1

MCDANIEL RAYMOND W · CIK 0001195306 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,846

Underlying: Common Stock · 1,846 shares

Expires 2024-04-10

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-23-004802 · doc4.xml · derivative · entry 1

GARCIA ART A · CIK 0001183585 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,846

Underlying: Common Stock · 1,846 shares

Expires 2024-04-10

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-23-002889 · doc4.xml · derivative · entry 3

Seshadri Raj · CIK 0001772738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,643

Underlying: Common Stock · 1,683 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-23-002889 · doc4.xml · derivative · entry 2

Seshadri Raj · CIK 0001772738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,326

Underlying: Common Stock · 1,643 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

SEC source: 0001225208-23-002889 · doc4.xml · nonDerivative · entry 1

Seshadri Raj · CIK 0001772738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,872

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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-23-002888 · doc4.xml · derivative · entry 3

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,643

Underlying: Common Stock · 1,683 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-23-002888 · doc4.xml · derivative · entry 2

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,326

Underlying: Common Stock · 1,643 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

SEC source: 0001225208-23-002888 · doc4.xml · nonDerivative · entry 1

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,934

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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-23-002887 · doc4.xml · derivative · entry 3

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,643

Underlying: Common Stock · 1,683 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-23-002887 · doc4.xml · derivative · entry 2

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,326

Underlying: Common Stock · 1,643 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

SEC source: 0001225208-23-002887 · doc4.xml · nonDerivative · entry 1

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,506

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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-23-002851 · doc4.xml · derivative · entry 3

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,643

Underlying: Common Stock · 1,683 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-23-002851 · doc4.xml · derivative · entry 2

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,326

Underlying: Common Stock · 1,643 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

SEC source: 0001225208-23-002851 · doc4.xml · nonDerivative · entry 1

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,444

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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-23-002850 · doc4.xml · derivative · entry 3

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,643

Underlying: Common Stock · 1,683 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-23-002850 · doc4.xml · derivative · entry 2

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,326

Underlying: Common Stock · 1,643 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

SEC source: 0001225208-23-002850 · doc4.xml · nonDerivative · entry 1

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,884

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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

SEC source: 0001225208-23-002849 · doc4.xml · derivative · entry 9

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,281

Underlying: Common Stock · 1,683 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-23-002849 · doc4.xml · derivative · entry 8

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,964

Underlying: Common Stock · 327 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-23-002849 · doc4.xml · derivative · entry 7

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,291

Underlying: Common Stock · 164 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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F3 · derivative.exercise_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

F3 · derivative.expiration_date: The award vested in accordance with its terms, which provided for vesting at the date of the next succeeding annual shareholders meeting following the grant date, but no later than March 15 of the calendar year following grant.

SEC source: 0001225208-23-002849 · doc4.xml · derivative · entry 6

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,455

Underlying: Common Stock · 319 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

SEC source: 0001225208-23-002849 · doc4.xml · derivative · entry 5

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,136

Underlying: Common Stock · 319 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

SEC source: 0001225208-23-002849 · doc4.xml · derivative · entry 4

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,817

Underlying: Common Stock · 1,643 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.

F2 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2024.

SEC source: 0001225208-23-002849 · doc4.xml · nonDerivative · entry 3

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,361

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 Restricted Stock Unit (RSU) represents a contingent right to receive, upon vesting of the award: (i) one share of common stock, and (ii) accrued cash in lieu of dividends.