RJF

SEC source: 0001225208-21-007970 · doc4.xml · nonDerivative · entry 2

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,900

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.

F4 · price: Reflects the weighted average sale price. The range of prices for such transaction was $135.04 to $136.02.

F3 · balance_after: Includes 51 shares of common stock acquired on March 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan.

SEC source: 0001225208-21-007970 · doc4.xml · nonDerivative · entry 1

Raney Steven M · CIK 0001422342 · President & CEO RJBank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,530

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 $136.05 to $136.08.

F3 · balance_after: Includes 51 shares of common stock acquired on March 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan.

SEC source: 0001225208-21-007544 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,187

SEC source: 0001225208-21-013857 · doc5.xml · nonDerivative · entry 1

JAMES THOMAS A · CIK 0001182775 · Director · Chairman Emeritus

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 108,487

F1 · balance_after: Reports the balance of common stock held prior to the RJF 3-for-2 stock split that occurred on September 21, 2021. After the RJF stock split, the amount of securities beneficially owned indirectly as of September 30, 2021 was 162,730 shares of common stock.

SEC source: 0001225208-21-006706 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,854

SEC source: 0001225208-21-006696 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,200

F1 · kind: The reporting person contributed the registrant's common stock to an exchange fund in exchange for shares of the exchange fund. The registrant's common stock was valued at $123.59 per share for purposes of determining the number of shares of the exchange fund issuable to the reporting person.

F1 · price: The reporting person contributed the registrant's common stock to an exchange fund in exchange for shares of the exchange fund. The registrant's common stock was valued at $123.59 per share for purposes of determining the number of shares of the exchange fund issuable to the reporting person.

SEC source: 0001225208-21-005329 · doc4.xml · nonDerivative · entry 1

Curtis Scott A · CIK 0001601143 · President, PCG

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,039

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 $117.75 to $118.35.

SEC source: 0001225208-21-004646 · doc4.xml · nonDerivative · entry 1

Perry Jodi · CIK 0001751204 · President, ICD for RJFS

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,205

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 $119.45 to $119.51.

F3 · balance_after: Includes 35 shares of common stock acquired on March 2, 2021, pursuant to the registrant's Employee Stock Purchase Plan.

SEC source: 0001225208-21-004777 · doc4.xml · nonDerivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Indirect · UTMA Custodian for Son GT

Disclosed balance after: 750

F4 · balance_after: The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001225208-21-004777 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · UTMA Custodian for Daughter EC

Disclosed balance after: 750

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.

F3 · price: Reflects the weighted average sale price. The range of prices for such transaction was $119.11 to $119.12.

F4 · balance_after: The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001225208-21-004777 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,525

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 $118.64 to $118.98.

SEC source: 0001225208-21-003892 · doc4.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,354

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.

F3 · price: Reflects the weighted average sale price. The range of prices for such transaction was $120.00 to $120.63.

SEC source: 0001225208-21-003938 · doc4.xml · nonDerivative · entry 1

GODBOLD FRANCIS S · CIK 0001182758 · Director · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Indirect · by Francis S. Godbold Family Trust

Disclosed balance after: 134,500

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 $121.22 to $121.65.

SEC source: 0001225208-21-003892 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,354

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 $121.23 to $121.56.

SEC source: 0001225208-21-003893 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,567

SEC source: 0001225208-21-003418 · doc4.xml · nonDerivative · entry 1

Allison Paul D · CIK 0001453440 · Chair, President & CEO RJ Ltd.

10b5-1 filing: Not disclosed

Ownership: Indirect · Rose Allison Holdings Inc.

Disclosed balance after: 13,950

F1 · ownership.nature: A corporation that is wholly owned by the reporting person's spouse. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001225208-21-003314 · doc4.xml · nonDerivative · entry 2

JAMES THOMAS A · CIK 0001182775 · Director · Chairman Emeritus

10b5-1 filing: Not disclosed

Ownership: Indirect · By Robert A. James Trust

Disclosed balance after: 442,754

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.

F4 · price: Reflects the weighted average sale price. The range of prices for such transaction was $116.55 to $117.18.

F3 · balance_after: The reporting person is the trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001225208-21-003276 · doc4.xml · derivative · entry 3

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60 shares

Expires 2021-02-19

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 2/19/2019, 20% on 2/19/2020, and 20% on 2/19/2021.

SEC source: 0001225208-21-003276 · doc4.xml · derivative · entry 2

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,498

Underlying: Common Stock · 215 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, 2022.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2022.

SEC source: 0001225208-21-003276 · doc4.xml · nonDerivative · entry 1

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,566

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: 0001225208-21-003134 · doc4.xml · derivative · entry 3

Seshadri Raj · CIK 0001772738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283

Underlying: Common Stock · 1,481 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: 0001225208-21-003134 · doc4.xml · derivative · entry 2

Seshadri Raj · CIK 0001772738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,764

Underlying: Common Stock · 1,283 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, 2022.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2022.

SEC source: 0001225208-21-003134 · doc4.xml · nonDerivative · entry 1

Seshadri Raj · CIK 0001772738 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,843

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: 0001225208-21-003133 · doc4.xml · derivative · entry 3

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283

Underlying: Common Stock · 1,481 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: 0001225208-21-003133 · doc4.xml · derivative · entry 2

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,764

Underlying: Common Stock · 1,283 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, 2022.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2022.

SEC source: 0001225208-21-003133 · doc4.xml · nonDerivative · entry 1

DUTKOWSKY ROBERT M · CIK 0001247747 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,932

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: 0001225208-21-003114 · doc4.xml · derivative · entry 5

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283

Underlying: Common Stock · 1,727 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.

F4 · 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.

F4 · 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: 0001225208-21-003114 · doc4.xml · derivative · entry 4

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,010

Underlying: Common Stock · 1,283 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.

F3 · derivative.exercise_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2022.

F3 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2022.

SEC source: 0001225208-21-003114 · doc4.xml · nonDerivative · entry 2

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,506

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: 0001225208-21-003129 · doc4.xml · derivative · entry 3

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283

Underlying: Common Stock · 1,481 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: 0001225208-21-003129 · doc4.xml · derivative · entry 2

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,764

Underlying: Common Stock · 1,283 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, 2022.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2022.

SEC source: 0001225208-21-003129 · doc4.xml · nonDerivative · entry 1

Esty Benjamin · CIK 0001325337 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,851

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: 0001225208-21-003314 · doc4.xml · nonDerivative · entry 1

JAMES THOMAS A · CIK 0001182775 · Director · Chairman Emeritus

10b5-1 filing: Not disclosed

Ownership: Indirect · By Robert A. James Trust

Disclosed balance after: 635,146

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 $116.55 to $116.92.

F3 · balance_after: The reporting person is the trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

SEC source: 0001225208-21-003310 · doc4.xml · derivative · entry 3

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283

Underlying: Common Stock · 1,481 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: 0001225208-21-003310 · doc4.xml · derivative · entry 2

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,764

Underlying: Common Stock · 1,283 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, 2022.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2022.

SEC source: 0001225208-21-003310 · doc4.xml · nonDerivative · entry 1

Edwards Jeffrey N · CIK 0001293146 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,551

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: 0001225208-21-003254 · doc4.xml · derivative · entry 1

DEBEL MARLENE · CIK 0001770295 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283

Underlying: Common Stock · 1,283 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, 2022.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2022.

SEC source: 0001225208-21-003255 · doc4.xml · derivative · entry 3

von Arentschildt Charles · CIK 0001648867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283

Underlying: Common Stock · 1,481 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: 0001225208-21-003255 · doc4.xml · derivative · entry 2

von Arentschildt Charles · CIK 0001648867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,764

Underlying: Common Stock · 1,283 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, 2022.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2022.

SEC source: 0001225208-21-003255 · doc4.xml · nonDerivative · entry 1

von Arentschildt Charles · CIK 0001648867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,429

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: 0001225208-21-003253 · doc4.xml · derivative · entry 3

STORY SUSAN N · CIK 0001233549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283

Underlying: Common Stock · 1,481 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: 0001225208-21-003253 · doc4.xml · derivative · entry 2

STORY SUSAN N · CIK 0001233549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,764

Underlying: Common Stock · 1,283 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, 2022.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2022.

SEC source: 0001225208-21-003253 · doc4.xml · nonDerivative · entry 1

STORY SUSAN N · CIK 0001233549 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,408.532

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: 0001225208-21-003252 · doc4.xml · derivative · entry 3

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283

Underlying: Common Stock · 1,481 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: 0001225208-21-003252 · doc4.xml · derivative · entry 2

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,764

Underlying: Common Stock · 1,283 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, 2022.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2022.

SEC source: 0001225208-21-003252 · doc4.xml · nonDerivative · entry 1

MCGEARY RODERICK C · CIK 0001206884 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,891

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: 0001225208-21-003251 · doc4.xml · derivative · entry 3

Gates Anne · CIK 0001660111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,283

Underlying: Common Stock · 1,481 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: 0001225208-21-003251 · doc4.xml · derivative · entry 2

Gates Anne · CIK 0001660111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,764

Underlying: Common Stock · 1,283 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, 2022.

F2 · derivative.expiration_date: The award will vest at the date of the next succeeding annual shareholders meeting, but no later than March 15, 2022.

SEC source: 0001225208-21-003251 · doc4.xml · nonDerivative · entry 1

Gates Anne · CIK 0001660111 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,887

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: 0001225208-21-003114 · doc4.xml · derivative · entry 3

Johnson Gordon L · CIK 0001500125 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60

Underlying: Common Stock · 60 shares

Expires 2022-02-17

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.

F2 · derivative.exercise_date: Restricted Stock Units vested 60% on 2/17/2020, 20% on 2/17/2021, and will vest 20% on 2/17/2022.