SIRI

SEC source: 0001225208-17-013068 · doc4.xml · nonDerivative · entry 1

FREAR DAVID J · CIK 0001207459 · Senior EVP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,258,371

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

SEC source: 0001225208-17-013067 · doc4.xml · derivative · entry 7

Greenstein Scott Andrew · CIK 0001289201 · Pres. & Chief Content Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,499,340 shares

Expires 2023-07-25

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

SEC source: 0001225208-17-013067 · doc4.xml · derivative · entry 6

Greenstein Scott Andrew · CIK 0001289201 · Pres. & Chief Content Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,203,734

Underlying: Common Stock · 3,601,868 shares

Expires 2026-05-24

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

SEC source: 0001225208-17-013067 · doc4.xml · nonDerivative · entry 4

Greenstein Scott Andrew · CIK 0001289201 · Pres. & Chief Content Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 975,339

F2 · price: Represents the exercise price of the stock option referenced in Table II and associated taxes which was paid by way of the withholding by the Company of shares with a value equal to the exercise price and such taxes.

SEC source: 0001225208-17-013067 · doc4.xml · nonDerivative · entry 3

Greenstein Scott Andrew · CIK 0001289201 · Pres. & Chief Content Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,710,497

F1 · price: Represents the weighted average sales price for the price increments ranging from $5.75 to $5.87. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001225208-17-013067 · doc4.xml · nonDerivative · entry 2

Greenstein Scott Andrew · CIK 0001289201 · Pres. & Chief Content Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,320,731

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

SEC source: 0001225208-17-013067 · doc4.xml · nonDerivative · entry 1

Greenstein Scott Andrew · CIK 0001289201 · Pres. & Chief Content Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,718,863

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

SEC source: 0001225208-17-013066 · doc4.xml · derivative · entry 5

Altman Dara F · CIK 0001348133 · EVP & Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700,320

Underlying: Common Stock · 3,400,642 shares

Expires 2025-06-19

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.

SEC source: 0001225208-17-013066 · doc4.xml · nonDerivative · entry 3

Altman Dara F · CIK 0001348133 · EVP & Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 119,209

F2 · price: Represents the exercise price of the stock option referenced in Table II and associated taxes which was paid by way of the withholding by the Company of shares with a value equal to the exercise price and such taxes.

SEC source: 0001225208-17-013066 · doc4.xml · nonDerivative · entry 2

Altman Dara F · CIK 0001348133 · EVP & Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,019,915

F1 · price: Represents the weighted average sales price for the price increments ranging from $5.75 to $5.86. The Reporting Person undertakes to provide, upon request by the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001225208-17-013066 · doc4.xml · nonDerivative · entry 1

Altman Dara F · CIK 0001348133 · EVP & Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,624,840

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

SEC source: 0001225208-17-011528 · doc4.xml · nonDerivative · entry 1

Altman Dara F · CIK 0001348133 · EVP & Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 224,198

F1 · shares: Represents the surrender of common stock to the Company to cover withholding taxes upon the vesting of restricted stock units.

SEC source: 0001225208-17-011118 · doc4.xml · derivative · entry 4

HOLDEN JAMES P · CIK 0001233398 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 45,962 shares

Expires 2017-08-15

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: Stock options were set to expire on 8/15/17, ten years from date of grant.

SEC source: 0001225208-17-011118 · doc4.xml · nonDerivative · entry 3

HOLDEN JAMES P · CIK 0001233398 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,273

F1 · price: Represents the exercise price of the stock option referenced in Table II which was paid by way of the withholding by the Company of shares with a value equal to the exercise price.

SEC source: 0001225208-17-011118 · doc4.xml · nonDerivative · entry 2

HOLDEN JAMES P · CIK 0001233398 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 194,758

SEC source: 0001225208-17-011118 · doc4.xml · nonDerivative · entry 1

HOLDEN JAMES P · CIK 0001233398 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 216,235

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

SEC source: 0001225208-17-010724 · doc4.xml · nonDerivative · entry 1

HOLDEN JAMES P · CIK 0001233398 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,273

F1 · shares: On May 31, 2017, Sirius XM Holdings Inc. ("Sirius XM") paid a cash dividend of $0.01 per share on each share of its outstanding common stock. The dividend was payable to all holders of Sirius XM's common stock on the record date, May 10, 2017. Pursuant to the terms of the agreement governing the outstanding restricted stock units held by the filer, the filer received certain additional restricted stock units as a result of this cash dividend. These restricted stock units are shown on page 1 of this Form 4. These additional units are subject to the same conditions regarding vesting and settlement as the underlying restricted stock units to which they relate.

SEC source: 0001225208-17-010733 · doc4.xml · nonDerivative · entry 1

Verbrugge Joseph A · CIK 0001660799 · EVP, Sales and Development

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 322,389

F1 · shares: On May 31, 2017, Sirius XM Holdings Inc. ("Sirius XM") paid a cash dividend of $0.01 per share on each share of its outstanding common stock. The dividend was payable to all holders of Sirius XM's common stock on the record date, May 10, 2017. Pursuant to the terms of the agreement governing the outstanding restricted stock units held by the filer, the filer received certain additional restricted stock units as a result of this cash dividend. These restricted stock units are shown on page 1 of this Form 4. These additional units are subject to the same conditions regarding vesting and settlement as the underlying restricted stock units to which they relate.

SEC source: 0001225208-17-010732 · doc4.xml · nonDerivative · entry 1

Thomson Katherine Kohler · CIK 0001592472 · EVP, Chief Marketing Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 539,022

F1 · shares: On May 31, 2017, Sirius XM Holdings Inc. ("Sirius XM") paid a cash dividend of $0.01 per share on each share of its outstanding common stock. The dividend was payable to all holders of Sirius XM's common stock on the record date, May 10, 2017. Pursuant to the terms of the agreement governing the outstanding restricted stock units held by the filer, the filer received certain additional restricted stock units as a result of this cash dividend. These restricted stock units are shown on page 1 of this Form 4. These additional units are subject to the same conditions regarding vesting and settlement as the underlying restricted stock units to which they relate.

SEC source: 0001225208-17-010731 · doc4.xml · nonDerivative · entry 1

Greenstein Scott Andrew · CIK 0001289201 · Pres. & Chief Content Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,219,523

F1 · shares: On May 31, 2017, Sirius XM Holdings Inc. ("Sirius XM") paid a cash dividend of $0.01 per share on each share of its outstanding common stock. The dividend was payable to all holders of Sirius XM's common stock on the record date, May 10, 2017. Pursuant to the terms of the agreement governing the outstanding restricted stock units held by the filer, the filer received certain additional restricted stock units as a result of this cash dividend. These restricted stock units are shown on page 1 of this Form 4. These additional units are subject to the same conditions regarding vesting and settlement as the underlying restricted stock units to which they relate.

SEC source: 0001225208-17-010730 · doc4.xml · nonDerivative · entry 1

DONNELLY PATRICK L · CIK 0001233121 · EVP, General Counsel & Sec.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 754,130

F1 · shares: On May 31, 2017, Sirius XM Holdings Inc. ("Sirius XM") paid a cash dividend of $0.01 per share on each share of its outstanding common stock. The dividend was payable to all holders of Sirius XM's common stock on the record date, May 10, 2017. Pursuant to the terms of the agreement governing the outstanding restricted stock units held by the filer, the filer received certain additional restricted stock units as a result of this cash dividend. These restricted stock units are shown on page 1 of this Form 4. These additional units are subject to the same conditions regarding vesting and settlement as the underlying restricted stock units to which they relate.

SEC source: 0001225208-17-010729 · doc4.xml · nonDerivative · entry 1

COOK STEPHEN · CIK 0001268619 · EVP, Sales and Automotive

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,320,833

F1 · shares: On May 31, 2017, Sirius XM Holdings Inc. ("Sirius XM") paid a cash dividend of $0.01 per share on each share of its outstanding common stock. The dividend was payable to all holders of Sirius XM's common stock on the record date, May 10, 2017. Pursuant to the terms of the agreement governing the outstanding restricted stock units held by the filer, the filer received certain additional restricted stock units as a result of this cash dividend. These restricted stock units are shown on page 1 of this Form 4. These additional units are subject to the same conditions regarding vesting and settlement as the underlying restricted stock units to which they relate.

SEC source: 0001225208-17-010728 · doc4.xml · nonDerivative · entry 1

Cady James Arthur · CIK 0001646942 · EVP, Product and Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342,983

F1 · shares: On May 31, 2017, Sirius XM Holdings Inc. ("Sirius XM") paid a cash dividend of $0.01 per share on each share of its outstanding common stock. The dividend was payable to all holders of Sirius XM's common stock on the record date, May 10, 2017. Pursuant to the terms of the agreement governing the outstanding restricted stock units held by the filer, the filer received certain additional restricted stock units as a result of this cash dividend. These restricted stock units are shown on page 1 of this Form 4. These additional units are subject to the same conditions regarding vesting and settlement as the underlying restricted stock units to which they relate.

SEC source: 0001225208-17-010727 · doc4.xml · nonDerivative · entry 1

Altman Dara F · CIK 0001348133 · EVP & Chief Admin. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,742

F1 · shares: On May 31, 2017, Sirius XM Holdings Inc. ("Sirius XM") paid a cash dividend of $0.01 per share on each share of its outstanding common stock. The dividend was payable to all holders of Sirius XM's common stock on the record date, May 10, 2017. Pursuant to the terms of the agreement governing the outstanding restricted stock units held by the filer, the filer received certain additional restricted stock units as a result of this cash dividend. These restricted stock units are shown on page 1 of this Form 4. These additional units are subject to the same conditions regarding vesting and settlement as the underlying restricted stock units to which they relate.

SEC source: 0001225208-17-010726 · doc4.xml · nonDerivative · entry 1

MEYER JAMES E · CIK 0001247499 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,902,830

F1 · shares: On May 31, 2017, Sirius XM Holdings Inc. ("Sirius XM") paid a cash dividend of $0.01 per share on each share of its outstanding common stock. The dividend was payable to all holders of Sirius XM's common stock on the record date, May 10, 2017. Pursuant to the terms of the agreement governing the outstanding restricted stock units held by the filer, the filer received certain additional restricted stock units as a result of this cash dividend. These restricted stock units are shown on page 1 of this Form 4. These additional units are subject to the same conditions regarding vesting and settlement as the underlying restricted stock units to which they relate.

SEC source: 0001225208-17-010725 · doc4.xml · nonDerivative · entry 1

MOONEY JAMES · CIK 0001240253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,461

F1 · shares: On May 31, 2017, Sirius XM Holdings Inc. ("Sirius XM") paid a cash dividend of $0.01 per share on each share of its outstanding common stock. The dividend was payable to all holders of Sirius XM's common stock on the record date, May 10, 2017. Pursuant to the terms of the agreement governing the outstanding restricted stock units held by the filer, the filer received certain additional restricted stock units as a result of this cash dividend. These restricted stock units are shown on page 1 of this Form 4. These additional units are subject to the same conditions regarding vesting and settlement as the underlying restricted stock units to which they relate.

SEC source: 0001225208-17-010723 · doc4.xml · nonDerivative · entry 1

BARRY THOMAS D · CIK 0001182130 · Senior VP & Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 257,886

F1 · shares: On May 31, 2017, Sirius XM Holdings Inc. ("Sirius XM") paid a cash dividend of $0.01 per share on each share of its outstanding common stock. The dividend was payable to all holders of Sirius XM's common stock on the record date, May 10, 2017. Pursuant to the terms of the agreement governing the outstanding restricted stock units held by the filer, the filer received certain additional restricted stock units as a result of this cash dividend. These restricted stock units are shown on page 1 of this Form 4. These additional units are subject to the same conditions regarding vesting and settlement as the underlying restricted stock units to which they relate.

SEC source: 0001225208-17-010360 · doc4.xml · nonDerivative · entry 1

Greenstein Scott Andrew · CIK 0001289201 · Pres. & Chief Content Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,216,610

F1 · shares: Represents the surrender of common stock to the Company to cover withholding taxes upon the vesting of restricted stock units.

SEC source: 0001225208-17-010212 · doc4.xml · derivative · entry 2

Zaslav David · CIK 0001318285 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,600

Underlying: Common Stock · 36,600 shares

Expires 2027-05-19

F2 · shares: Options will vest as follows: 12,200 - 5/19/18; 12,200 - 5/19/19 and 12,200 - 5/19/20.

SEC source: 0001225208-17-010212 · doc4.xml · nonDerivative · entry 1

Zaslav David · CIK 0001318285 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,098

F1 · shares: Restricted Stock Units will vest as follows: 4,458 - 5/19/18; 4,458 - 5/19/19 and 4,458 - 5/19/20.

SEC source: 0001225208-17-010211 · doc4.xml · derivative · entry 2

WITTMAN VANESSA AMES · CIK 0001229265 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,600

Underlying: Common Stock · 36,600 shares

Expires 2027-05-19

F2 · shares: Options will vest as follows: 12,200 - 5/19/18; 12,200 - 5/19/19 and 12,200 - 5/19/20.

SEC source: 0001225208-17-010211 · doc4.xml · nonDerivative · entry 1

WITTMAN VANESSA AMES · CIK 0001229265 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,098

F1 · shares: Restricted Stock Units will vest as follows: 4,458 - 5/19/18; 4,458 - 5/19/19 and 4,458 - 5/19/20.

SEC source: 0001225208-17-010210 · doc4.xml · derivative · entry 2

VOGEL CARL E · CIK 0001118042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,600

Underlying: Common Stock · 36,600 shares

Expires 2027-05-19

F2 · shares: Options will vest as follows: 12,200 - 5/19/18; 12,200 - 5/19/19 and 12,200 - 5/19/20.

SEC source: 0001225208-17-010210 · doc4.xml · nonDerivative · entry 1

VOGEL CARL E · CIK 0001118042 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,098

F1 · shares: Restricted Stock Units will vest as follows: 4,458 - 5/19/18; 4,458 - 5/19/19 and 4,458 - 5/19/20.

SEC source: 0001225208-17-010209 · doc4.xml · derivative · entry 3

MOONEY JAMES · CIK 0001240253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,600

Underlying: Common Stock · 36,600 shares

Expires 2027-05-19

F2 · shares: Options will vest as follows: 12,200 - 5/19/18; 12,200 - 5/19/19 and 12,200 - 5/19/20.

SEC source: 0001225208-17-010209 · doc4.xml · nonDerivative · entry 1

MOONEY JAMES · CIK 0001240253 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,273

F1 · shares: Restricted Stock Units will vest as follows: 4,458 - 5/19/18; 4,458 - 5/19/19 and 4,458 - 5/19/20.

SEC source: 0001225208-17-010208 · doc4.xml · derivative · entry 2

MALONE EVAN DANIEL · CIK 0001442645 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,600

Underlying: Common Stock · 36,600 shares

Expires 2027-05-19

F2 · shares: Options will vest as follows: 12,200 - 5/19/18; 12,200 - 5/19/19 and 12,200 - 5/19/20.

SEC source: 0001225208-17-010208 · doc4.xml · nonDerivative · entry 1

MALONE EVAN DANIEL · CIK 0001442645 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,098

F1 · shares: Restricted Stock Units will vest as follows: 4,458 - 5/19/18; 4,458 - 5/19/19 and 4,458 - 5/19/20.

SEC source: 0001225208-17-010207 · doc4.xml · derivative · entry 2

MAFFEI GREGORY B · CIK 0001099636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,600

Underlying: Common Stock · 36,600 shares

Expires 2027-05-19

F2 · shares: Options will vest as follows: 12,200 - 5/19/18; 12,200 - 5/19/19 and 12,200 - 5/19/20.

SEC source: 0001225208-17-010207 · doc4.xml · nonDerivative · entry 1

MAFFEI GREGORY B · CIK 0001099636 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,098

F1 · shares: Restricted Stock Units will vest as follows: 4,458 - 5/19/18; 4,458 - 5/19/19 and 4,458 - 5/19/20.

SEC source: 0001225208-17-010206 · doc4.xml · derivative · entry 2

HOLDEN JAMES P · CIK 0001233398 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,600

Underlying: Common Stock · 36,600 shares

Expires 2027-05-19

F2 · shares: Options will vest as follows: 12,200 - 5/19/18; 12,200 - 5/19/19 and 12,200 - 5/19/20.

SEC source: 0001225208-17-010206 · doc4.xml · nonDerivative · entry 1

HOLDEN JAMES P · CIK 0001233398 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,985

F1 · shares: Restricted Stock Units will vest as follows: 4,458 - 5/19/18; 4,458 - 5/19/19 and 4,458 - 5/19/20.

SEC source: 0001225208-17-010205 · doc4.xml · derivative · entry 2

HARTENSTEIN EDDY W · CIK 0001142524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,600

Underlying: Common Stock · 36,600 shares

Expires 2027-05-19

F2 · shares: Options will vest as follows: 12,200 - 5/19/18; 12,200 - 5/19/19 and 12,200 - 5/19/20.

SEC source: 0001225208-17-010205 · doc4.xml · nonDerivative · entry 1

HARTENSTEIN EDDY W · CIK 0001142524 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,098

F1 · shares: Restricted Stock Units will vest as follows: 4,458 - 5/19/18; 4,458 - 5/19/19 and 4,458 - 5/19/20.

SEC source: 0001225208-17-010204 · doc4.xml · derivative · entry 2

Carleton Mark D · CIK 0001434339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,600

Underlying: Common Stock · 36,600 shares

Expires 2027-05-19

F2 · shares: Options will vest as follows: 12,200 - 5/19/18; 12,200 - 5/19/19 and 12,200 - 5/19/20.

SEC source: 0001225208-17-010204 · doc4.xml · nonDerivative · entry 1

Carleton Mark D · CIK 0001434339 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,098

F1 · shares: Restricted Stock Units will vest as follows: 4,458 - 5/19/18; 4,458 - 5/19/19 and 4,458 - 5/19/20.

SEC source: 0001225208-17-010203 · doc4.xml · derivative · entry 2

Bodenheimer George Ward · CIK 0001580358 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,600

Underlying: Common Stock · 36,600 shares

Expires 2027-05-19

F2 · shares: Options will vest as follows: 12,200 - 5/19/18; 12,200 - 5/19/19 and 12,200 - 5/19/20.

SEC source: 0001225208-17-010203 · doc4.xml · nonDerivative · entry 1

Bodenheimer George Ward · CIK 0001580358 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,098

F1 · shares: Restricted Stock Units will vest as follows: 4,458 - 5/19/18; 4,458 - 5/19/19 and 4,458 - 5/19/20.

SEC source: 0001225208-17-010202 · doc4.xml · derivative · entry 2

AMBLE JOAN LORDI · CIK 0001274252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,600

Underlying: Common Stock · 36,600 shares

Expires 2027-05-19

F2 · shares: Options will vest as follows: 12,200 - 5/19/18; 12,200 - 5/19/19 and 12,200 - 5/19/20.

SEC source: 0001225208-17-010202 · doc4.xml · nonDerivative · entry 1

AMBLE JOAN LORDI · CIK 0001274252 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,098

F1 · shares: Restricted Stock Units will vest as follows: 4,458 - 5/19/18; 4,458 - 5/19/19 and 4,458 - 5/19/20.