THG

SEC source: 0000944695-20-000015 · edgar.xml · nonDerivative · entry 1

Welzenbach Mark Joseph · CIK 0001576903 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,024.705

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: 0000944695-20-000013 · edgar.xml · derivative · entry 6

Welzenbach Mark Joseph · CIK 0001576903 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,065

Underlying: Common Stock · 6,065 shares

Expires 2027-02-24

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.

F4 · derivative.exercise_date: The option, representing the right to purchase a total of 17,840 shares, vested 1/3 on each of 2/24/18 and 2/24/19, and the remaining third will vest on 2/24/20.

SEC source: 0000944695-20-000013 · edgar.xml · derivative · entry 5

Welzenbach Mark Joseph · CIK 0001576903 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,318

Underlying: Common Stock · 3,700 shares

Expires 2026-02-23

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

F3 · derivative.exercise_date: The option, representing the right to purchase a total of 14,464 shares, vested 1/3 on each of 2/23/17, 2/23/18 and 2/23/19.

SEC source: 0000944695-20-000013 · edgar.xml · nonDerivative · entry 4

Welzenbach Mark Joseph · CIK 0001576903 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,706.705

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold at multiple prices ranging from $138.21 to $139.12. The Reporting Person undertakes to provide THG, any security holder of THG, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

SEC source: 0000944695-20-000013 · edgar.xml · nonDerivative · entry 3

Welzenbach Mark Joseph · CIK 0001576903 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,771.705

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: 0000944695-20-000013 · edgar.xml · nonDerivative · entry 2

Welzenbach Mark Joseph · CIK 0001576903 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,706.705

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold at multiple prices ranging from $138.68 to $139.465. The Reporting Person undertakes to provide The Hanover Insurance Group, Inc. ("THG"), any security holder of THG, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

SEC source: 0000944695-20-000013 · edgar.xml · nonDerivative · entry 1

Welzenbach Mark Joseph · CIK 0001576903 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,406.705

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: 0000944695-20-000010 · edgar.xml · derivative · entry 4

BARNES WARREN E. · CIK 0001269358 · SVP & Princpl. Accntg. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 675

Underlying: Common Stock · 1,348 shares

Expires 2027-02-24

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.

F3 · derivative.exercise_date: The option, representing the right to purchase a total of 2,023 shares, vested 1/3 on each of 2/24/18, 2/24/19, and the remaining third will vest on 2/24/20.

SEC source: 0000944695-20-000010 · edgar.xml · nonDerivative · entry 3

BARNES WARREN E. · CIK 0001269358 · SVP & Princpl. Accntg. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,357.723

F2 · price: The price reported in Column 4 is a weighted average price. The shares were sold at multiple prices ranging from $139.53 to $139.99. The Reporting Person undertakes to provide THG, any security holder of THG, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

SEC source: 0000944695-20-000010 · edgar.xml · nonDerivative · entry 2

BARNES WARREN E. · CIK 0001269358 · SVP & Princpl. Accntg. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,533.723

F1 · price: The price reported in Column 4 is a weighted average price. The shares were sold at multiple prices ranging from $138.21 to $139.18. The Reporting Person undertakes to provide The Hanover Insurance Group, Inc. ("THG"), any security holder of THG, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

SEC source: 0000944695-20-000010 · edgar.xml · nonDerivative · entry 1

BARNES WARREN E. · CIK 0001269358 · SVP & Princpl. Accntg. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,705.723

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: 0000944695-20-000008 · edgar.xml · nonDerivative · entry 2

Egan Cynthia · CIK 0001584240 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,981

F1 · kind: Change of ownership from indirect to direct pursuant to the terms of a deferral agreement for stock previously awarded (but deferred) under the Issuer's 2014 Long-Term Incentive Plan.

F1 · price: Change of ownership from indirect to direct pursuant to the terms of a deferral agreement for stock previously awarded (but deferred) under the Issuer's 2014 Long-Term Incentive Plan.

SEC source: 0000944695-20-000008 · edgar.xml · nonDerivative · entry 1

Egan Cynthia · CIK 0001584240 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferral Agreement

Disclosed balance after: 0

F1 · kind: Change of ownership from indirect to direct pursuant to the terms of a deferral agreement for stock previously awarded (but deferred) under the Issuer's 2014 Long-Term Incentive Plan.

F1 · price: Change of ownership from indirect to direct pursuant to the terms of a deferral agreement for stock previously awarded (but deferred) under the Issuer's 2014 Long-Term Incentive Plan.

SEC source: 0000944695-20-000006 · edgar.xml · nonDerivative · entry 2

KNOX WENDELL J · CIK 0001227468 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,463

F1 · kind: Change of ownership from indirect to direct pursuant to the terms of a deferral agreement for stock previously awarded (but deferred) under the Issuer's 2014 Long-Term Incentive Plan.

F1 · price: Change of ownership from indirect to direct pursuant to the terms of a deferral agreement for stock previously awarded (but deferred) under the Issuer's 2014 Long-Term Incentive Plan.

SEC source: 0000944695-20-000006 · edgar.xml · nonDerivative · entry 1

KNOX WENDELL J · CIK 0001227468 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferral Agreement

Disclosed balance after: 2,252

F1 · kind: Change of ownership from indirect to direct pursuant to the terms of a deferral agreement for stock previously awarded (but deferred) under the Issuer's 2014 Long-Term Incentive Plan.

F1 · price: Change of ownership from indirect to direct pursuant to the terms of a deferral agreement for stock previously awarded (but deferred) under the Issuer's 2014 Long-Term Incentive Plan.

SEC source: 0000944695-20-000004 · edgar.xml · nonDerivative · entry 2

CONDRON P KEVIN · CIK 0001234730 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,039

F1 · kind: Change of ownership from indirect to direct pursuant to the terms of a deferral agreement for stock previously awarded (but deferred) under the Issuer's 2014 Long-Term Incentive Plan.

F1 · price: Change of ownership from indirect to direct pursuant to the terms of a deferral agreement for stock previously awarded (but deferred) under the Issuer's 2014 Long-Term Incentive Plan.

SEC source: 0000944695-20-000004 · edgar.xml · nonDerivative · entry 1

CONDRON P KEVIN · CIK 0001234730 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferral Agreement

Disclosed balance after: 2,495

F1 · kind: Change of ownership from indirect to direct pursuant to the terms of a deferral agreement for stock previously awarded (but deferred) under the Issuer's 2014 Long-Term Incentive Plan.

F1 · price: Change of ownership from indirect to direct pursuant to the terms of a deferral agreement for stock previously awarded (but deferred) under the Issuer's 2014 Long-Term Incentive Plan.

SEC source: 0000944695-20-000002 · edgar.xml · nonDerivative · entry 1

Tripp Ann Kirkpatrick · CIK 0001737843 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,806.199

F1 · kind: Purchase of shares pursuant to The Hanover Insurance Group Inc.'s 2014 Employee Stock Purchase Plan.

SEC source: 0000944695-19-000211 · edgar.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,621.324

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units originally granted on March 5, 2019 as a result of the payment of a $2.50 special dividend on December 27, 2019 to all shareholders of record on December 16, 2019 (the "Special Dividend") and the payment of the company's regular quarterly dividend on the same date. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

F2 · balance_after: Includes 23 shares acquired by an automatic adjustment to previously granted time-based restricted stock unit awards on December 13, 2019 pursuant to the terms specified in the awards to reflect the Special Dividend.

F3 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0000944695-19-000215 · edgar.xml · nonDerivative · entry 1

Welzenbach Mark Joseph · CIK 0001576903 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,706.705

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units originally granted on March 5, 2019 as a result of the payment of a $2.50 special dividend on December 27, 2019 to all shareholders of record on December 16, 2019 (the "Special Dividend") and the payment of the company's regular quarterly dividend on the same date. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

SEC source: 0000944695-19-000209 · edgar.xml · nonDerivative · entry 1

Berthiaume Mark Leo · CIK 0001625927 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,965.696

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units originally granted on March 5, 2019 as a result of the payment of a $2.50 special dividend on December 27, 2019 to all shareholders of record on December 16, 2019 (the "Special Dividend") and the payment of the company's regular quarterly dividend on the same date. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

SEC source: 0000944695-19-000213 · edgar.xml · nonDerivative · entry 1

LAVEY RICHARD W · CIK 0001275977 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,681.6

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units originally granted on March 5, 2019 as a result of the payment of a $2.50 special dividend on December 27, 2019 to all shareholders of record on December 16, 2019 (the "Special Dividend") and the payment of the company's regular quarterly dividend on the same date. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

SEC source: 0000944695-19-000207 · edgar.xml · nonDerivative · entry 1

Tripp Ann Kirkpatrick · CIK 0001737843 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,728.199

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units originally granted on February 27, 2018 and March 5, 2019 as a result of the payment of a $2.50 special dividend on December 27, 2019 to all shareholders of record on December 16, 2019 (the "Special Dividend") and the payment of the company's regular quarterly dividend on the same date. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

F2 · balance_after: Includes 35 shares acquired by an automatic adjustment to previously granted time-based restricted stock unit awards on December 13, 2019 pursuant to the terms specified in the awards to reflect the Special Dividend.

SEC source: 0000944695-19-000205 · edgar.xml · nonDerivative · entry 1

Salvatore Bryan J · CIK 0001709075 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,120.644

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units originally granted on March 5, 2019 as a result of the payment of a $2.50 special dividend on December 27, 2019 to all shareholders of record on December 16, 2019 and the payment of the company's regular quarterly dividend on the same date. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

SEC source: 0000944695-19-000201 · edgar.xml · nonDerivative · entry 1

FARBER JEFFREY M · CIK 0001275634 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,163.096

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units originally granted on March 5, 2019 as a result of the payment of a $2.50 special dividend on December 27, 2019 to all shareholders of record on December 16, 2019 (the "Special Dividend") and the payment of the company's regular quarterly dividend on the same date. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

SEC source: 0000944695-19-000203 · edgar.xml · nonDerivative · entry 1

HUBER J KENDALL · CIK 0001227471 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,285.496

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units originally granted on March 5, 2019 as a result of the payment of a $2.50 special dividend on December 27, 2019 to all shareholders of record on December 16, 2019 (the "Special Dividend") and the payment of the company's regular quarterly dividend on the same date. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

F2 · balance_after: Does not include 1,320 shares held indirectly in a Rabbi Trust pursuant to deferral agreements.

SEC source: 0000944695-19-000199 · edgar.xml · nonDerivative · entry 1

BARNES WARREN E. · CIK 0001269358 · SVP & Princpl. Accntg. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,357.723

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units originally granted on February 27, 2018 and March 5, 2019 as a result of the payment of a $2.50 special dividend on December 27, 2019 to all shareholders of record on December 16, 2019 (the "Special Dividend") and the company's quarterly dividend. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

F2 · balance_after: Includes 16 shares acquired by an automatic adjustment to previously granted time-based restricted stock unit awards on December 13, 2019 pursuant to the terms specified in the awards to reflect the Special Dividend.

SEC source: 0000944695-19-000196 · edgar.xml · derivative · entry 7

Salvatore Bryan J · CIK 0001709075 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,774

Underlying: Common Stock · 634 shares

Expires 2027-06-12

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 · kind: Exercise of options and subsequent sale of shares were effected pursuant to a Rule 10b5-1 Trading Plan.

F5 · derivative.exercise_date: A third of the award vested on each of the first two anniversaries of the date of grant, and the remaining third will vest on the third anniversary of the date of grant.

SEC source: 0000944695-19-000196 · edgar.xml · nonDerivative · entry 2

Salvatore Bryan J · CIK 0001709075 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,093.659

F1 · kind: Exercise of options and subsequent sale of shares were effected pursuant to a Rule 10b5-1 Trading Plan.

SEC source: 0000944695-19-000196 · edgar.xml · nonDerivative · entry 1

Salvatore Bryan J · CIK 0001709075 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,727.659

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 · kind: Exercise of options and subsequent sale of shares were effected pursuant to a Rule 10b5-1 Trading Plan.

SEC source: 0000944695-19-000189 · edgar.xml · nonDerivative · entry 1

FARBER JEFFREY M · CIK 0001275634 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,091.933

F1 · kind: Represents shares that were forfeited to pay withholding taxes upon the vesting of restricted stock units that were previously granted by the Issuer.

SEC source: 0000944695-19-000181 · edgar.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,470.755

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0000944695-19-000171 · edgar.xml · nonDerivative · entry 1

BARNES WARREN E. · CIK 0001269358 · SVP & Princpl. Accntg. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,308.304

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

SEC source: 0000944695-19-000187 · edgar.xml · nonDerivative · entry 1

Welzenbach Mark Joseph · CIK 0001576903 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,682.156

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

SEC source: 0000944695-19-000185 · edgar.xml · nonDerivative · entry 1

Tripp Ann Kirkpatrick · CIK 0001737843 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,640.405

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

SEC source: 0000944695-19-000183 · edgar.xml · nonDerivative · entry 1

Salvatore Bryan J · CIK 0001709075 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,093.659

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

SEC source: 0000944695-19-000179 · edgar.xml · nonDerivative · entry 1

LAVEY RICHARD W · CIK 0001275977 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,649.696

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

SEC source: 0000944695-19-000177 · edgar.xml · nonDerivative · entry 1

HUBER J KENDALL · CIK 0001227471 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,246.237

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

F2 · balance_after: Does not include 1,320 shares held indirectly in a Rabbi Trust pursuant to deferral agreements.

SEC source: 0000944695-19-000175 · edgar.xml · nonDerivative · entry 1

FARBER JEFFREY M · CIK 0001275634 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,984.933

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

SEC source: 0000944695-19-000173 · edgar.xml · nonDerivative · entry 1

Berthiaume Mark Leo · CIK 0001625927 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,942.389

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

SEC source: 0000944695-19-000169 · edgar.xml · derivative · entry 3

Salvatore Bryan J · CIK 0001709075 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,096

Underlying: Common Stock · 688 shares

Expires 2027-06-12

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 · kind: Exercise of options and subsequent sale of shares were effected pursuant to a Rule 10b5-1 Trading Plan.

F2 · derivative.exercise_date: The option, representing the right to purchase a total of 19,339 shares, vested 1/3 on each of 6/12/2018 and 6/12/2019, and the remaining 1/3 will vest on 6/12/2020.

SEC source: 0000944695-19-000169 · edgar.xml · nonDerivative · entry 2

Salvatore Bryan J · CIK 0001709075 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,088.47

F1 · kind: Exercise of options and subsequent sale of shares were effected pursuant to a Rule 10b5-1 Trading Plan.

SEC source: 0000944695-19-000169 · edgar.xml · nonDerivative · entry 1

Salvatore Bryan J · CIK 0001709075 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,776.47

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 · kind: Exercise of options and subsequent sale of shares were effected pursuant to a Rule 10b5-1 Trading Plan.

SEC source: 0000944695-19-000166 · edgar.xml · nonDerivative · entry 5

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 7,652

F3 · kind: Change of ownership from direct to indirect as a result of a transfer of shares to his spouse for estate planning purposes.

SEC source: 0000944695-19-000166 · edgar.xml · nonDerivative · entry 4

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,446.222

F3 · kind: Change of ownership from direct to indirect as a result of a transfer of shares to his spouse for estate planning purposes.

SEC source: 0000944695-19-000166 · edgar.xml · derivative · entry 6

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,039 shares

Expires 2021-02-28

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 · kind: Mr. Roche "net exercised" 13,039 options. The options were granted to Mr. Roche in 2011, and were scheduled to expire ten years after issuance. A total of 8,258 shares were withheld by the Company to satisfy the exercise price and taxes associated with the exercise, resulting in a net issuance of 4,781 shares to, and held by, Mr. Roche.

F4 · derivative.exercise_date: The option vested 50% on 2/28/14, and the remaining 50% vested on 2/28/15.

SEC source: 0000944695-19-000166 · edgar.xml · nonDerivative · entry 3

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,098.222

F2 · kind: Mr. Roche "net exercised" 13,039 options. The options were granted to Mr. Roche in 2011, and were scheduled to expire ten years after issuance. A total of 8,258 shares were withheld by the Company to satisfy the exercise price and taxes associated with the exercise, resulting in a net issuance of 4,781 shares to, and held by, Mr. Roche.

SEC source: 0000944695-19-000166 · edgar.xml · nonDerivative · entry 2

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,356.222

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 · kind: Mr. Roche "net exercised" 13,039 options. The options were granted to Mr. Roche in 2011, and were scheduled to expire ten years after issuance. A total of 8,258 shares were withheld by the Company to satisfy the exercise price and taxes associated with the exercise, resulting in a net issuance of 4,781 shares to, and held by, Mr. Roche.

SEC source: 0000944695-19-000166 · edgar.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,317.222

F1 · kind: Charitable gift of shares.

SEC source: 0000944695-19-000164 · edgar.xml · nonDerivative · entry 1

HUBER J KENDALL · CIK 0001227471 · Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,238.687

F1 · balance_after: Does not include 1,320 shares held indirectly in a Rabbi Trust pursuant to a deferral agreement.