RAPP EDWARD J

SEC source: 0001179110-22-000119 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,434

Underlying: Common Stock · 260 shares

Expires not disclosed

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001209191-21-066161 · doc4.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 335,169

F1 · ownership.nature: Shares are held by the Edward Joseph Rapp TTEE U/A DTD 02/07/2005, of which the Reporting Person is trustee.

SEC source: 0001209191-21-064558 · doc4.xml · derivative · entry 2

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,794

Underlying: Common Stock · 31,794 shares

Expires not disclosed

F1 · derivative.exercise_price: The price is N/A.

F1 · price: The price is N/A.

F4 · derivative.exercise_date: The restricted stock units vest on the earlier of (i) the first anniversary of the Grant Date and (ii) the day before the next annual meeting of Xos, Inc. following the Grant Date, subject to such individual's continuous service with Xos, Inc. through the vesting date.

F3 · derivative.expiration_date: Date is N/A.

SEC source: 0001209191-21-064558 · doc4.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,229

Underlying: Common Stock · 57,229 shares

Expires not disclosed

F1 · derivative.exercise_price: The price is N/A.

F1 · price: The price is N/A.

F2 · derivative.exercise_date: The restricted stock units vest in a series of three equal annual installments on each of the first, second and third year anniversaries of the grant date of November 10, 2021 (the "Grant Date"), subject to such individual's continuous service with Xos, Inc. through such vesting date.

F3 · derivative.expiration_date: Date is N/A.

SEC source: 0001179110-21-009162 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,941

Underlying: Common Stock · 326 shares

Expires not disclosed

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001209191-21-054443 · doc4.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 235,169

F1 · price: Represents weighted average purchase price. The shares were purchased at prices ranging from $6.635 to $6.65. The Reporting Person will provide upon request, to the SEC, the Issuer or security holder of the Issuer, full information regarding the number of shares purchased at each separate price.

F2 · ownership.nature: Shares are held by Edward Joseph Rapp TTEE U/A DTD 02/07/2005.

SEC source: 0001209191-21-053171 · doc4.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 230,169

F1 · kind: Received pursuant to the Agreement and Plan of Merger, dated as of February 21, 2021, as amended on May 14, 2021, by and among NextGen Acquisition Corporation ("Acquiror"), Sky Merger Sub I, Inc., a Delaware corporation and wholly owned subsidiary of Acquiror ("Merger Sub") and Xos, Inc. ("Xos"), pursuant to which Merger Sub was merged with and into Xos, whereupon the separate existence of Merger Sub ceased and Xos became the surviving company and continued in existence as a subsidiary of Acquiror, which subsequently changed its name to Xos, Inc. (the "Issuer").

F1 · price: Received pursuant to the Agreement and Plan of Merger, dated as of February 21, 2021, as amended on May 14, 2021, by and among NextGen Acquisition Corporation ("Acquiror"), Sky Merger Sub I, Inc., a Delaware corporation and wholly owned subsidiary of Acquiror ("Merger Sub") and Xos, Inc. ("Xos"), pursuant to which Merger Sub was merged with and into Xos, whereupon the separate existence of Merger Sub ceased and Xos became the surviving company and continued in existence as a subsidiary of Acquiror, which subsequently changed its name to Xos, Inc. (the "Issuer").

F2 · ownership.nature: Shares are held by Edward Joseph Rapp TTEE U/A DTD 02/07/2005.

SEC source: 0001179110-21-007284 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,390

Underlying: Common Stock · 312 shares

Expires not disclosed

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-21-005206 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,163

F1 · shares: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0001179110-21-003954 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,855

Underlying: Common Stock · 325 shares

Expires not disclosed

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-21-000193 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,289

Underlying: Common Stock · 328 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-20-010199 · edgar.xml · derivative · entry 3

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,735

Underlying: Common Stock · 402 shares

Expires not disclosed

F2 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F3 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-20-010199 · edgar.xml · nonDerivative · entry 2

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse in trust

Disclosed balance after: 10,388

F1 · balance_after: The reporting person disclaims beneficial ownership of all securities held by his wife.

SEC source: 0001179110-20-010199 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,482

SEC source: 0001179110-20-007841 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,108

Underlying: Common Stock · 350 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-20-005791 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,995

F1 · shares: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

F1 · price: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0001179110-20-004520 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,530

Underlying: Common Stock · 446 shares

Expires not disclosed

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-20-003102 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By spouse in trust

Disclosed balance after: 2,875

F1 · balance_after: The reporting person disclaims beneficial ownership of these securities.

SEC source: 0001179110-20-000103 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,872

Underlying: Common Stock · 384 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001104659-19-052314 · a4.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,291

Underlying: Common Stock · 449 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-19-008306 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,577

Underlying: Common Stock · 467 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-19-008216 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,662

SEC source: 0001179110-19-005672 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,162

F1 · kind: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

F1 · price: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0001179110-19-004527 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,907

Underlying: Common Stock · 421 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-19-000232 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,296

Underlying: Common Stock · 368 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-18-011830 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,780

Underlying: Common Stock · 359 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-18-009206 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,290

Underlying: Common Stock · 357 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-18-008967 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,743

F1 · balance_after: This Form 4 also updates the number of securities beneficially owned by the reporting person, which was understated on the Forms 4 filed August 2, 2017 and May 7, 2018.

SEC source: 0001179110-18-006409 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,629

F1 · kind: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

F1 · price: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0001179110-18-005007 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,814

Underlying: Common Stock · 346 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-18-000329 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,391

Underlying: Common Stock · 338 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-17-012956 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,971

Underlying: Common Stock · 368 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-17-010981 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,498

SEC source: 0001179110-17-009954 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,498

Underlying: Common Stock · 451 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-17-006929 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,730

F1 · kind: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

F1 · price: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0001179110-17-005606 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,941

Underlying: Common Stock · 502 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-17-000300 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,331

Underlying: Common Stock · 523 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-16-030341 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,720

Underlying: Common Stock · 519 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-16-027685 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,124

Underlying: Common Stock · 531 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-16-024269 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,960

F1 · kind: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

F1 · price: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0001179110-16-022684 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,514

Underlying: Common Stock · 577 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0000018230-16-000436 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,049

Underlying: Common Stock · 114,049 shares

Expires 2026-03-07

F1 · derivative.exercise_date: The stock options were granted pursuant to the Caterpillar Inc. 2014 Long-Term Incentive Plan and vest equally in 1/3 increments beginning on the first anniversary of the grant date.

SEC source: 0001179110-16-017101 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,853

Underlying: Common Stock · 557 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-15-013706 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,234

Underlying: Common Stock · 606 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-15-010805 · edgar.xml · derivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,579

Underlying: Common Stock · 491 shares

Expires not disclosed

F1 · derivative.exercise_price: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.exercise_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F1 · derivative.expiration_date: Director fees credited to a stock equivalent unit account under a grantor trust established by the director and paid, in cash, generally at age 65 or upon retirement from the board. The stock equivalent units earn the same return as if the fees were invested in AbbVie stock.

F2 · balance_after: Balance includes stock equivalent units acquired pursuant to a dividend reinvestment feature.

SEC source: 0001179110-15-007670 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,986

F1 · kind: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

F1 · price: These are restricted stock units awarded under the AbbVie 2013 Incentive Stock Program (the "Program"). They will be paid, on a one-to-one basis, in shares of AbbVie common stock on the earlier of the date of the director's separation from service, death, or the occurrence of a change in control (as defined in the Program).

SEC source: 0000018230-15-000169 · edgar.xml · derivative · entry 5

RAPP EDWARD J · CIK 0001171780 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 332

Underlying: Common Stock · 334 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Each restricted stock unit (RSU) represents the right to receive one share of Caterpillar Inc. common stock upon vesting of such RSUs.

F3 · derivative.exercise_date: RSUs vest in three equal annual installments beginning on May 2, 2014. On May 2, 2015, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock.

F3 · derivative.expiration_date: RSUs vest in three equal annual installments beginning on May 2, 2014. On May 2, 2015, the reporting person's RSUs were settled for an equal number of shares of Caterpillar Inc. common stock.

SEC source: 0000018230-15-000169 · edgar.xml · nonDerivative · entry 3

RAPP EDWARD J · CIK 0001171780 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,315

SEC source: 0000018230-15-000169 · edgar.xml · nonDerivative · entry 1

RAPP EDWARD J · CIK 0001171780 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,850

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: 0000018230-15-000169 · edgar.xml · nonDerivative · entry 2

RAPP EDWARD J · CIK 0001171780 · Group President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,468