KLEINFELD KLAUS

SEC source: 0001213900-23-006160 · ownership.xml · derivative · entry 2

KLEINFELD KLAUS · CIK 0001268014 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Ordinary Shares · 77,789 shares

Expires not disclosed

F2 · security: Each Private Placement Warrant is exercisable to purchase one Class A ordinary share of the Issuer ("Class A Share") at an exercise price of $11.50 per share. As described in the Registration Statement, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's initial public offering ("IPO"), except that the Private Placement Warrants, (i) will not be redeemable by the Issuer, except as described in the Registration Statement, (ii) may not (including the Class A Shares issuable upon exercise of such warrants), subject to certain limited exceptions, be transferred, assigned or sold by until 30 days after the completion of the Issuer's initial business combination, (iii) may be exercised by the holders on a cashless basis and (iv) will be entitled to registration rights.

F4 · security: On March 18, 2022, the Reporting Person acquired 77,789 Private Placement Warrants from Niklas Einsfeld. On January 26, 2023, the Reporting Person transferred the 77,789 Private Placement Warrants to Constellation Sponsor LP, an affiliate of the Issuer.

F2 · derivative.exercise_price: Each Private Placement Warrant is exercisable to purchase one Class A ordinary share of the Issuer ("Class A Share") at an exercise price of $11.50 per share. As described in the Registration Statement, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's initial public offering ("IPO"), except that the Private Placement Warrants, (i) will not be redeemable by the Issuer, except as described in the Registration Statement, (ii) may not (including the Class A Shares issuable upon exercise of such warrants), subject to certain limited exceptions, be transferred, assigned or sold by until 30 days after the completion of the Issuer's initial business combination, (iii) may be exercised by the holders on a cashless basis and (iv) will be entitled to registration rights.

F4 · shares: On March 18, 2022, the Reporting Person acquired 77,789 Private Placement Warrants from Niklas Einsfeld. On January 26, 2023, the Reporting Person transferred the 77,789 Private Placement Warrants to Constellation Sponsor LP, an affiliate of the Issuer.

F4 · price: On March 18, 2022, the Reporting Person acquired 77,789 Private Placement Warrants from Niklas Einsfeld. On January 26, 2023, the Reporting Person transferred the 77,789 Private Placement Warrants to Constellation Sponsor LP, an affiliate of the Issuer.

F2 · derivative.exercise_date: Each Private Placement Warrant is exercisable to purchase one Class A ordinary share of the Issuer ("Class A Share") at an exercise price of $11.50 per share. As described in the Registration Statement, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's initial public offering ("IPO"), except that the Private Placement Warrants, (i) will not be redeemable by the Issuer, except as described in the Registration Statement, (ii) may not (including the Class A Shares issuable upon exercise of such warrants), subject to certain limited exceptions, be transferred, assigned or sold by until 30 days after the completion of the Issuer's initial business combination, (iii) may be exercised by the holders on a cashless basis and (iv) will be entitled to registration rights.

F2 · derivative.expiration_date: Each Private Placement Warrant is exercisable to purchase one Class A ordinary share of the Issuer ("Class A Share") at an exercise price of $11.50 per share. As described in the Registration Statement, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's initial public offering ("IPO"), except that the Private Placement Warrants, (i) will not be redeemable by the Issuer, except as described in the Registration Statement, (ii) may not (including the Class A Shares issuable upon exercise of such warrants), subject to certain limited exceptions, be transferred, assigned or sold by until 30 days after the completion of the Issuer's initial business combination, (iii) may be exercised by the holders on a cashless basis and (iv) will be entitled to registration rights.

SEC source: 0001213900-23-006160 · ownership.xml · derivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · By Kleinfeld Constellation Investment LLC

Disclosed balance after: 0

Underlying: Class A Ordinary Shares · 1,530,511 shares

Expires not disclosed

F1 · security: Pursuant to that certain Private Placement Warrants Purchase Agreement, dated January 26, 2021, by and between the Issuer and the undersigned parties thereto, Kleinfeld Constellation Investment, LLC acquired from the Issuer 1,530,511 warrants of the Issuer (each, a "Private Placement Warrant") for an aggregate purchase price of $2,295,766.50, as described in the Issuer's Registration Statement on Form S-1 (File No. 333-251974) filed with the Securities and Exchange Commission on January 22, 2021 (the "Registration Statement"). On January 26, 2023, the Reporting Person transferred the 1,530,511 Private Placement Warrants to Constellation Sponsor LP, an affiliate of the Issuer.

F2 · security: Each Private Placement Warrant is exercisable to purchase one Class A ordinary share of the Issuer ("Class A Share") at an exercise price of $11.50 per share. As described in the Registration Statement, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's initial public offering ("IPO"), except that the Private Placement Warrants, (i) will not be redeemable by the Issuer, except as described in the Registration Statement, (ii) may not (including the Class A Shares issuable upon exercise of such warrants), subject to certain limited exceptions, be transferred, assigned or sold by until 30 days after the completion of the Issuer's initial business combination, (iii) may be exercised by the holders on a cashless basis and (iv) will be entitled to registration rights.

F2 · derivative.exercise_price: Each Private Placement Warrant is exercisable to purchase one Class A ordinary share of the Issuer ("Class A Share") at an exercise price of $11.50 per share. As described in the Registration Statement, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's initial public offering ("IPO"), except that the Private Placement Warrants, (i) will not be redeemable by the Issuer, except as described in the Registration Statement, (ii) may not (including the Class A Shares issuable upon exercise of such warrants), subject to certain limited exceptions, be transferred, assigned or sold by until 30 days after the completion of the Issuer's initial business combination, (iii) may be exercised by the holders on a cashless basis and (iv) will be entitled to registration rights.

F1 · shares: Pursuant to that certain Private Placement Warrants Purchase Agreement, dated January 26, 2021, by and between the Issuer and the undersigned parties thereto, Kleinfeld Constellation Investment, LLC acquired from the Issuer 1,530,511 warrants of the Issuer (each, a "Private Placement Warrant") for an aggregate purchase price of $2,295,766.50, as described in the Issuer's Registration Statement on Form S-1 (File No. 333-251974) filed with the Securities and Exchange Commission on January 22, 2021 (the "Registration Statement"). On January 26, 2023, the Reporting Person transferred the 1,530,511 Private Placement Warrants to Constellation Sponsor LP, an affiliate of the Issuer.

F1 · price: Pursuant to that certain Private Placement Warrants Purchase Agreement, dated January 26, 2021, by and between the Issuer and the undersigned parties thereto, Kleinfeld Constellation Investment, LLC acquired from the Issuer 1,530,511 warrants of the Issuer (each, a "Private Placement Warrant") for an aggregate purchase price of $2,295,766.50, as described in the Issuer's Registration Statement on Form S-1 (File No. 333-251974) filed with the Securities and Exchange Commission on January 22, 2021 (the "Registration Statement"). On January 26, 2023, the Reporting Person transferred the 1,530,511 Private Placement Warrants to Constellation Sponsor LP, an affiliate of the Issuer.

F2 · derivative.exercise_date: Each Private Placement Warrant is exercisable to purchase one Class A ordinary share of the Issuer ("Class A Share") at an exercise price of $11.50 per share. As described in the Registration Statement, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's initial public offering ("IPO"), except that the Private Placement Warrants, (i) will not be redeemable by the Issuer, except as described in the Registration Statement, (ii) may not (including the Class A Shares issuable upon exercise of such warrants), subject to certain limited exceptions, be transferred, assigned or sold by until 30 days after the completion of the Issuer's initial business combination, (iii) may be exercised by the holders on a cashless basis and (iv) will be entitled to registration rights.

F2 · derivative.expiration_date: Each Private Placement Warrant is exercisable to purchase one Class A ordinary share of the Issuer ("Class A Share") at an exercise price of $11.50 per share. As described in the Registration Statement, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's initial public offering ("IPO"), except that the Private Placement Warrants, (i) will not be redeemable by the Issuer, except as described in the Registration Statement, (ii) may not (including the Class A Shares issuable upon exercise of such warrants), subject to certain limited exceptions, be transferred, assigned or sold by until 30 days after the completion of the Issuer's initial business combination, (iii) may be exercised by the holders on a cashless basis and (iv) will be entitled to registration rights.

F3 · ownership.nature: The Reporting Person controls Kleinfeld Constellation Investment LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0000950103-21-001671 · dp145555_4-kleinfeld.xml · derivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Kleinfeld Constellation Investment LLC

Disclosed balance after: 1,530,511

Underlying: Class A Ordinary Shares · 1,530,511 shares

Expires not disclosed

F1 · security: 1. Pursuant to that certain Private Placement Warrants Purchase Agreement, dated January 26, 2021, by and between the Issuer and the undersigned parties thereto, Kleinfeld Constellation Investment, LLC acquired from the Issuer 1,530,511 warrants of the Issuer (each, a "Private Placement Warrant") for an aggregate purchase price of $2,295,766.50, as described in the Issuer's Registration Statement on Form S-1 (File No. 333-251974) filed with the Securities and Exchange Commission on January 22, 2021 (the "Registration Statement").

F2 · security: 2. Each Private Placement Warrant is exercisable to purchase one Class A ordinary share of the Issuer ("Class A Share") at an exercise price of $11.50 per share. As described in the Registration Statement, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's initial public offering ("IPO"), except that the Private Placement Warrants, (i) will not be redeemable by the Issuer, except as described in the Registration Statement, (ii) may not (including the Class A Shares issuable upon exercise of such warrants), subject to certain limited exceptions, be transferred, assigned or sold by until 30 days after the completion of the Issuer's initial business combination, (iii) may be exercised by the holders on a cashless basis and (iv) will be entitled to registration rights.

F2 · derivative.exercise_price: 2. Each Private Placement Warrant is exercisable to purchase one Class A ordinary share of the Issuer ("Class A Share") at an exercise price of $11.50 per share. As described in the Registration Statement, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's initial public offering ("IPO"), except that the Private Placement Warrants, (i) will not be redeemable by the Issuer, except as described in the Registration Statement, (ii) may not (including the Class A Shares issuable upon exercise of such warrants), subject to certain limited exceptions, be transferred, assigned or sold by until 30 days after the completion of the Issuer's initial business combination, (iii) may be exercised by the holders on a cashless basis and (iv) will be entitled to registration rights.

F1 · shares: 1. Pursuant to that certain Private Placement Warrants Purchase Agreement, dated January 26, 2021, by and between the Issuer and the undersigned parties thereto, Kleinfeld Constellation Investment, LLC acquired from the Issuer 1,530,511 warrants of the Issuer (each, a "Private Placement Warrant") for an aggregate purchase price of $2,295,766.50, as described in the Issuer's Registration Statement on Form S-1 (File No. 333-251974) filed with the Securities and Exchange Commission on January 22, 2021 (the "Registration Statement").

F1 · price: 1. Pursuant to that certain Private Placement Warrants Purchase Agreement, dated January 26, 2021, by and between the Issuer and the undersigned parties thereto, Kleinfeld Constellation Investment, LLC acquired from the Issuer 1,530,511 warrants of the Issuer (each, a "Private Placement Warrant") for an aggregate purchase price of $2,295,766.50, as described in the Issuer's Registration Statement on Form S-1 (File No. 333-251974) filed with the Securities and Exchange Commission on January 22, 2021 (the "Registration Statement").

F2 · derivative.exercise_date: 2. Each Private Placement Warrant is exercisable to purchase one Class A ordinary share of the Issuer ("Class A Share") at an exercise price of $11.50 per share. As described in the Registration Statement, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's initial public offering ("IPO"), except that the Private Placement Warrants, (i) will not be redeemable by the Issuer, except as described in the Registration Statement, (ii) may not (including the Class A Shares issuable upon exercise of such warrants), subject to certain limited exceptions, be transferred, assigned or sold by until 30 days after the completion of the Issuer's initial business combination, (iii) may be exercised by the holders on a cashless basis and (iv) will be entitled to registration rights.

F3 · derivative.exercise_date: 3. The Private Placement Warrants will expire upon the 24-month anniversary of the closing of the Issuer's IPO if the Issuer's initial business combination has not been completed prior to such date.

F2 · derivative.expiration_date: 2. Each Private Placement Warrant is exercisable to purchase one Class A ordinary share of the Issuer ("Class A Share") at an exercise price of $11.50 per share. As described in the Registration Statement, the Private Placement Warrants are identical to the warrants sold in connection with the Issuer's initial public offering ("IPO"), except that the Private Placement Warrants, (i) will not be redeemable by the Issuer, except as described in the Registration Statement, (ii) may not (including the Class A Shares issuable upon exercise of such warrants), subject to certain limited exceptions, be transferred, assigned or sold by until 30 days after the completion of the Issuer's initial business combination, (iii) may be exercised by the holders on a cashless basis and (iv) will be entitled to registration rights.

F3 · derivative.expiration_date: 3. The Private Placement Warrants will expire upon the 24-month anniversary of the closing of the Issuer's IPO if the Issuer's initial business combination has not been completed prior to such date.

F4 · ownership.nature: 4. The Reporting Person controls Kleinfeld Constellation Investment LLC. The Reporting Person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

SEC source: 0001179706-17-000118 · edgar.xml · derivative · entry 2

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,853

Underlying: Common Stock · 11,853 shares

Expires not disclosed

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: The reporting person elected to defer the receipt of common stock until the termination of his service as a member of the Issuer's Board of Directors.

F4 · shares: On 04/21/17 the reporting person was granted 11,853 restricted stock units ("RSUs"), all of which will cliff vest on the earlier of 04/21/18 or the date of Issuer's 2018 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The RSUs that cliff vest will be deferred as noted in footnote (2) above.

F4 · price: On 04/21/17 the reporting person was granted 11,853 restricted stock units ("RSUs"), all of which will cliff vest on the earlier of 04/21/18 or the date of Issuer's 2018 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The RSUs that cliff vest will be deferred as noted in footnote (2) above.

F4 · derivative.exercise_date: On 04/21/17 the reporting person was granted 11,853 restricted stock units ("RSUs"), all of which will cliff vest on the earlier of 04/21/18 or the date of Issuer's 2018 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The RSUs that cliff vest will be deferred as noted in footnote (2) above.

F4 · derivative.expiration_date: On 04/21/17 the reporting person was granted 11,853 restricted stock units ("RSUs"), all of which will cliff vest on the earlier of 04/21/18 or the date of Issuer's 2018 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The RSUs that cliff vest will be deferred as noted in footnote (2) above.

SEC source: 0001179706-17-000118 · edgar.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,773

F1 · price: These shares were issued to the reporting person pursuant to the Issuer's 2015 Stock Incentive Plan in lieu of additional meeting fees of $3,000 for Issuer's Board Year 2016.

SEC source: 0001179706-17-000052 · edgar.xml · derivative · entry 2

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,253 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which cliff vested on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. The number of RSUs that vested is an estimated amount, subject to change due to the vesting triggered during the Issuer's ex-dividend trading period prior to its spin-off of Everett SpinCo, Inc. on 04/01/17. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 84 vested dividend equivalent rights and a de minimus adjustment of 0.5258 due to fractional rounding of the dividend equivalent rights.

F2 · price: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which cliff vested on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. The number of RSUs that vested is an estimated amount, subject to change due to the vesting triggered during the Issuer's ex-dividend trading period prior to its spin-off of Everett SpinCo, Inc. on 04/01/17. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 84 vested dividend equivalent rights and a de minimus adjustment of 0.5258 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.exercise_date: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which cliff vested on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. The number of RSUs that vested is an estimated amount, subject to change due to the vesting triggered during the Issuer's ex-dividend trading period prior to its spin-off of Everett SpinCo, Inc. on 04/01/17. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 84 vested dividend equivalent rights and a de minimus adjustment of 0.5258 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.expiration_date: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which cliff vested on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. The number of RSUs that vested is an estimated amount, subject to change due to the vesting triggered during the Issuer's ex-dividend trading period prior to its spin-off of Everett SpinCo, Inc. on 04/01/17. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 84 vested dividend equivalent rights and a de minimus adjustment of 0.5258 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-17-000052 · edgar.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,362

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: 0001179706-17-000117 · edgar.xml · derivative · entry 2

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,499 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which cliff vested on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. The number of RSUs that vested was an estimated amount, subject to change due to the vesting triggered during the Issuer's ex-dividend trading period prior to its spin-off of Everett SpinCo, Inc. on 04/01/17. The number of RSUs reported in this amendment reflects that conversion adjustment. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 110 vested dividend equivalent rights and a de minimus adjustment of 0.5258 due to fractional rounding of the dividend equivalent rights.

F2 · price: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which cliff vested on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. The number of RSUs that vested was an estimated amount, subject to change due to the vesting triggered during the Issuer's ex-dividend trading period prior to its spin-off of Everett SpinCo, Inc. on 04/01/17. The number of RSUs reported in this amendment reflects that conversion adjustment. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 110 vested dividend equivalent rights and a de minimus adjustment of 0.5258 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.exercise_date: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which cliff vested on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. The number of RSUs that vested was an estimated amount, subject to change due to the vesting triggered during the Issuer's ex-dividend trading period prior to its spin-off of Everett SpinCo, Inc. on 04/01/17. The number of RSUs reported in this amendment reflects that conversion adjustment. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 110 vested dividend equivalent rights and a de minimus adjustment of 0.5258 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.expiration_date: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which cliff vested on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. The number of RSUs that vested was an estimated amount, subject to change due to the vesting triggered during the Issuer's ex-dividend trading period prior to its spin-off of Everett SpinCo, Inc. on 04/01/17. The number of RSUs reported in this amendment reflects that conversion adjustment. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 110 vested dividend equivalent rights and a de minimus adjustment of 0.5258 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-17-000117 · edgar.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,608

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: 0001179706-17-000018 · edgar.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,109

F1 · price: These shares were issued to the reporting person pursuant to the Issuer's 2015 Stock Incentive Plan in lieu of Q4 cash retainer and chairman fees of $12,500 for Issuer's Board Year 2016.

SEC source: 0000004281-17-000023 · edgar.xml · nonDerivative · entry 3

KLEINFELD KLAUS · CIK 0001268014 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 918,498

F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3.

SEC source: 0000004281-17-000023 · edgar.xml · nonDerivative · entry 2

KLEINFELD KLAUS · CIK 0001268014 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 960,440

F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3.

SEC source: 0000004281-17-000023 · edgar.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 994,302

F1 · shares: Represents payment of tax liability by delivering or withholding shares incident to the vesting of a stock award issued in accordance with Rule 16b-3.

SEC source: 0000004281-17-000015 · edgar.xml · derivative · entry 5

KLEINFELD KLAUS · CIK 0001268014 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 287,540

Underlying: Common Stock · 287,540 shares

Expires 2027-01-13

F5 · price: Employee stock options are granted without payment of consideration.

F4 · derivative.exercise_date: The option vests in three equal annual installments beginning January 13, 2018.

SEC source: 0000004281-17-000015 · edgar.xml · nonDerivative · entry 3

KLEINFELD KLAUS · CIK 0001268014 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,053,067

F1 · balance_after: On October 5, 2016, the Issuer effected a 1-for-3 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F2 · balance_after: On November 1, 2016, the Issuer completed the separation of its business into two independent, publicly-traded companies (the "Separation"): the Issuer and Alcoa Corporation. In connection with the Separation, and pursuant to the terms of an Employee Matters Agreement dated October 31, 2016, by and between the Issuer and Alcoa Corporation (the "Employee Matters Agreement"), all equity awards held by the reporting person with respect to the Issuer's common stock were adjusted in a manner intended to preserve the aggregate intrinsic value of the original award. The amount of securities reported on this Form 4 reflect the aforementioned adjustment.

SEC source: 0000004281-17-000015 · edgar.xml · nonDerivative · entry 2

KLEINFELD KLAUS · CIK 0001268014 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 901,625

F1 · balance_after: On October 5, 2016, the Issuer effected a 1-for-3 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F2 · balance_after: On November 1, 2016, the Issuer completed the separation of its business into two independent, publicly-traded companies (the "Separation"): the Issuer and Alcoa Corporation. In connection with the Separation, and pursuant to the terms of an Employee Matters Agreement dated October 31, 2016, by and between the Issuer and Alcoa Corporation (the "Employee Matters Agreement"), all equity awards held by the reporting person with respect to the Issuer's common stock were adjusted in a manner intended to preserve the aggregate intrinsic value of the original award. The amount of securities reported on this Form 4 reflect the aforementioned adjustment.

SEC source: 0000004281-17-000015 · edgar.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director · Chairman and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 830,274

F1 · balance_after: On October 5, 2016, the Issuer effected a 1-for-3 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F2 · balance_after: On November 1, 2016, the Issuer completed the separation of its business into two independent, publicly-traded companies (the "Separation"): the Issuer and Alcoa Corporation. In connection with the Separation, and pursuant to the terms of an Employee Matters Agreement dated October 31, 2016, by and between the Issuer and Alcoa Corporation (the "Employee Matters Agreement"), all equity awards held by the reporting person with respect to the Issuer's common stock were adjusted in a manner intended to preserve the aggregate intrinsic value of the original award. The amount of securities reported on this Form 4 reflect the aforementioned adjustment.

SEC source: 0001179706-17-000018 · edgar.xml · derivative · entry 2

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,252.4742

Underlying: Common Stock · 28.187 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F3 · shares: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which will cliff vest on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 28.1870 dividend equivalent rights at $23.45 per RSU credited to the reporting person's account on 01/04/17.

F3 · price: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which will cliff vest on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 28.1870 dividend equivalent rights at $23.45 per RSU credited to the reporting person's account on 01/04/17.

F3 · derivative.exercise_date: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which will cliff vest on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 28.1870 dividend equivalent rights at $23.45 per RSU credited to the reporting person's account on 01/04/17.

F3 · derivative.expiration_date: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which will cliff vest on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 28.1870 dividend equivalent rights at $23.45 per RSU credited to the reporting person's account on 01/04/17.

SEC source: 0001179706-16-000534 · edgar.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,562

F1 · price: These shares were issued to the reporting person pursuant to the Issuer's 2015 Stock Incentive Plan in lieu of Q3 cash retainer and chairman fees of $12,500 for Issuer's Board Year 2016.

SEC source: 0001179706-16-000534 · edgar.xml · derivative · entry 2

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,224.2872

Underlying: Common Stock · 24.8907 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F3 · shares: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which will cliff vest on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 24.8907 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16.

F3 · price: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which will cliff vest on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 24.8907 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16.

F3 · derivative.exercise_date: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which will cliff vest on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 24.8907 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16.

F3 · derivative.expiration_date: As previously reported, on 04/25/16 the reporting person was granted 10,169 restricted stock units ("RSUs"), all of which will cliff vest on the earlier of 04/25/17 or the date of Issuer's 2017 Annual Stockholders Meeting. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 24.8907 dividend equivalent rights at $22.47 per RSU credited to the reporting person's account on 10/31/16.

SEC source: 0001209191-16-156477 · doc4.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,952.165

SEC source: 0001209191-16-121688 · doc4.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,166.489

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-15-045402 · doc4.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,121.285

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-14-034333 · doc4.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,306.557

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-13-026899 · doc4.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,952.129

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001209191-12-028977 · doc4.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,499.773

F1 · kind: Restricted stock units granted under the Morgan Stanley Directors' Equity Capital Accumulation Plan, which are convertible into shares of Common Stock at a ratio of 1 to 1.

SEC source: 0001181431-07-004711 · rrd143253.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,485.5

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001181431-06-004273 · rrd103923.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,731.1

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001181431-05-055225 · rrd93991.xml · nonDerivative · entry 1

KLEINFELD KLAUS · CIK 0001268014 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,655.6

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.