SCHOEWE THOMAS M

SEC source: 0001628280-26-037205 · wk-form4_1779391640.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,737

F1 · kind: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2024 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F1 · shares: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2024 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F2 · balance_after: Amount includes (i) 3,160 shares of common stock; and (ii) 13,577 shares of common stock, including dividends, held in a stock unit account pursuant to the Plan and the Northrop Grumman 2011 Long-Term Incentive Stock Plan. Dividends earned on shares held in the stock unit account were exempt from Section 16 and not reportable under Rule 16a-11.

SEC source: 0001628280-25-027297 · wk-form4_1747946278.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,177

F1 · kind: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2024 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F1 · shares: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2024 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F2 · balance_after: Amount includes (i) 3,160 shares of common stock; and (ii) 13,017 shares of common stock, including dividends, held in a stock unit account pursuant to the Plan and the Northrop Grumman 2011 Long-Term Incentive Stock Plan. Dividends earned on shares held in the stock unit account were exempt from Section 16 and not reportable under Rule 16a-11.

SEC source: 0001467858-25-000023 · wk-form4_1735942922.xml · derivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,578

Underlying: Common Stock · 575 shares

Expires not disclosed

F2 · security: Represents dividends accrued on DSUs in 2024 that were credited as additional DSUs at the end of the year.

F1 · derivative.exercise_price: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.exercise_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.expiration_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

SEC source: 0001467858-25-000023 · wk-form4_1735942922.xml · derivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 57,003

Underlying: Common Stock · 4,154 shares

Expires not disclosed

F1 · derivative.exercise_price: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.exercise_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.expiration_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

SEC source: 0001628280-24-034018 · wk-form4_1722532300.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,635

F1 · kind: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2024 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F1 · shares: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2024 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F2 · balance_after: Amount includes (i) 3,160 shares of common stock; and (ii) 12,475 shares of common stock, including dividends, held in a stock unit account pursuant to the Plan. Dividends earned on shares held in the stock unit account were exempt from Section 16 and not reportable under Rule 16a-11.

SEC source: 0001467858-24-000016 · wk-form4_1704320113.xml · derivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,849

Underlying: Common Stock · 517 shares

Expires not disclosed

F2 · security: Represents dividends accrued on DSUs in 2023 that were credited as additional DSUs at the end of the year.

F1 · derivative.exercise_price: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.exercise_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.expiration_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

SEC source: 0001467858-24-000016 · wk-form4_1704320113.xml · derivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,332

Underlying: Common Stock · 5,476 shares

Expires not disclosed

F1 · derivative.exercise_price: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.exercise_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.expiration_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

SEC source: 0001628280-23-019071 · wf-form4_168452844192133.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,006

F1 · kind: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F1 · shares: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F2 · balance_after: Amount includes (i) 3,160 shares of common stock; and (ii) 11,846 shares of common stock, including dividends, held in a stock unit account pursuant to the Plan. Dividends earned on shares held in the stock unit account were exempt from Section 16 and not reportable under Rule 16a-11.

SEC source: 0001467858-23-000024 · wf-form4_167287079838119.xml · derivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,856

Underlying: Common Stock · 212 shares

Expires not disclosed

F2 · security: Represents dividends accrued on DSUs in 2022 that were credited as additional DSUs at the end of the year.

F1 · derivative.exercise_price: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.exercise_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.expiration_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

SEC source: 0001467858-23-000024 · wf-form4_167287079838119.xml · derivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,644

Underlying: Common Stock · 3,668 shares

Expires not disclosed

F1 · derivative.exercise_price: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.exercise_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.expiration_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

SEC source: 0001628280-22-014934 · wf-form4_165299587980968.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,452

F1 · kind: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F1 · shares: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F2 · balance_after: Amount includes (i) 3,160 shares of common stock; and (ii) 11,292 shares of common stock, including dividends, held in a stock unit account pursuant to the Plan. Dividends earned on shares held in the stock unit account were exempt from Section 16 and not reportable under Rule 16a-11.

SEC source: 0001467858-22-000023 · wf-form4_164133515505865.xml · derivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,976

Underlying: Common Stock · 2,640 shares

Expires not disclosed

F1 · derivative.exercise_price: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F2 · shares: Deferred Share Units ("DSUs") were awarded pursuant to the General Motors Company Deferred Compensation Plan for Non-Employee Directors (the ("Plan"). Under the Plan, each non-employee director is required to defer one-half of the $305,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more.

F3 · price: The price of the DSUs is the average closing price of the Company's Common Stock during the previous calendar year.

F1 · derivative.exercise_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.expiration_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

SEC source: 0001140361-21-041251 · form4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,058

F1 · kind: Represents restricted stock units of KKR & Co. Inc., which were approved for grant under the Amended and Restated KKR & Co. Inc. 2019 Equity Incentive Plan and will generally vest on October 1, 2022. Upon vesting, each restricted stock unit will be settled by delivery of one share of common stock of KKR & Co. Inc.

SEC source: 0001628280-21-010865 · wf-form4_162161957691373.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,889

F1 · kind: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F1 · acquired: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F2 · balance_after: Amount includes (i) 3,160 shares of common stock; and (ii) 10,729 shares of common stock, including dividends, held in a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan. Dividends earned on shares held in the stock unit account were exempt from Section 16 and not reportable under Rule 16a-11.

SEC source: 0001467858-21-000016 · wf-form4_160988362137473.xml · derivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,336

Underlying: Common Stock · 753 shares

Expires not disclosed

F4 · security: Represents dividends accrued on DSUs in 2020 that were credited as additional DSUs at the end of the year pursuant to the terms of the Plan.

F2 · derivative.exercise_price: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F5 · price: The dividends were converted to DSUs based on the average of the high and low trading price of the Company's Common Stock on the applicable dividend payment date.

F2 · derivative.exercise_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F2 · derivative.expiration_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

SEC source: 0001467858-21-000016 · wf-form4_160988362137473.xml · derivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,583

Underlying: Common Stock · 4,436 shares

Expires not disclosed

F1 · security: Deferred Share Units ("DSUs") were awarded pursuant to the General Motors Company Deferred Compensation Plan for Non-Employee Directors (the "Plan"). Under the Plan, each non-employee director is required to defer one-half of the $305,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more.

F2 · derivative.exercise_price: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F3 · price: The price of the DSUs is the average closing price of the Company's Common Stock during the previous calendar year.

F2 · derivative.exercise_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F2 · derivative.expiration_date: Amounts credited as DSUs will be paid in cash after the non-employee director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

SEC source: 0001140361-20-024578 · form4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,579

F1 · kind: Represents restricted stock units of KKR & Co. Inc., which were approved for grant under the KKR & Co. Inc. 2019 Equity Incentive Plan and will generally vest on October 1, 2021. Upon vesting, each restricted stock unit will be settled by delivery of one share of common stock of KKR & Co. Inc.

SEC source: 0001225208-20-008172 · doc4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,244

F1 · kind: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F1 · shares: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F2 · balance_after: Total amount includes (i) 3,160 shares of common stock and (ii) 10,084 shares of common stock, including dividends, held in a stock unit account pursuant to the Plan. Dividends earned on shares held in the stock unit account were exempt from Section 16 and not reportable under Rule 16a-11.

SEC source: 0001467858-20-000015 · wf-form4_157808864603085.xml · derivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,147

Underlying: Common Stock · 1,348 shares

Expires not disclosed

F2 · derivative.exercise_price: Represents dividends accrued on DSUs in 2019 that were credited as additional DSUs at the end of the year pursuant to the terms of the Plan. The dividends were converted to DSUs based on the average of the high and low trading price of the Company's Common Stock on the applicable quarterly dividend payment date.

F2 · price: Represents dividends accrued on DSUs in 2019 that were credited as additional DSUs at the end of the year pursuant to the terms of the Plan. The dividends were converted to DSUs based on the average of the high and low trading price of the Company's Common Stock on the applicable quarterly dividend payment date.

F2 · derivative.exercise_date: Represents dividends accrued on DSUs in 2019 that were credited as additional DSUs at the end of the year pursuant to the terms of the Plan. The dividends were converted to DSUs based on the average of the high and low trading price of the Company's Common Stock on the applicable quarterly dividend payment date.

F2 · derivative.expiration_date: Represents dividends accrued on DSUs in 2019 that were credited as additional DSUs at the end of the year pursuant to the terms of the Plan. The dividends were converted to DSUs based on the average of the high and low trading price of the Company's Common Stock on the applicable quarterly dividend payment date.

SEC source: 0001467858-20-000015 · wf-form4_157808864603085.xml · derivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,799

Underlying: Common Stock · 3,794 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2019, pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The deferred portion of the retainer fee is converted to DSUs based on the average closing price of the Company's Common Stock during the previous calendar year, which was $37.56 in 2019. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · price: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2019, pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The deferred portion of the retainer fee is converted to DSUs based on the average closing price of the Company's Common Stock during the previous calendar year, which was $37.56 in 2019. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.exercise_date: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2019, pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The deferred portion of the retainer fee is converted to DSUs based on the average closing price of the Company's Common Stock during the previous calendar year, which was $37.56 in 2019. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.expiration_date: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2019, pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The deferred portion of the retainer fee is converted to DSUs based on the average closing price of the Company's Common Stock during the previous calendar year, which was $37.56 in 2019. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

SEC source: 0001140361-19-019649 · form4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,299

F1 · kind: Represents restricted stock units of KKR & Co. Inc., which were approved for grant under the KKR & Co. Inc. 2019 Equity Incentive Plan and will generally vest on October 1, 2020. Upon vesting, each restricted stock unit will be settled by delivery of one share of Class A common stock of KKR & Co. Inc.

SEC source: 0001140361-19-017976 · form4.xml · derivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 6,539 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: 6,539 restricted stock units of KKR & Co. Inc. vested on October 1, 2019 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis.

F1 · derivative.exercise_date: 6,539 restricted stock units of KKR & Co. Inc. vested on October 1, 2019 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis.

F1 · derivative.expiration_date: 6,539 restricted stock units of KKR & Co. Inc. vested on October 1, 2019 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis.

SEC source: 0001140361-19-017976 · form4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,094

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

F1 · price: 6,539 restricted stock units of KKR & Co. Inc. vested on October 1, 2019 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis.

SEC source: 0001225208-19-008165 · doc4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,597

F1 · kind: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F1 · shares: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan (the "Plan") in a transaction exempt pursuant to Rule 16b-3.

F2 · balance_after: Total amount includes (i) 3,160 shares of common stock and (ii) 9,437 shares of common stock, including dividends, held in a stock unit account pursuant to the Plan. Dividends earned on shares held in the stock unit account were exempt from Section 16 and not reportable under Rule 16a-11.

SEC source: 0001467858-19-000017 · wf-form4_154655464773326.xml · derivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,005

Underlying: Common Stock · 1,155 shares

Expires not disclosed

F2 · derivative.exercise_price: Represents dividends accrued on DSUs in 2018 that were credited as additional DSUs at the end of the year pursuant to the terms of the Plan. The dividends were converted to DSUs based on the average of the high and low trading price of the Company's Common Stock on the applicable quarterly dividend payment date.

F2 · price: Represents dividends accrued on DSUs in 2018 that were credited as additional DSUs at the end of the year pursuant to the terms of the Plan. The dividends were converted to DSUs based on the average of the high and low trading price of the Company's Common Stock on the applicable quarterly dividend payment date.

F2 · derivative.exercise_date: Represents dividends accrued on DSUs in 2018 that were credited as additional DSUs at the end of the year pursuant to the terms of the Plan. The dividends were converted to DSUs based on the average of the high and low trading price of the Company's Common Stock on the applicable quarterly dividend payment date.

F2 · derivative.expiration_date: Represents dividends accrued on DSUs in 2018 that were credited as additional DSUs at the end of the year pursuant to the terms of the Plan. The dividends were converted to DSUs based on the average of the high and low trading price of the Company's Common Stock on the applicable quarterly dividend payment date.

SEC source: 0001467858-19-000017 · wf-form4_154655464773326.xml · derivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,850

Underlying: Common Stock · 3,769 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2018, pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The deferred portion of the retainer fee is converted to DSUs based on the average closing price of the Company's Common Stock during the previous calendar year, which was $37.81 in 2018. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · price: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2018, pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The deferred portion of the retainer fee is converted to DSUs based on the average closing price of the Company's Common Stock during the previous calendar year, which was $37.81 in 2018. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.exercise_date: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2018, pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The deferred portion of the retainer fee is converted to DSUs based on the average closing price of the Company's Common Stock during the previous calendar year, which was $37.81 in 2018. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

F1 · derivative.expiration_date: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2018, pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The deferred portion of the retainer fee is converted to DSUs based on the average closing price of the Company's Common Stock during the previous calendar year, which was $37.81 in 2018. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average closing price of the Company's Common Stock during the quarter immediately preceding payment.

SEC source: 0001140361-18-041544 · form4.xml · derivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,539

Underlying: Class A Common Stock · 6,539 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted stock units of KKR & Co. Inc. were approved for grant under the Amended and Restated KKR & Co. Inc. 2010 Equity Incentive Plan and will generally vest on October 1, 2019. Upon vesting, each restricted stock unit may be settled by delivery of one share of Class A common stock of KKR & Co. Inc.

F1 · derivative.exercise_date: These restricted stock units of KKR & Co. Inc. were approved for grant under the Amended and Restated KKR & Co. Inc. 2010 Equity Incentive Plan and will generally vest on October 1, 2019. Upon vesting, each restricted stock unit may be settled by delivery of one share of Class A common stock of KKR & Co. Inc.

F1 · derivative.expiration_date: These restricted stock units of KKR & Co. Inc. were approved for grant under the Amended and Restated KKR & Co. Inc. 2010 Equity Incentive Plan and will generally vest on October 1, 2019. Upon vesting, each restricted stock unit may be settled by delivery of one share of Class A common stock of KKR & Co. Inc.

SEC source: 0001140361-18-040071 · form4.xml · derivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Class A Common Stock · 7,372 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: 7,372 restricted stock units of KKR & Co. Inc. vested on October 1, 2018 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis.

F1 · derivative.exercise_date: 7,372 restricted stock units of KKR & Co. Inc. vested on October 1, 2018 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis.

F1 · derivative.expiration_date: 7,372 restricted stock units of KKR & Co. Inc. vested on October 1, 2018 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis.

SEC source: 0001140361-18-040071 · form4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,555

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

F1 · price: 7,372 restricted stock units of KKR & Co. Inc. vested on October 1, 2018 and were settled for Class A common stock of KKR & Co. Inc. on a one-for-one basis.

SEC source: 0001225208-18-009549 · doc4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,910

F1 · kind: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan in a transaction exempt pursuant to Rule 16b-3.

F1 · shares: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan in a transaction exempt pursuant to Rule 16b-3.

F2 · balance_after: Total amount includes (i) 3,160 shares of common stock and (ii) 8,750 shares of common stock, including dividends, held in a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan. Dividends earned on shares held in stock unit account were exempt from Section 16 and not reportable under rule 16a-11.

SEC source: 0001467858-18-000002 · wf-form4_151502273085370.xml · derivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,081

Underlying: Common Stock · 938 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2017 pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The retainer fee is converted to DSUs based on the average closing price of the Common Stock for the previous calendar year, which was $37.61. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average daily closing price of the Common Stock for the quarter immediately preceding payment.

F1 · price: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2017 pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The retainer fee is converted to DSUs based on the average closing price of the Common Stock for the previous calendar year, which was $37.61. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average daily closing price of the Common Stock for the quarter immediately preceding payment.

F2 · derivative.exercise_date: Pursuant to the Plan, dividends on the DSUs are credited in DSUs at the end of year.

F2 · derivative.expiration_date: Pursuant to the Plan, dividends on the DSUs are credited in DSUs at the end of year.

SEC source: 0001467858-18-000002 · wf-form4_151502273085370.xml · derivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,143

Underlying: Common Stock · 3,789 shares

Expires not disclosed

F1 · derivative.exercise_price: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2017 pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The retainer fee is converted to DSUs based on the average closing price of the Common Stock for the previous calendar year, which was $37.61. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average daily closing price of the Common Stock for the quarter immediately preceding payment.

F1 · price: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2017 pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The retainer fee is converted to DSUs based on the average closing price of the Common Stock for the previous calendar year, which was $37.61. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average daily closing price of the Common Stock for the quarter immediately preceding payment.

F1 · derivative.exercise_date: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2017 pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The retainer fee is converted to DSUs based on the average closing price of the Common Stock for the previous calendar year, which was $37.61. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average daily closing price of the Common Stock for the quarter immediately preceding payment.

F1 · derivative.expiration_date: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2017 pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $285,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The retainer fee is converted to DSUs based on the average closing price of the Common Stock for the previous calendar year, which was $37.61. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average daily closing price of the Common Stock for the quarter immediately preceding payment.

SEC source: 0001140361-17-040097 · form4.xml · derivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,372

Underlying: Common Units · 7,372 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2018. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P.

F1 · derivative.exercise_date: These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2018. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P.

F1 · derivative.expiration_date: These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2018. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P.

SEC source: 0001140361-17-037444 · form4.xml · derivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Units · 10,088 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: 10,088 restricted equity units of KKR & Co. L.P. vested on October 1, 2017 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · derivative.exercise_date: 10,088 restricted equity units of KKR & Co. L.P. vested on October 1, 2017 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · derivative.expiration_date: 10,088 restricted equity units of KKR & Co. L.P. vested on October 1, 2017 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

SEC source: 0001140361-17-037444 · form4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,183

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

F1 · price: 10,088 restricted equity units of KKR & Co. L.P. vested on October 1, 2017 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

SEC source: 0001467858-17-000110 · wf-form4_150179601550150.xml · nonDerivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,005

F2 · price: The price in Column 4 is the weighted average purchase price of the shares. The shares were purchased in multiple transactions at prices from $34.78 to $34.77, inclusive. The Reporting Person undertakes to provide to the SEC, GM and any security holder, upon request, full information regarding the number of shares purchased at each price point within the ranges set forth in this footnote.

SEC source: 0001467858-17-000110 · wf-form4_150179601550150.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,250

F1 · price: The price in Column 4 is the weighted average purchase price of the shares. The shares were purchased in multiple transactions at prices from $34.76 to $34.73, inclusive. The Reporting Person undertakes to provide to the SEC, GM and any security holder, upon request, full information regarding the number of shares purchased at each price point within the ranges set forth in this footnote.

SEC source: 0001225208-17-010110 · doc4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,311

F1 · kind: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan in a transaction exempt pursuant to Rule 16b-3.

F1 · shares: Represents shares of common stock deferred into a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan in a transaction exempt pursuant to Rule 16b-3.

F2 · balance_after: Total amount includes (i) 3,160 shares of common stock and (ii) 8,151 shares of common stock, including dividends, held in a stock unit account pursuant to the Northrop Grumman 2011 Long-Term Incentive Stock Plan and the 1993 Stock Plan for Non-Employee Directors. Dividends earned on shares held in stock unit account were exempt from Section 16 and not reportable under rule 16a-11.

SEC source: 0001467858-17-000011 · wf-form4_148357536636038.xml · derivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,354

Underlying: Common Stock · 869 shares

Expires not disclosed

F2 · security: Pursuant to the Plan, dividends on the DSUs are credited in DSUs at the end of year.

F2 · derivative.exercise_price: Pursuant to the Plan, dividends on the DSUs are credited in DSUs at the end of year.

F2 · price: Pursuant to the Plan, dividends on the DSUs are credited in DSUs at the end of year.

F2 · derivative.exercise_date: Pursuant to the Plan, dividends on the DSUs are credited in DSUs at the end of year.

F2 · derivative.expiration_date: Pursuant to the Plan, dividends on the DSUs are credited in DSUs at the end of year.

SEC source: 0001467858-17-000011 · wf-form4_148357536636038.xml · derivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,485

Underlying: Common Stock · 3,990 shares

Expires not disclosed

F1 · security: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2016 pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $250,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The retainer fee is converted to DSUs based on the average closing price of the Common Stock for the previous calendar year, which was $31.33. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average daily closing price of the Common Stock for the quarter immediately preceding payment.

F1 · derivative.exercise_price: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2016 pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $250,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The retainer fee is converted to DSUs based on the average closing price of the Common Stock for the previous calendar year, which was $31.33. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average daily closing price of the Common Stock for the quarter immediately preceding payment.

F1 · price: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2016 pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $250,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The retainer fee is converted to DSUs based on the average closing price of the Common Stock for the previous calendar year, which was $31.33. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average daily closing price of the Common Stock for the quarter immediately preceding payment.

F1 · derivative.exercise_date: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2016 pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $250,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The retainer fee is converted to DSUs based on the average closing price of the Common Stock for the previous calendar year, which was $31.33. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average daily closing price of the Common Stock for the quarter immediately preceding payment.

F1 · derivative.expiration_date: Deferred share units of the Company's Common Stock ("DSUs") were awarded on December 31, 2016 pursuant to the General Motors Company Deferred Compensation Plan (the "Plan") for Non-Employee Directors. Each non-employee director is required to defer one-half of the $250,000 annual retainer fee for service on the Board of Directors into DSUs and may elect to defer more. The retainer fee is converted to DSUs based on the average closing price of the Common Stock for the previous calendar year, which was $31.33. Amounts credited as DSUs will be paid in cash after the director leaves the Board, valued at the average daily closing price of the Common Stock for the quarter immediately preceding payment.

SEC source: 0001140361-16-083920 · form4.xml · derivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,088

Underlying: Common Units · 10,088 shares

Expires not disclosed

F1 · derivative.exercise_price: These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2017. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P.

F1 · derivative.exercise_date: These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2017. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P.

F1 · derivative.expiration_date: These restricted equity units of KKR & Co. L.P. were approved for grant under the KKR & Co. L.P. 2010 Equity Incentive Plan and will generally vest on October 1, 2017. Upon vesting, each restricted equity unit may be settled by delivery of one common unit of KKR & Co. L.P.

SEC source: 0001104659-16-148682 · a4.xml · derivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Units · 6,219 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: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · derivative.exercise_date: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

F1 · derivative.expiration_date: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

SEC source: 0001104659-16-148682 · a4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,095

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

F1 · price: 6,219 restricted equity units of KKR & Co. L.P. vested on October 1, 2016 and were settled for common units of KKR & Co. L.P. on a one-for-one basis.

SEC source: 0001127602-11-003552 · form4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Exec VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,718

F1 · shares: Represents shares withheld to satisfy tax withholding obligations upon the vesting of restricted stock.

SEC source: 0001127602-11-002288 · form4.xml · nonDerivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Exec VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,199

F1 · shares: Represents shares withheld to satisfy tax withholding obligations upon the vesting of restricted stock.

SEC source: 0001127602-11-002288 · form4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Exec VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 265,312

F1 · shares: Represents shares withheld to satisfy tax withholding obligations upon the vesting of restricted stock.

SEC source: 0001127602-11-001278 · form4.xml · nonDerivative · entry 2

SCHOEWE THOMAS M · CIK 0001161375 · Exec VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,291

F2 · shares: Represents shares withheld to satisfy tax withholding obligations upon the vesting of performance-based restricted stock.

SEC source: 0001127602-11-001278 · form4.xml · nonDerivative · entry 1

SCHOEWE THOMAS M · CIK 0001161375 · Exec VP

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 274,149

F1 · shares: Respresents performance-based restricted stock vesting on January 5, 2011 that was deferred into cash under an election made by the reporting person in a prior year.

SEC source: 0001127602-10-028959 · form4.xml · derivative · entry 7

SCHOEWE THOMAS M · CIK 0001161375 · Exec VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,024

Underlying: Common Stock · 45,039 shares

Expires 2017-01-21

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 is exercisable in five equal annual installments beginning on January 22, 2008.

SEC source: 0001127602-10-028959 · form4.xml · derivative · entry 6

SCHOEWE THOMAS M · CIK 0001161375 · Exec VP and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,759

Underlying: Common Stock · 63,033 shares

Expires 2016-01-04

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_date: The option is exercisable in five equal annual installments beginning on January 5, 2007.