HARKHAM URI P

SEC source: 0001567619-21-000040 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450

F1 · shares: Grant of unrestricted stock pursuant to the Company's Non-Management Trustee Compensation and Deferral Program under the Company's 2016 Equity and Performance-Based Incentive Compensation Plan. The number of shares of unrestricted stock represents the quotient of the dollar amount of the cash retainers the reporting person has earned for the applicable calendar quarter divided by the Company's closing stock price on the grant date, rounded up to the nearest share.

SEC source: 0001567619-20-017423 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311

F1 · shares: Grant of unrestricted stock pursuant to the Company's Non-Management Trustee Compensation and Deferral Program under the Company's 2016 Equity and Performance-Based Incentive Compensation Plan. The number of shares of unrestricted stock represents the quotient of the dollar amount of the cash retainers the reporting person has earned for the applicable calendar quarter divided by the Company's closing stock price on the grant date, rounded up to the nearest share.

SEC source: 0001567619-20-015880 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 3,674

F1 · ownership.nature: By the custodian of an IRA for the benefit of Uri P. Harkham.

SEC source: 0001567619-20-015628 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 5,674

F1 · ownership.nature: By the custodian of an IRA for the benefit of Uri P. Harkham. Includes 67 shares and 68 shares acquired as part of a dividend reinvestment plan on 3/31/20 and 6/30/20, respectively.

SEC source: 0001567619-20-012858 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 167

F1 · shares: Grant of unrestricted stock pursuant to the Company's Non-Management Trustee Compensation and Deferral Program under the Company's 2016 Equity and Performance-Based Incentive Compensation Plan. The number of shares of unrestricted stock represents the quotient of the dollar amount of the cash retainers the reporting person has earned for the applicable calendar quarter divided by the Company's closing stock price on the grant date, rounded up to the nearest share.

SEC source: 0001567619-20-011537 · doc1.xml · derivative · entry 5

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,500

Underlying: Common Stock · 1,500 shares

Expires 2022-05-03

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 · security: Stock option granted pursuant to the 2007 Equity and Performance-Based Incentive Compensation Plan, as amended. Option vested in 3 equal annual installments.

F4 · derivative.exercise_date: This option to purchase 5,000 shares of common stock became exercisable as to one-third on each of May 3, 2013, 2014 and 2015.

SEC source: 0001567619-20-011537 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,500

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: 0001567619-20-008233 · doc1.xml · derivative · entry 5

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,000 shares

Expires 2021-05-05

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 · security: Stock Option granted pursuant to the 2007 Equity and Performance-Based Incentive Compensation Plan, as amended. Option vested in three (3) equal annual installments beginning one (1) year from date of grant.

F4 · derivative.exercise_date: This option to purchase 5,000 shares of common stock became exercisable as to one-third on each of May 5, 2012, 2013 and 2014.

SEC source: 0001567619-20-008233 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

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: 0001567619-20-008309 · doc1.xml · derivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2030-04-21

F1 · security: Stock Option granted pursuant to the 2016 Equity and Performance-Based Incentive Compensation Plan. Option vests in three (3) equal annual installments beginning one (1) year from the grant date.

F2 · derivative.exercise_date: This option to purchase 5,000 shares of common stock becomes exercisable as to one-third on each of April 21, 2021, 2022, and 2023.

SEC source: 0001567619-20-007460 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · As Trustee

Disclosed balance after: 28,528

F1 · shares: Grant of unrestricted stock pursuant to the Company's Non-Management Trustee Compensation and Deferral Program under the Company's 2016 Equity and Performance-Based Incentive Compensation Plan. The number of shares of unrestricted stock represents the quotient of the dollar amount of the cash retainers the reporting person has earned for the applicable calendar quarter divided by the Company's closing stock price on the grant date, rounded up to the nearest share.

F2 · ownership.nature: By Uri P. Harkham, Trustee of Uri Harkham Trust.

SEC source: 0001567619-20-006772 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 0

F1 · price: Represents weighted average price. These shares were sold at prices ranging between $190.916 to $191.781. Full information regarding the number of shares sold at each separate price will be provided by the reporting person upon request to the staff of the Securities and Exchange Commission, the issuer, or a security holder of the issuer.

F2 · ownership.nature: By the custodian of an IRA for the benefit of Uri P. Harkham.

SEC source: 0001567619-20-000123 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · As Trustee

Disclosed balance after: 28,367

F1 · ownership.nature: Grant of unrestricted stock pursuant to the Company's Non-Management Trustee Compensation and Deferral Program under the Company's 2016 Equity and Performance-Based Incentive Compensation Plan. The number of shares of unrestricted stock represents the quotient of the dollar amount of the cash retainers the reporting person has earned for the applicable calendar quarter divided by the Company's closing stock price on the grant date, rounded up to the nearest share.

SEC source: 0001123292-19-001176 · edgar.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · As Trustee

Disclosed balance after: 28,217

F1 · shares: Grant of unrestricted stock pursuant to the company's Non-Management Trustee Compensation and Deferral Program under the company's 2016 Equity and Performance-Based Incentive Compensation Plan. The number of shares of unrestricted stock represents the quotient of the dollar amount of the cash retainers the reporting person has earned for the applicable calendar quarter, divided by the company's closing stock price on the grant date, rounded up to the nearest share.

F2 · ownership.nature: By Uri P. Harkham, Trustee of Uri Harkham Trust.

SEC source: 0001123292-19-000942 · edgar.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · As Trustee

Disclosed balance after: 28,087

F1 · shares: Grant of unrestricted stock pursuant to the company's Non-Management Trustee Compensation and Deferral Program under the company's 2016 Equity and Performance-Based Incentive Compensation Plan. The number of shares of unrestricted stock represents the quotient of the dollar amount of the cash retainers the reporting person has earned for the applicable calendar quarter, divided by the company's closing stock price on the grant date, rounded up to the nearest share.

F2 · ownership.nature: By Uri P. Harkham, Trustee of Uri Harkham Trust.

SEC source: 0001123292-19-000669 · edgar.xml · derivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2029-04-24

F1 · security: Stock Option granted pursuant to the 2016 Equity and Performance-Based Incentive Compensation Plan. Option vests in three (3) equal annual installments beginning one (1) year from the grant date.

SEC source: 0001567619-19-008201 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · As Trustee

Disclosed balance after: 27,953

F1 · shares: Grant of unrestricted stock pursuant to the company's Non-Management Trustee Compensation and Deferral Program under the company's 2016 Equity and Performance-Based Incentive Compensation Plan. The number of shares of unrestricted stock represents the quotient of the dollar amount of the cash retainers the reporting person has earned for the applicable calendar quarter, divided by the company's closing stock price on the grant date, rounded up to the nearest share.

F2 · ownership.nature: By Uri P. Harkham, Trustee of Uri Harkham Trust.

SEC source: 0001567619-18-008383 · doc1.xml · derivative · entry 4

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

Underlying: Common Stock · 1,000 shares

Expires 2021-05-05

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

F4 · security: Stock Option granted pursuant to the 2007 Equity and Performance-Based Incentive Compensation Plan, as amended. Option vests in three (3) equal annual installments beginning one (1) year from the date of grant.

SEC source: 0001567619-18-008383 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · As Trustee

Disclosed balance after: 27,805.13

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 · ownership.nature: By Uri P. Harkham, Trustee of Uri Harkham Trust.

SEC source: 0001567619-18-004245 · doc1.xml · derivative · entry 4

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 1,000 shares

Expires 2021-05-05

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

F4 · security: Stock Option granted pursuant to the 2007 Equity and Performance-Based Incentive Compensation Plan, as amended. Option vests in three (3) equal annual installments beginning one (1) year from the date of grant.

SEC source: 0001567619-18-004245 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · As Trustee

Disclosed balance after: 26,805.13

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 · ownership.nature: By Uri P. Harkham, Trustee of Uri Harkham Trust.

SEC source: 0001140361-18-020247 · doc1.xml · derivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2028-04-25

F1 · security: Stock Option granted pursuant to the 2016 Equity and Performance-Based Incentive Compensation Plan. Option vests in three (3) equal annual installments beginning one (1) year from date of grant.

SEC source: 0001140361-17-032854 · doc1.xml · derivative · entry 4

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,000

Underlying: Common Stock · 2,000 shares

Expires 2021-05-05

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

F4 · security: Stock Option granted pursuant to the 2007 Equity and Performance-Based Incentive Compensation Plan, as amended. Option vests in three (3) equal annual installments beginning one (1) year from the date of grant.

SEC source: 0001140361-17-032854 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · As Trustee

Disclosed balance after: 25,805.13

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 · ownership.nature: By Uri P. Harkham, Trustee of Uri Harkham Trust.

SEC source: 0001140361-17-017185 · doc1.xml · derivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2027-04-26

F1 · security: Stock Option granted pursuant to the 2016 Equity and Performance-Based Incentive Compensation Plan. Option vests in three (3) equal annual installments beginning one (1) year from date of grant.

SEC source: 0001140361-17-011263 · doc1.xml · nonDerivative · entry 3

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 6,374.642

F5 · date: Shares were acquired in 2 dividend reinvestment transactions in a brokerage account for 51.968 shares on 3/31/14 at a purchase price of $168.913 per share, and for 51.674 shares on 6/30/14 at a purchase price of $171.28 per share.

F5 · shares: Shares were acquired in 2 dividend reinvestment transactions in a brokerage account for 51.968 shares on 3/31/14 at a purchase price of $168.913 per share, and for 51.674 shares on 6/30/14 at a purchase price of $171.28 per share.

F6 · shares: These shares were acquired through a profit sharing plan the reporting person participated in and were subsequently transferred to an IRA for the benefit of the reporting person.

F5 · price: Shares were acquired in 2 dividend reinvestment transactions in a brokerage account for 51.968 shares on 3/31/14 at a purchase price of $168.913 per share, and for 51.674 shares on 6/30/14 at a purchase price of $171.28 per share.

F7 · ownership.nature: By the custodian of an IRA for the benefit of Uri P. Harkham.

F6 · ownership.nature: These shares were acquired through a profit sharing plan the reporting person participated in and were subsequently transferred to an IRA for the benefit of the reporting person.

SEC source: 0001140361-17-011263 · doc1.xml · nonDerivative · entry 2

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · As Trustee

Disclosed balance after: 23,805.13

F3 · date: Shares were acquired in 2 dividend reinvestment transactions in a brokerage account for 132.936 shares on 3/31/14 at a purchase price of $168.91 per share, and 132.19 shares on 6/30/14 at a purchase price of $171.28 per share.

F3 · shares: Shares were acquired in 2 dividend reinvestment transactions in a brokerage account for 132.936 shares on 3/31/14 at a purchase price of $168.91 per share, and 132.19 shares on 6/30/14 at a purchase price of $171.28 per share.

F3 · price: Shares were acquired in 2 dividend reinvestment transactions in a brokerage account for 132.936 shares on 3/31/14 at a purchase price of $168.91 per share, and 132.19 shares on 6/30/14 at a purchase price of $171.28 per share.

F4 · ownership.nature: By Uri P. Harkham, Trustee of Uri Harkham Trust.

SEC source: 0001140361-17-011263 · doc1.xml · nonDerivative · entry 1

HARKHAM URI P · CIK 0001051410 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Affiliated Partnership

Disclosed balance after: 4,229.781

F8 · security: The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the dates on which shares were purchased, the number of shares purchased on each such date, and the price paid for each share purchased.

F1 · date: Shares were acquired in 13 dividend reinvestment transactions in a brokerage account, in amounts ranging from 28.191 shares to 34.488 shares, on dates ranging from 6/30/10 to 6/30/14, and purchase prices ranging from $93.063 per share to $171.28 per share.

F1 · shares: Shares were acquired in 13 dividend reinvestment transactions in a brokerage account, in amounts ranging from 28.191 shares to 34.488 shares, on dates ranging from 6/30/10 to 6/30/14, and purchase prices ranging from $93.063 per share to $171.28 per share.

F1 · price: Shares were acquired in 13 dividend reinvestment transactions in a brokerage account, in amounts ranging from 28.191 shares to 34.488 shares, on dates ranging from 6/30/10 to 6/30/14, and purchase prices ranging from $93.063 per share to $171.28 per share.

F2 · ownership.nature: By Harkham Investments L.P. an affiliated entity of Mr. Harkham.