Perry Jonathan L

SEC source: 0001140361-20-024911 · form4.xml · derivative · entry 4

Perry Jonathan L · CIK 0001707370 · President, CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 76,923 shares

Expires not disclosed

F2 · derivative.exercise_price: By JCAP Advisors, LLC. Received in connection with the closing of transactions contemplated by the previously disclosed Asset Purchase Agreement (the "Purchase Agreement"), dated as of December 16, 2019, by and among the Company, Jernigan Capital Operating Company, LLC (the "Operating Company"), JCAP Advisors, LLC, Dean Jernigan, John A. Good and Jonathan L. Perry. Under the terms of the Purchase Agreement, issuance of the OC Units would be triggered, if at all, upon the earlier of: (1) the Company's common shares trading at or above a daily volume weighted price of $25.00 per share for at least 30 days during any trailing 365-day period prior to December 31, 2024 or (2) a "change of control" of the Company approved by our board of directors and our stockholders that occurs prior to December 31, 2024.

F2 · shares: By JCAP Advisors, LLC. Received in connection with the closing of transactions contemplated by the previously disclosed Asset Purchase Agreement (the "Purchase Agreement"), dated as of December 16, 2019, by and among the Company, Jernigan Capital Operating Company, LLC (the "Operating Company"), JCAP Advisors, LLC, Dean Jernigan, John A. Good and Jonathan L. Perry. Under the terms of the Purchase Agreement, issuance of the OC Units would be triggered, if at all, upon the earlier of: (1) the Company's common shares trading at or above a daily volume weighted price of $25.00 per share for at least 30 days during any trailing 365-day period prior to December 31, 2024 or (2) a "change of control" of the Company approved by our board of directors and our stockholders that occurs prior to December 31, 2024.

F3 · price: Pursuant to the merger (the "Merger") described in the Agreement and Plan of Merger, dated as of August 3, 2020, by and among the Company, Jernigan Capital Operating Company, LLC, NexPoint RE Merger, Inc. and NexPoint RE Merger OP, LLC, as amended September 21, 2020. Each OC Unit that was outstanding immediately prior to the effective time of the Merger was automatically converted into the right to receive an amount in cash equal to the per share Merger consideration of $17.30.

F4 · price: Represents units of limited liability company interest ("OC Units") in the Operating Partnership. Beginning on the one-year anniversary of the date of issuance, each OC Unit is redeemable for cash or, at the Issuer's option, exchanged for shares of the Issuer's common stock on a one-for-one basis in lieu of cash. The OC Units have no expiration date.

F4 · derivative.exercise_date: Represents units of limited liability company interest ("OC Units") in the Operating Partnership. Beginning on the one-year anniversary of the date of issuance, each OC Unit is redeemable for cash or, at the Issuer's option, exchanged for shares of the Issuer's common stock on a one-for-one basis in lieu of cash. The OC Units have no expiration date.

F4 · derivative.expiration_date: Represents units of limited liability company interest ("OC Units") in the Operating Partnership. Beginning on the one-year anniversary of the date of issuance, each OC Unit is redeemable for cash or, at the Issuer's option, exchanged for shares of the Issuer's common stock on a one-for-one basis in lieu of cash. The OC Units have no expiration date.

SEC source: 0001140361-20-024911 · form4.xml · derivative · entry 3

Perry Jonathan L · CIK 0001707370 · President, CIO

10b5-1 filing: Not disclosed

Ownership: Indirect · OC Units

Disclosed balance after: 76,923

Underlying: Common Stock · 76,923 shares

Expires not disclosed

F2 · derivative.exercise_price: By JCAP Advisors, LLC. Received in connection with the closing of transactions contemplated by the previously disclosed Asset Purchase Agreement (the "Purchase Agreement"), dated as of December 16, 2019, by and among the Company, Jernigan Capital Operating Company, LLC (the "Operating Company"), JCAP Advisors, LLC, Dean Jernigan, John A. Good and Jonathan L. Perry. Under the terms of the Purchase Agreement, issuance of the OC Units would be triggered, if at all, upon the earlier of: (1) the Company's common shares trading at or above a daily volume weighted price of $25.00 per share for at least 30 days during any trailing 365-day period prior to December 31, 2024 or (2) a "change of control" of the Company approved by our board of directors and our stockholders that occurs prior to December 31, 2024.

F3 · price: Pursuant to the merger (the "Merger") described in the Agreement and Plan of Merger, dated as of August 3, 2020, by and among the Company, Jernigan Capital Operating Company, LLC, NexPoint RE Merger, Inc. and NexPoint RE Merger OP, LLC, as amended September 21, 2020. Each OC Unit that was outstanding immediately prior to the effective time of the Merger was automatically converted into the right to receive an amount in cash equal to the per share Merger consideration of $17.30.

F4 · price: Represents units of limited liability company interest ("OC Units") in the Operating Partnership. Beginning on the one-year anniversary of the date of issuance, each OC Unit is redeemable for cash or, at the Issuer's option, exchanged for shares of the Issuer's common stock on a one-for-one basis in lieu of cash. The OC Units have no expiration date.

F4 · derivative.exercise_date: Represents units of limited liability company interest ("OC Units") in the Operating Partnership. Beginning on the one-year anniversary of the date of issuance, each OC Unit is redeemable for cash or, at the Issuer's option, exchanged for shares of the Issuer's common stock on a one-for-one basis in lieu of cash. The OC Units have no expiration date.

F4 · derivative.expiration_date: Represents units of limited liability company interest ("OC Units") in the Operating Partnership. Beginning on the one-year anniversary of the date of issuance, each OC Unit is redeemable for cash or, at the Issuer's option, exchanged for shares of the Issuer's common stock on a one-for-one basis in lieu of cash. The OC Units have no expiration date.

SEC source: 0001140361-20-024911 · form4.xml · derivative · entry 2

Perry Jonathan L · CIK 0001707370 · President, CIO

10b5-1 filing: Not disclosed

Ownership: Indirect · OC Units

Disclosed balance after: 153,846

Underlying: Common Stock · 76,923 shares

Expires not disclosed

F2 · derivative.exercise_price: By JCAP Advisors, LLC. Received in connection with the closing of transactions contemplated by the previously disclosed Asset Purchase Agreement (the "Purchase Agreement"), dated as of December 16, 2019, by and among the Company, Jernigan Capital Operating Company, LLC (the "Operating Company"), JCAP Advisors, LLC, Dean Jernigan, John A. Good and Jonathan L. Perry. Under the terms of the Purchase Agreement, issuance of the OC Units would be triggered, if at all, upon the earlier of: (1) the Company's common shares trading at or above a daily volume weighted price of $25.00 per share for at least 30 days during any trailing 365-day period prior to December 31, 2024 or (2) a "change of control" of the Company approved by our board of directors and our stockholders that occurs prior to December 31, 2024.

F2 · shares: By JCAP Advisors, LLC. Received in connection with the closing of transactions contemplated by the previously disclosed Asset Purchase Agreement (the "Purchase Agreement"), dated as of December 16, 2019, by and among the Company, Jernigan Capital Operating Company, LLC (the "Operating Company"), JCAP Advisors, LLC, Dean Jernigan, John A. Good and Jonathan L. Perry. Under the terms of the Purchase Agreement, issuance of the OC Units would be triggered, if at all, upon the earlier of: (1) the Company's common shares trading at or above a daily volume weighted price of $25.00 per share for at least 30 days during any trailing 365-day period prior to December 31, 2024 or (2) a "change of control" of the Company approved by our board of directors and our stockholders that occurs prior to December 31, 2024.

F3 · price: Pursuant to the merger (the "Merger") described in the Agreement and Plan of Merger, dated as of August 3, 2020, by and among the Company, Jernigan Capital Operating Company, LLC, NexPoint RE Merger, Inc. and NexPoint RE Merger OP, LLC, as amended September 21, 2020. Each OC Unit that was outstanding immediately prior to the effective time of the Merger was automatically converted into the right to receive an amount in cash equal to the per share Merger consideration of $17.30.

F4 · price: Represents units of limited liability company interest ("OC Units") in the Operating Partnership. Beginning on the one-year anniversary of the date of issuance, each OC Unit is redeemable for cash or, at the Issuer's option, exchanged for shares of the Issuer's common stock on a one-for-one basis in lieu of cash. The OC Units have no expiration date.

F4 · derivative.exercise_date: Represents units of limited liability company interest ("OC Units") in the Operating Partnership. Beginning on the one-year anniversary of the date of issuance, each OC Unit is redeemable for cash or, at the Issuer's option, exchanged for shares of the Issuer's common stock on a one-for-one basis in lieu of cash. The OC Units have no expiration date.

F4 · derivative.expiration_date: Represents units of limited liability company interest ("OC Units") in the Operating Partnership. Beginning on the one-year anniversary of the date of issuance, each OC Unit is redeemable for cash or, at the Issuer's option, exchanged for shares of the Issuer's common stock on a one-for-one basis in lieu of cash. The OC Units have no expiration date.

SEC source: 0001140361-20-024911 · form4.xml · nonDerivative · entry 1

Perry Jonathan L · CIK 0001707370 · President, CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · shares: Represents 33,303 restricted share awards and 25,044 unrestricted shares of common stock of Jernigan Capital, Inc. (the "Company"). Pursuant to the merger (the "Merger") described in the Agreement and Plan of Merger, dated as of August 3, 2020, by and among the Company, Jernigan Capital Operating Company, LLC, NexPoint RE Merger, Inc. and NexPoint RE Merger OP, LLC, as amended September 21, 2020. Each restricted share award that was outstanding immediately prior to the effective time of the Merger was cancelled in exchange for an amount in cash equal to (a) the number of common shares subject to the restricted share award immediately prior to the effective time of the Merger multiplied by (b) the per share Merger consideration of $17.30, and each common share that was outstanding immediately prior to the effective time of the Merger was automatically converted into the right to receive an amount in cash equal to the per share Merger consideration of $17.30.

F1 · price: Represents 33,303 restricted share awards and 25,044 unrestricted shares of common stock of Jernigan Capital, Inc. (the "Company"). Pursuant to the merger (the "Merger") described in the Agreement and Plan of Merger, dated as of August 3, 2020, by and among the Company, Jernigan Capital Operating Company, LLC, NexPoint RE Merger, Inc. and NexPoint RE Merger OP, LLC, as amended September 21, 2020. Each restricted share award that was outstanding immediately prior to the effective time of the Merger was cancelled in exchange for an amount in cash equal to (a) the number of common shares subject to the restricted share award immediately prior to the effective time of the Merger multiplied by (b) the per share Merger consideration of $17.30, and each common share that was outstanding immediately prior to the effective time of the Merger was automatically converted into the right to receive an amount in cash equal to the per share Merger consideration of $17.30.

SEC source: 0001622353-20-000013 · primary_doc.xml · nonDerivative · entry 1

Perry Jonathan L · CIK 0001707370 · President, CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,347

F1 · shares: The reporting person returned these shares to the Company to satisfy tax withholding obligations upon vesting of 10,000 shares of restricted stock.

SEC source: 0000925421-20-000206 · edgar.xml · nonDerivative · entry 1

Perry Jonathan L · CIK 0001707370 · President, CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,395

F1 · shares: The reporting person returned these shares to the Company to satisfy tax witholding obligations upon vesting of 6,667 shares of restricted stock.

SEC source: 0000925421-20-000050 · edgar.xml · derivative · entry 2

Perry Jonathan L · CIK 0001707370 · President, CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,923

Underlying: Common Stock · 76,923 shares

Expires not disclosed

F2 · derivative.exercise_price: Received in connection with the closing of transactions contemplated by the previously disclosed Asset Purchase Agreement (the "Purchase Agreement"), dated as of December 16, 2019, by and among the Company, Jernigan Capital Operating Company, LLC (the "Operating Company"), JCap Advisors, LLC, Dean Jernigan, John A. Good and Jonathan L. Perry. Upon the closing of the transactions contemplated by the Purchase Agreement, the membership interests that were then outstanding were converted into the right to receive shares of the Issuer's common stock.

F2 · shares: Received in connection with the closing of transactions contemplated by the previously disclosed Asset Purchase Agreement (the "Purchase Agreement"), dated as of December 16, 2019, by and among the Company, Jernigan Capital Operating Company, LLC (the "Operating Company"), JCap Advisors, LLC, Dean Jernigan, John A. Good and Jonathan L. Perry. Upon the closing of the transactions contemplated by the Purchase Agreement, the membership interests that were then outstanding were converted into the right to receive shares of the Issuer's common stock.

F3 · price: As of the date immediately prior to the closing of the transactions contemplated by the Purchase Agreement, the last reported sales price of the Issuer's common stock on the New York Stock Exchange was $20.06 per share.

F4 · price: Represents units of limited liability company interest ("OC Units") in the Operating Partnership. Beginning on the one-year anniversary of the date of issuance, each OC Unit is redeemable for cash or, at the Issuer's option, exchanged for shares of the Issuer's common stock on a one-for-one basis in lieu of cash. The OC Units have no expiration date.

F4 · derivative.exercise_date: Represents units of limited liability company interest ("OC Units") in the Operating Partnership. Beginning on the one-year anniversary of the date of issuance, each OC Unit is redeemable for cash or, at the Issuer's option, exchanged for shares of the Issuer's common stock on a one-for-one basis in lieu of cash. The OC Units have no expiration date.

F4 · derivative.expiration_date: Represents units of limited liability company interest ("OC Units") in the Operating Partnership. Beginning on the one-year anniversary of the date of issuance, each OC Unit is redeemable for cash or, at the Issuer's option, exchanged for shares of the Issuer's common stock on a one-for-one basis in lieu of cash. The OC Units have no expiration date.

SEC source: 0000925421-20-000050 · edgar.xml · nonDerivative · entry 1

Perry Jonathan L · CIK 0001707370 · President, CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,428

F1 · shares: Mr. Perry received a grant of 9,970 restricted shares of common stock under the Jernigan Capital Inc.'s (the "Issuer") Second Amended and Restated 2015 Equity Incentive Plan. Twenty-five percent (25%) of the shares will vest on each of the first four anniversaries of the grant date.

SEC source: 0000925421-19-000237 · edgar.xml · nonDerivative · entry 1

Perry Jonathan L · CIK 0001707370 · President, CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,458

F1 · shares: The reporting person returned these shares to the Company to satisfy tax witholding obligations upon vesting of 10,000 shares of restricted stock.

SEC source: 0000925421-19-000205 · edgar.xml · nonDerivative · entry 1

Perry Jonathan L · CIK 0001707370 · President, CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,500

F1 · shares: Represents a grant of 20,000 restricted shares of common stock pursuant to the Jernigan Capital, Inc. Second Amended and Restated 2015 Equity Incentive Plan, which shares shall vest ratably on each of the first three anniversaries of the date of grant.

SEC source: 0000925421-18-000231 · edgar.xml · nonDerivative · entry 1

Perry Jonathan L · CIK 0001707370 · EVP, Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,500

F1 · shares: Represents a grant of 30,000 restricted shares of common stock pursuant to the Jernigan Capital, Inc. Amended and Restated 2015 Equity Incentive Plan, which shares shall vest ratably on each of the first three anniversaries of the date of grant.

SEC source: 0001225208-18-008908 · doc4.xml · derivative · entry 19

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common · 11,682 shares

Expires 2023-01-25

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.

F6 · derivative.exercise_date: The original stock option for 11,682 shares became exercisable in three equal installments on January 25, 2014, 2015 and 2016.

SEC source: 0001225208-18-008908 · doc4.xml · derivative · entry 18

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common · 11,601 shares

Expires 2024-01-24

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

F5 · derivative.exercise_date: The original stock option for 11,601 shares became exercisable in three equal installments on January 24, 2015, 2016 and 2017.

SEC source: 0001225208-18-008908 · doc4.xml · derivative · entry 17

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common · 12,755 shares

Expires 2022-01-24

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

F4 · derivative.exercise_date: The original stock option for 12,755 shares became exercisable in three equal installments on January 25, 2013, 2014 and 2014.

SEC source: 0001225208-18-008908 · doc4.xml · derivative · entry 16

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,247

Underlying: Common · 8,624 shares

Expires 2027-01-23

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

F3 · derivative.exercise_date: The original stock option for 25,871 shares became exercisable in three equal installments on January 23, 2018, 2019 and 2020.

SEC source: 0001225208-18-008908 · doc4.xml · derivative · entry 15

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common · 15,385 shares

Expires 2021-01-23

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

F2 · derivative.exercise_date: The original stock option for 15,385 shares became exercisable in three equal installments on January 24, 2012, 2013 and 2014.

SEC source: 0001225208-18-008908 · doc4.xml · derivative · entry 14

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common · 10,701 shares

Expires 2025-01-22

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_date: The original stock option for 10,701 shares became exercisable in three equal installments on January 23, 2016, 2017 and 2018.

SEC source: 0001225208-18-008908 · doc4.xml · nonDerivative · entry 12

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,535

SEC source: 0001225208-18-008908 · doc4.xml · nonDerivative · entry 11

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,920

SEC source: 0001225208-18-008908 · doc4.xml · nonDerivative · entry 10

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,675

SEC source: 0001225208-18-008908 · doc4.xml · nonDerivative · entry 9

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,357

SEC source: 0001225208-18-008908 · doc4.xml · nonDerivative · entry 8

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,958

SEC source: 0001225208-18-008908 · doc4.xml · nonDerivative · entry 7

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,659

SEC source: 0001225208-18-008908 · doc4.xml · nonDerivative · entry 6

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,283

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: 0001225208-18-008908 · doc4.xml · nonDerivative · entry 5

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,659

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

SEC source: 0001225208-18-008908 · doc4.xml · nonDerivative · entry 4

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,958

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: 0001225208-18-008908 · doc4.xml · nonDerivative · entry 3

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,357

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: 0001225208-18-008908 · doc4.xml · nonDerivative · entry 2

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 83,675

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: 0001225208-18-008908 · doc4.xml · nonDerivative · entry 1

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,920

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: 0001225208-18-001435 · doc4.xml · derivative · entry 6

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,475

Underlying: Common · 29,475 shares

Expires 2028-01-22

F2 · derivative.exercise_date: The stock options vest ratably over a three-year period, one-third per year on each of the first three anniversaries of the grant date, provided the reporting person remains employed by the Company.

SEC source: 0001225208-18-001435 · doc4.xml · nonDerivative · entry 4

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,535

SEC source: 0001225208-18-001435 · doc4.xml · nonDerivative · entry 3

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,398

SEC source: 0001225208-18-001435 · doc4.xml · nonDerivative · entry 2

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,776

F1 · shares: These common shares represent restricted shares issued under the Company's 2007 Equity Incentive Plan and are subject to risk of forfeiture. The common shares vest ratably over a three-year period, one-third per year on each of the first three anniversaries of the grant date, provided the reporting person remains employed by the Company.

SEC source: 0001225208-18-001435 · doc4.xml · nonDerivative · entry 1

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,177

SEC source: 0001225208-18-000382 · doc4.xml · nonDerivative · entry 2

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,794

SEC source: 0001225208-18-000382 · doc4.xml · nonDerivative · entry 1

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,753

F1 · shares: These common shares represent the vesting of performance shares granted on January 23, 2015 under the Company's 2007 Equity Incentive Plan.

SEC source: 0001225208-17-018672 · doc4.xml · derivative · entry 7

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common · 1,700 shares

Expires 2020-01-13

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 · derivative.exercise_date: The original stock option for 20,270 shares became exercisable in three equal installments on January 13, 2011, 2012 and 2013.

SEC source: 0001225208-17-018672 · doc4.xml · nonDerivative · entry 4

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,627

SEC source: 0001225208-17-018672 · doc4.xml · nonDerivative · entry 3

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,327

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: 0001225208-17-018672 · doc4.xml · derivative · entry 6

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,700

Underlying: Common · 18,570 shares

Expires 2020-01-13

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 · derivative.exercise_date: The original stock option for 20,270 shares became exercisable in three equal installments on January 13, 2011, 2012 and 2013.

SEC source: 0001225208-17-018672 · doc4.xml · nonDerivative · entry 2

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,627

SEC source: 0001225208-17-018672 · doc4.xml · nonDerivative · entry 1

Perry Jonathan L · CIK 0001707370 · SVP and CIO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,197

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.