Johanns Michael O.

SEC source: 0000950170-25-062911 · ownership.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 45,088.2476

F1 · balance_after: Includes acquisition of 429.0403 shares pursuant to dividend reinvestment.

SEC source: 0001415889-25-007163 · form4-03062025_080354.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 9,316

F1 · security: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 9,316 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are authorized by the Board of Directors. The Plan provides for tax withholding rights

SEC source: 0000950170-24-050778 · ownership.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,669.2073

F1 · balance_after: Includes acquisition of 226.86 shares pursuant to dividend reinvestment.

SEC source: 0000315189-24-000007 · primary_doc.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,931

F1 · security: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 8,931 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are authorized by the Board of Directors. The Plan provides for tax withholding rights.

SEC source: 0001209191-23-054251 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 38,342.3473

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0001209191-23-044251 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,545.0921

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0001209191-23-026496 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,880.9497

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

SEC source: 0001209191-23-025553 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,349.2089

F1 · shares: Represents grant of restricted stock units with provisions limiting transfer until the first anniversary of the grant date.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0000315189-23-000007 · primary_doc.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,481

F1 · shares: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 8,481 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are as authorized by the Board of Directors. The plan provides for tax withholding rights.

SEC source: 0001209191-23-006251 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,490.7961

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0001209191-22-055283 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,904.5379

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0001209191-22-043883 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,329.0325

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0001209191-22-026713 · doc4.xml · nonDerivative · entry 2

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,684.3801

F3 · shares: Represents grant of restricted stock units with provisions limiting transfer until the first anniversary of the grant date.

SEC source: 0001209191-22-026713 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,734.3801

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0000315189-22-000006 · primary_doc.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,088

F1 · shares: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 8,088 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are as authorized by the Board of Directors. The plan provides for tax withholding rights.

SEC source: 0001209191-22-006438 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,164.2778

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0001209191-21-062393 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,482.7825

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0001209191-21-049297 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,729.3579

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0001209191-21-031789 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,981.0377

F1 · shares: Represents annual grant of restricted stock units with provisions limiting transfer until retirement from service on the Issuer's board of directors.

SEC source: 0001209191-21-030016 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,501.0377

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0000315189-21-000013 · primary_doc.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,663

F1 · shares: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 7,663 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are as authorized by the Board of Directors. The plan provides for tax withholding rights.

SEC source: 0001209191-21-006927 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,850.7084

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0001209191-20-056693 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,059.5703

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0001209191-20-044533 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,099.0295

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0001209191-20-026859 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,000.0231

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

SEC source: 0001209191-20-026338 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,902.2759

F1 · shares: Represents annual grant of restricted stock units with provisions limiting transfer until retirement from service from the Issuer's board of directors.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0000315189-20-000008 · primary_doc.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,203

F1 · shares: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 7,203 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are as authorized by the Board of Directors. The plan provides for tax withholding rights.

SEC source: 0001209191-20-006515 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,342.7731

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of shares pursuant to dividend reinvestment.

SEC source: 0001209191-19-055027 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,300.4356

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

F2 · balance_after: Includes acquisition of deferred dividend reinvestment shares pursuant to the Issuer's compensation plan for non-employee directors.

SEC source: 0001209191-19-048530 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,174

F1 · kind: Restricted units granted pursuant to the America First Multifamily Investors, L.P. 2015 Equity Incentive Plan. The restricted units vest on November 30, 2019.

F1 · shares: Restricted units granted pursuant to the America First Multifamily Investors, L.P. 2015 Equity Incentive Plan. The restricted units vest on November 30, 2019.

F2 · ownership.direct: Restricted units issued into a deferred compensation plan upon election by Mr. Johanns.

SEC source: 0001209191-19-044301 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,173.728

F1 · shares: Represents stock units acquired pursuant to the Issuer's Stock Accumulation and Deferred Compensation Plan for Directors under which non-employee directors may elect to defer the payment of all or a specified portion of their cash compensation to be settled in CTVA common stock on a one-for-one basis on a future date selected by the Reporting Person at the time of his or her deferral election. Cash compensation deferred in the form of stock units is calculated based on the closing price of CTVA common stock on the date the cash compensation would have otherwise been payable.

SEC source: 0001209191-19-034945 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,524.0104

F1 · shares: Represents annual grant of restricted stock units which will vest following six (6) months of service and settle upon the Reporting Person's separation from service, subject to the Issuer's stock ownership guidelines applicable to non-employee directors.

SEC source: 0000315189-19-000009 · primary_doc.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,216

F1 · shares: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 6,216 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are as authorized by the Board of Directors. The plan provides for tax withholding rights.

SEC source: 0001209191-18-033287 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,087

F1 · kind: Restricted units granted pursuant to the America First Multifamily Investors, L.P. 2015 Equity Incentive Plan. The restricted units vest on November 30, 2018.

F1 · shares: Restricted units granted pursuant to the America First Multifamily Investors, L.P. 2015 Equity Incentive Plan. The restricted units vest on November 30, 2018.

F2 · ownership.direct: Restricted units issued into a deferred compensation plan upon election by Mr. Johanns.

SEC source: 0001209191-18-021251 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,706

F1 · kind: Restricted units granted pursuant to the America First Multifamily Investors, L.P. 2015 Equity Incentive Plan. The restricted units vest on November 30, 2018.

F1 · shares: Restricted units granted pursuant to the America First Multifamily Investors, L.P. 2015 Equity Incentive Plan. The restricted units vest on November 30, 2018.

F2 · ownership.direct: Restricted units issued into a deferred compensation plan upon election by Mr. Johanns.

SEC source: 0000315189-18-000016 · primary_doc.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,214

F1 · security: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 5,214 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are as authorized by the Board of Directors. The plan provides for tax withholding rights.

SEC source: 0001209191-17-035012 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,133

F1 · kind: Restricted units granted pursuant to the America First Multifamily Investors, L.P. 2015 Equity Incentive Plan. The restricted units vest on November 30, 2017.

F1 · shares: Restricted units granted pursuant to the America First Multifamily Investors, L.P. 2015 Equity Incentive Plan. The restricted units vest on November 30, 2017.

SEC source: 0001209191-17-022550 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,769

F1 · security: Restricted units granted pursuant to the America First Multifamily Investors, L.P. 2015 Equity Incentive Plan. The restricted units vest on November 30, 2017.

SEC source: 0000315189-17-000017 · primary_doc.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,289

F1 · shares: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 4,289 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are as authorized by the Board of Directors. The plan provides for tax withholding rights.

SEC source: 0000315189-17-000004 · primary_doc.xml · derivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,926.79

Underlying: Common Stock · 291.15 shares

Expires not disclosed

F1 · derivative.exercise_price: The security converts to common stock on a one-to-one basis.

F2 · derivative.exercise_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F3 · balance_after: The reported holdings of phantom stock units include units acquired in dividend reinvestment transactions that are exempt from line-item reporting. The reporting person also directly beneficially owns 2,986 restricted stock units under the Issuer's Nonemployee Director Stock Ownership Plan.

SEC source: 0001209191-16-151389 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,046

F1 · security: Restricted units granted pursuant to the America First Multifamily Investors, L.P. 2015 Equity Incentive Plan. The restricted units vest on December 31, 2016.

SEC source: 0000315189-16-000106 · primary_doc.xml · derivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,617.81

Underlying: Common Stock · 351.49 shares

Expires not disclosed

F1 · derivative.exercise_price: The security converts to common stock on a one-to-one basis.

F2 · derivative.exercise_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F3 · balance_after: The reported holdings of phantom stock units include units acquired in dividend reinvestment transactions that are exempt from line-item reporting. The reporting person also directly beneficially owns 2,986 restricted stock units acquired under the Issuer's Nonemployee Director Stock Ownership Plan.

SEC source: 0001209191-16-143072 · doc4.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,428

F1 · shares: Restricted units granted pursuant to the America First Multifamily Investors, L.P. 2015 Equity Incentive Plan. The restricted units vest on December 31, 2016.

SEC source: 0000315189-16-000100 · primary_doc.xml · derivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,248.94

Underlying: Common Stock · 370.19 shares

Expires not disclosed

F1 · derivative.exercise_price: The security converts to common stock on a one-to-one basis.

F2 · derivative.exercise_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F3 · balance_after: The reported holdings of phantom stock units include units acquired in dividend reinvestment transactions that are exempt from line-item reporting. The reporting person also directly beneficially owns 2,986 restricted stock units acquired under the Issuer's Nonemployee Director Stock Ownership Plan.

SEC source: 0000315189-16-000094 · primary_doc.xml · derivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,865.48

Underlying: Common Stock · 389.661 shares

Expires not disclosed

F1 · derivative.exercise_price: The security converts to common stock on a one-to-one basis.

F2 · derivative.exercise_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F3 · balance_after: The reported holdings of phantom stock units include units acquired in dividend reinvestment transactions that are exempt from line-item reporting. The reporting person also directly beneficially own 2,986 restricted stock units acquired under the Issuer's Nonemployee Director Stock Ownership Plan.

SEC source: 0000315189-16-000084 · primary_doc.xml · nonDerivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,986

F1 · shares: Grant of restricted stock units under the Nonemployee Director Stock Ownership Plan of the Issuer. Units will be settled exclusively in shares.

F2 · balance_after: Includes 2,986 restricted stock units acquired under the Nonemployee Director Stock Ownership Plan of the Issuer. Restrictions are as authorized by the Board of Directors. The plan provides for tax withholding rights.

SEC source: 0000315189-16-000074 · primary_doc.xml · derivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,464.38

Underlying: Common Stock · 393.3395 shares

Expires not disclosed

F1 · derivative.exercise_price: The security converts to common stock on a one-to-one basis.

F2 · derivative.exercise_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F3 · balance_after: The reported holdings of phantom stock units include units acquired in dividend reinvestment transactions that are exempt from line-item reporting. The reporting person also directly beneficially owns 1,507 restricted stock units acquired under the Issuer's Nonemployee Director Stock Ownership Plan.

SEC source: 0000315189-15-000050 · primary_doc.xml · derivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,063.08

Underlying: Common Stock · 405.4054 shares

Expires not disclosed

F1 · derivative.exercise_price: The security converts to common stock on a one-to-one basis.

F2 · derivative.exercise_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F3 · balance_after: The reported holdings of phantom stock units include units acquired in dividend reinvestment transactions that are exempt from line-item reporting. The reporting person also directly beneficially owns 1,507 restricted stock units acquired under the Issuer's Nonemployee Director Stock Ownership Plan.

SEC source: 0000315189-15-000044 · primary_doc.xml · derivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 653.4791

Underlying: Common Stock · 309.119 shares

Expires not disclosed

F1 · derivative.exercise_price: The security converts to common stock on a one-for-one basis.

F2 · derivative.exercise_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F3 · balance_after: The reported holdings of phantom stock units include units acquired in dividend reinvestment transactions that are exempt from line-item reporting. The reporting person also directly beneficially owns 1,507 restricted stock units acquired under the Issuer's Nonemployee Director Stock Ownership Plan.

SEC source: 0000315189-15-000028 · primary_doc.xml · derivative · entry 1

Johanns Michael O. · CIK 0001630280 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342.114

Underlying: Common Stock · 342.114 shares

Expires not disclosed

F1 · derivative.exercise_price: The security converts to common stock on a one-for-one basis.

F2 · derivative.exercise_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F2 · derivative.expiration_date: The phantom stock units were accrued under the Issuer's Nonemployee Director Deferred Compensation Plan and are to be settled solely in cash beginning in the calendar year following the reporting person's separation from service with the Issuer.

F3 · balance_after: The reported holdings of phantom stock units include units acquired in dividend reinvestment transactions that are exempt from line-item reporting. The reporting person also directly beneficially owns 1,507 restricted stock units acquired under the Issuer's Nonemployee Director Stock Ownership Plan.