Hunkler Sean

SEC source: 0001209191-23-024483 · doc4.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 670,265

F2 · price: Represents a weighted average sales price per share for these shares, which were sold in multiple transactions at prices ranging from $2.72 to $2.795. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

F1 · acquired: Reflects a sale (i) pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and (ii) in order to satisfy tax obligations of the Reporting Person that became payable due to the vesting and settlement of certain restricted stock units.

SEC source: 0001209191-23-022371 · doc4.xml · derivative · entry 4

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 526,875

Underlying: Common Stock · 526,875 shares

Expires not disclosed

F1 · kind: The transactions reported herein reflect an amendment to options initially granted on September 24, 2021 (the "Initial Grant Date"). This amendment became effective on April 3, 2023 and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended.

F1 · price: The transactions reported herein reflect an amendment to options initially granted on September 24, 2021 (the "Initial Grant Date"). This amendment became effective on April 3, 2023 and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended.

F6 · derivative.exercise_date: These options are subject to a four year vesting period as follows: (i) 25% of such options will vest on the one-year anniversary of the $21 Effective Date and (ii) 1/48 of such options will vest at the end of each month thereafter until the four-year anniversary of the $21 Effective Date; provided, in each case, that the reporting person is an active employee as of each such relevant vesting date.

F7 · derivative.exercise_date: The "$21 Effective Date" shall mean the first date after which the Issuer's common stock has (a) closed above $21 per share on both the first and last day of any 90 calendar day period, (b) closed above $21 per share on both the first and last day of any 60 trading day period during such 90 calendar day period and (c) closed above $21 per share on at least 45 trading days during such 60 trading day period; provided, that such date must occur within the first seven years from the Initial Grant Date. For clarity, if the $21 Effective Date never occurs, these options will not vest and will be forfeited upon the earlier of (i) the reporting person's departure or (ii) the seven-year anniversary of the Initial Grant Date.

F6 · derivative.expiration_date: These options are subject to a four year vesting period as follows: (i) 25% of such options will vest on the one-year anniversary of the $21 Effective Date and (ii) 1/48 of such options will vest at the end of each month thereafter until the four-year anniversary of the $21 Effective Date; provided, in each case, that the reporting person is an active employee as of each such relevant vesting date.

F7 · derivative.expiration_date: The "$21 Effective Date" shall mean the first date after which the Issuer's common stock has (a) closed above $21 per share on both the first and last day of any 90 calendar day period, (b) closed above $21 per share on both the first and last day of any 60 trading day period during such 90 calendar day period and (c) closed above $21 per share on at least 45 trading days during such 60 trading day period; provided, that such date must occur within the first seven years from the Initial Grant Date. For clarity, if the $21 Effective Date never occurs, these options will not vest and will be forfeited upon the earlier of (i) the reporting person's departure or (ii) the seven-year anniversary of the Initial Grant Date.

SEC source: 0001209191-23-022371 · doc4.xml · derivative · entry 3

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,053,750 shares

Expires not disclosed

F1 · kind: The transactions reported herein reflect an amendment to options initially granted on September 24, 2021 (the "Initial Grant Date"). This amendment became effective on April 3, 2023 and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended.

F1 · price: The transactions reported herein reflect an amendment to options initially granted on September 24, 2021 (the "Initial Grant Date"). This amendment became effective on April 3, 2023 and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended.

F5 · derivative.exercise_date: These options were subject to a four year installment vesting schedule commencing on the first date after which the Issuer common stock (a) closed above $60 per share on both the first and last day of any 90 day period, (b) closed above $60 per share on both the first and last day of any 60 trading day period during such 90 day period and (c) closed above $60 per share on at least 45 trading days during such 60 trading day period, provided that the options were to be forfeited to the extent that such date had not occurred within seven years of the Initial Grant Date.

F5 · derivative.expiration_date: These options were subject to a four year installment vesting schedule commencing on the first date after which the Issuer common stock (a) closed above $60 per share on both the first and last day of any 90 day period, (b) closed above $60 per share on both the first and last day of any 60 trading day period during such 90 day period and (c) closed above $60 per share on at least 45 trading days during such 60 trading day period, provided that the options were to be forfeited to the extent that such date had not occurred within seven years of the Initial Grant Date.

SEC source: 0001209191-23-022371 · doc4.xml · derivative · entry 2

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 526,875

Underlying: Common Stock · 526,875 shares

Expires not disclosed

F1 · kind: The transactions reported herein reflect an amendment to options initially granted on September 24, 2021 (the "Initial Grant Date"). This amendment became effective on April 3, 2023 and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended.

F1 · price: The transactions reported herein reflect an amendment to options initially granted on September 24, 2021 (the "Initial Grant Date"). This amendment became effective on April 3, 2023 and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended.

F3 · derivative.exercise_date: The "$10 Effective Date" shall mean the first date after which the Issuer's common stock has (a) closed above $10 per share on both the first and last day of any 90 calendar day period, (b) closed above $10 per share on both the first and last day of any 60 trading day period during such 90 calendar day period and (c) closed above $10 per share on at least 45 trading days during such 60 trading day period; provided, that such date must occur either (X) within the first four years from the Initial Grant Date or (Y) between the four-year anniversary of the Initial Grant Date and the seven-year anniversary of the Initial Grant Date if the $21 Effective Date (as defined below) shall have also occurred as of such date. For clarity, if the $10 Effective Date never occurs, these options will not vest and will be forfeited upon the earlier of (i) the reporting person's departure or (ii) the seven-year anniversary of the Initial Grant Date.

F4 · derivative.exercise_date: These options are subject to a four year vesting period as follows: (a) 25% of such options will vest on the one-year anniversary of the $10 Effective Date (as defined below) and (b) 1/48 of such options will vest at the end of each month thereafter until the four-year anniversary of the $10 Effective Date; provided, in each case, that the reporting person is an active employee as of each such relevant vesting date.

F3 · derivative.expiration_date: The "$10 Effective Date" shall mean the first date after which the Issuer's common stock has (a) closed above $10 per share on both the first and last day of any 90 calendar day period, (b) closed above $10 per share on both the first and last day of any 60 trading day period during such 90 calendar day period and (c) closed above $10 per share on at least 45 trading days during such 60 trading day period; provided, that such date must occur either (X) within the first four years from the Initial Grant Date or (Y) between the four-year anniversary of the Initial Grant Date and the seven-year anniversary of the Initial Grant Date if the $21 Effective Date (as defined below) shall have also occurred as of such date. For clarity, if the $10 Effective Date never occurs, these options will not vest and will be forfeited upon the earlier of (i) the reporting person's departure or (ii) the seven-year anniversary of the Initial Grant Date.

F4 · derivative.expiration_date: These options are subject to a four year vesting period as follows: (a) 25% of such options will vest on the one-year anniversary of the $10 Effective Date (as defined below) and (b) 1/48 of such options will vest at the end of each month thereafter until the four-year anniversary of the $10 Effective Date; provided, in each case, that the reporting person is an active employee as of each such relevant vesting date.

SEC source: 0001209191-23-022371 · doc4.xml · derivative · entry 1

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,053,750 shares

Expires not disclosed

F1 · kind: The transactions reported herein reflect an amendment to options initially granted on September 24, 2021 (the "Initial Grant Date"). This amendment became effective on April 3, 2023 and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended.

F1 · price: The transactions reported herein reflect an amendment to options initially granted on September 24, 2021 (the "Initial Grant Date"). This amendment became effective on April 3, 2023 and is being reported in this manner solely to comply with the technical reporting requirements under Section 16(a) of the Securities Exchange Act of 1934, as amended.

F2 · derivative.exercise_date: These options were subject to a four year installment vesting schedule to commence on the first date after which the common stock of FTC Solar, Inc. (the "Issuer") (a) closed above $30 per share on both the first and last day of any 90 day period, (b) closed above $30 per share on both the first and last day of any 60 trading day period during such 90 day period and (c) closed above $30 per share on at least 45 trading days during such 60 trading day period, provided that the options were to be forfeited to the extent that such date had not occurred within four years of the Initial Grant Date or between the four-year anniversary and the seven-year anniversary of the Initial Grant Date in certain circumstances.

F2 · derivative.expiration_date: These options were subject to a four year installment vesting schedule to commence on the first date after which the common stock of FTC Solar, Inc. (the "Issuer") (a) closed above $30 per share on both the first and last day of any 90 day period, (b) closed above $30 per share on both the first and last day of any 60 trading day period during such 90 day period and (c) closed above $30 per share on at least 45 trading days during such 60 trading day period, provided that the options were to be forfeited to the extent that such date had not occurred within four years of the Initial Grant Date or between the four-year anniversary and the seven-year anniversary of the Initial Grant Date in certain circumstances.

SEC source: 0001209191-23-019301 · doc4.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 676,672

F2 · price: Represents a weighted average sales price per share for these shares, which were sold in multiple transactions at prices ranging from $2.63 to $2.70. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

F1 · acquired: Reflects a sale (i) pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and (ii) in order to satisfy tax obligations of the Reporting Person that became payable due to the vesting and settlement of certain restricted stock units.

SEC source: 0001209191-23-015698 · doc4.xml · nonDerivative · entry 4

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 681,814

F4 · price: Represents a weighted average sales price per share for these shares, which were sold in multiple transactions at prices ranging from $2.90 to $2.94. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range. The shares were sold in order to satisfy tax obligations payable upon the settlement of the restricted stock units previously granted to the Reporting Person in exchange for the Reporting Person's agreement with the Issuer to forego his cash bonus earned in respect of the second quarter of 2022, the third quarter of 2022 and the fourth quarter of 2022.

SEC source: 0001209191-23-015698 · doc4.xml · nonDerivative · entry 3

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 754,314

F3 · price: Reflects a grant of restricted stock units, which vested in full upon grant, pursuant to the Issuers 2021 Stock Incentive Plan made to the Reporting Person in exchange for the Reporting Persons agreement with the Issuer to forego his cash bonus earned for the fourth quarter of 2022, as determined by the Issuer's board of directors annually after the end of 2022. The number of restricted stock units was determined by dividing the amount of such cash bonus earned for the fourth quarter of 2022 by the thirty (30) day volume weighted average price (VWAP) of the Issuers common stock as of the same date used to determine other employee stock based bonuses paid in respect of the fourth quarter of 2022.

SEC source: 0001209191-23-015698 · doc4.xml · nonDerivative · entry 2

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 696,004

F2 · price: Reflects a grant of restricted stock units, which vested in full upon grant, pursuant to the Issuers 2021 Stock Incentive Plan made to the Reporting Person in exchange for the Reporting Persons agreement with the Issuer to forego his cash bonus earned for the third quarter of 2022, as determined by the Issuer's board of directors annually after the end of 2022. The number of restricted stock units was determined by dividing the amount of such cash bonus earned for the third quarter of 2022 by the thirty (30) day volume weighted average price (VWAP) of the Issuers common stock as of the same date used to determine other employee stock based bonuses paid in respect of the third quarter of 2022.

SEC source: 0001209191-23-015698 · doc4.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 622,557

F1 · price: Reflects a grant of restricted stock units, which vested in full upon grant, pursuant to the Issuers 2021 Stock Incentive Plan made to the Reporting Person in exchange for the Reporting Persons agreement with the Issuer to forego his cash bonus earned for the second quarter of 2022, as determined by the Issuer's board of directors annually after the end of 2022. The number of restricted stock units was determined by dividing the amount of such cash bonus earned for the second quarter of 2022 by the thirty (30) day volume weighted average price (VWAP) of the Issuers common stock as of the same date used to determine other employee stock based bonuses paid in respect of the second quarter of 2022.

SEC source: 0001209191-23-010075 · doc4.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 591,238

F2 · price: Represents a weighted average sales price per share for these shares, which were sold in multiple transactions at prices ranging from $2.63 to $2.78. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

F1 · acquired: Reflects a sale (i) pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and (ii) in order to satisfy tax obligations of the Reporting Person that became payable due to the vesting and settlement of certain restricted stock units.

SEC source: 0001209191-23-003756 · doc4.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 597,758

F2 · price: Represents a weighted average sales price per share for these shares, which were sold in multiple transactions at prices ranging from $2.64 to $2.75. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

F1 · acquired: Reflects a sale (i) pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and (ii) in order to satisfy tax obligations of the Reporting Person that became payable due to the vesting and settlement of certain restricted stock units.

SEC source: 0001209191-23-002564 · doc4.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 604,138

F1 · shares: Reflects a sale (i) pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and (ii) in order to satisfy tax obligations of the Reporting Person that became payable due to the vesting and settlement of certain restricted stock units previously granted to the Reporting Person in exchange for the Reporting Person's agreement with the Issuer to forego a portion of his cash salary from July 1, 2022 until December 31, 2022.

F2 · price: Represents a weighted average sales price per share for these shares, which were sold in multiple transactions at prices ranging from $2.515 to $2.65. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001209191-22-060356 · doc4.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 657,438

F2 · price: Represents a weighted average sales price per share for these shares, which were sold in multiple transactions at prices ranging from $2.22 to $2.36. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Commission or any security holder of the Issuer, upon request, full information regarding the number of shares sold at each separate price within the range.

F1 · acquired: Reflects a sale (i) pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person and (ii) in order to satisfy tax obligations of the Reporting Person that became payable due to the vesting and settlement of certain restricted stock units.

SEC source: 0000899243-22-025352 · doc4.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · Director · President & CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 746,822

F1 · acquired: Reflects a grant of restricted stock units pursuant to the Issuer's 2021 Stock Incentive Plan made to the Reporting Person in exchange for the Reporting Person's agreement with the Issuer to forego a portion of his cash salary from July 1, 2022 until December 31, 2022.

SEC source: 0000899243-21-044513 · doc4.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 648,250

F2 · price: Reflects average price of all purchases made on November 12, 2021.

F1 · acquired: Reflects an individual purchase of FTC Solar Inc.'s Common Stock shares in the open market.

SEC source: 0000899243-21-038649 · doc4.xml · derivative · entry 3

Hunkler Sean · CIK 0001336378 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,053,750

Underlying: Common Stock · 1,053,750 shares

Expires not disclosed

F3 · derivative.exercise_date: The options will be subject to a four year installment vesting schedule commencing on the first date after which the common stock of FTC Solar, Inc. has (a) closed above $60 per share on both the first and last day of any 90 day period, (b) closed above $60 per share on both the first and last day of any 60 trading day period during such 90 day period and (c) closed above $60 per share on at least 45 trading days during such 60 trading day period, provided that the options will be forfeited to the extent that such date has not occurred within 7 years of the grant date.

F3 · derivative.expiration_date: The options will be subject to a four year installment vesting schedule commencing on the first date after which the common stock of FTC Solar, Inc. has (a) closed above $60 per share on both the first and last day of any 90 day period, (b) closed above $60 per share on both the first and last day of any 60 trading day period during such 90 day period and (c) closed above $60 per share on at least 45 trading days during such 60 trading day period, provided that the options will be forfeited to the extent that such date has not occurred within 7 years of the grant date.

SEC source: 0000899243-21-038649 · doc4.xml · derivative · entry 2

Hunkler Sean · CIK 0001336378 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,053,750

Underlying: Common Stock · 1,053,750 shares

Expires not disclosed

F2 · derivative.exercise_date: The options will be subject to a four year installment vesting schedule commencing on the first date after which the common stock of FTC Solar, Inc. has (a) closed above $30 per share on both the first and last day of any 90 day period, (b) closed above $30 per share on both the first and last day of any 60 trading day period during such 90 day period and (c) closed above $30 per share on at least 45 trading days during such 60 trading day period, provided that the options will be forfeited to the extent that such date has not occurred within 4 years of the grant date or between the 4-year anniversary and the 7-year anniversary of the grant date in certain circumstances.

F2 · derivative.expiration_date: The options will be subject to a four year installment vesting schedule commencing on the first date after which the common stock of FTC Solar, Inc. has (a) closed above $30 per share on both the first and last day of any 90 day period, (b) closed above $30 per share on both the first and last day of any 60 trading day period during such 90 day period and (c) closed above $30 per share on at least 45 trading days during such 60 trading day period, provided that the options will be forfeited to the extent that such date has not occurred within 4 years of the grant date or between the 4-year anniversary and the 7-year anniversary of the grant date in certain circumstances.

SEC source: 0000899243-21-038649 · doc4.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · Director · PRESIDENT AND CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 632,250

F1 · acquired: Reflects a grant of restricted stock units subject to a four year installment vesting schedule based on continued employment.

SEC source: 0001266824-21-000052 · edgardoc.xml · derivative · entry 4

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,472.4672

Underlying: Common Stock · 112.865 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.

F2 · derivative.exercise_price: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

F2 · derivative.exercise_date: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

F2 · derivative.expiration_date: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

SEC source: 0001266824-21-000052 · edgardoc.xml · nonDerivative · entry 3

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,749

F1 · shares: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e).

SEC source: 0001266824-21-000052 · edgardoc.xml · nonDerivative · entry 2

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,815

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 · shares: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

SEC source: 0001266824-21-000052 · edgardoc.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,703

F1 · shares: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e).

SEC source: 0001266824-21-000039 · edgardoc.xml · derivative · entry 4

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,585.3322

Underlying: Common Stock · 1,246.8631 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.

F2 · derivative.exercise_price: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

F2 · derivative.exercise_date: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

F2 · derivative.expiration_date: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

SEC source: 0001266824-21-000039 · edgardoc.xml · nonDerivative · entry 3

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 161,647

F3 · shares: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e).

SEC source: 0001266824-21-000039 · edgardoc.xml · nonDerivative · entry 2

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,005

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 · shares: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

SEC source: 0001266824-21-000039 · edgardoc.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 169,759

F1 · security: Represents the grant of restricted stock units to the Reporting Person. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001266824-21-000057 · primary_doc.xml · derivative · entry 2

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,495.0347

Underlying: Common Stock · 22.5675 shares

Expires not disclosed

F3 · derivative.exercise_price: These shares represent the number of incremental dividend equivalents awarded based on the achievement rate of the related performance-based restricted stock units.

F3 · derivative.exercise_date: These shares represent the number of incremental dividend equivalents awarded based on the achievement rate of the related performance-based restricted stock units.

F3 · derivative.expiration_date: These shares represent the number of incremental dividend equivalents awarded based on the achievement rate of the related performance-based restricted stock units.

F4 · balance_after: The amount of securities beneficially owned by the Reporting Person, as disclosed in the Subsequent Form 4s, did not give effect to the transaction reported herein. As a result, the Subsequent Form 4s underreported the number of dividend equivalents beneficially owned by the Reporting Person by 22.5675. As of the filing of this report and after giving effect to the transaction reported herein, the Reporting Person beneficially owns 1,495.0347 dividend equivalents.

SEC source: 0001266824-21-000057 · primary_doc.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,560

F1 · shares: Represents stock units that have been earned by the Reporting Person as payment in respect of the vesting of performance-based restricted stock units. These shares are scheduled to vest on September 4, 2022.

F2 · balance_after: The amount of securities beneficially owned by the Reporting Person, as disclosed in two Form 4s filed by the Reporting Person on August 31, 2021 and September 7, 2021 (together, the "Subsequent Form 4s"), did not give effect to the transaction reported herein. As a result, the Subsequent Form 4s underreported the number of shares of the Issuer's common stock beneficially owned by the Reporting Person by 811 shares. As of the filing of this report and after giving effect to the transaction reported herein, the Reporting Person beneficially owns 156,560 shares of the Issuer's common stock.

SEC source: 0001266824-21-000017 · edgardoc.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,784

F1 · shares: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e).

SEC source: 0001266824-20-000106 · edgardoc.xml · derivative · entry 4

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,832.1953

Underlying: Common Stock · 112.865 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.

F2 · derivative.exercise_price: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

F2 · derivative.exercise_date: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

F2 · derivative.expiration_date: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

SEC source: 0001266824-20-000106 · edgardoc.xml · nonDerivative · entry 3

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 163,144

F3 · shares: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e).

SEC source: 0001266824-20-000106 · edgardoc.xml · nonDerivative · entry 2

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,584

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 · shares: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

SEC source: 0001266824-20-000106 · edgardoc.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 164,472

F1 · security: Represents the grant of restricted stock units to the Reporting Person. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

SEC source: 0001266824-20-000100 · edgardoc.xml · derivative · entry 3

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,945.0603

Underlying: Common Stock · 1,246.8631 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: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

F1 · derivative.exercise_date: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

F1 · derivative.expiration_date: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.

SEC source: 0001266824-20-000100 · edgardoc.xml · nonDerivative · entry 2

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 132,651

F2 · shares: Payment of tax obligation by withholding securities incident to the vesting of securities in accordance with Rule 16b-3(e).

SEC source: 0001266824-20-000100 · edgardoc.xml · nonDerivative · entry 1

Hunkler Sean · CIK 0001336378 · EVP, Global Operations

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,177

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 · shares: The dividend equivalents were converted into, and paid in the form of, shares of the Issuer's common stock on a one-for-one basis in connection with the vesting of restricted stock units to which the dividend equivalents relate. A cash amount was also paid to the holder to settle a fractional dividend equivalent.