Rhodin Michael D.

SEC source: 0001837240-23-000033 · wf-form4_167304522446777.xml · derivative · entry 2

Rhodin Michael D. · CIK 0001481603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 764,353

Underlying: Class A Common Stock · 9,655 shares

Expires not disclosed

F1 · security: Represents Symbotic Holdings Units issued to the Reporting Person on August 2, 2022 as Earnout Interests following the occurrence of Triggering Event III in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse Technologies LLC and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F2 · security: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F2 · derivative.exercise_price: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F1 · kind: Represents Symbotic Holdings Units issued to the Reporting Person on August 2, 2022 as Earnout Interests following the occurrence of Triggering Event III in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse Technologies LLC and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F1 · price: Represents Symbotic Holdings Units issued to the Reporting Person on August 2, 2022 as Earnout Interests following the occurrence of Triggering Event III in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse Technologies LLC and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F2 · price: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F2 · derivative.exercise_date: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F2 · derivative.expiration_date: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

SEC source: 0001837240-23-000033 · wf-form4_167304522446777.xml · nonDerivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 764,353

F1 · security: Represents Symbotic Holdings Units issued to the Reporting Person on August 2, 2022 as Earnout Interests following the occurrence of Triggering Event III in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse Technologies LLC and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F2 · security: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F1 · kind: Represents Symbotic Holdings Units issued to the Reporting Person on August 2, 2022 as Earnout Interests following the occurrence of Triggering Event III in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse Technologies LLC and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F1 · price: Represents Symbotic Holdings Units issued to the Reporting Person on August 2, 2022 as Earnout Interests following the occurrence of Triggering Event III in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse Technologies LLC and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F2 · price: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F3 · balance_after: The amount of securities beneficially owned following the reported transactions in Table I does not include shares of other classes of the Issuer's securities held directly or indirectly by the Reporting Person that are reported on preceding Form 4 filings.

SEC source: 0000899243-22-026492 · doc4.xml · derivative · entry 2

Rhodin Michael D. · CIK 0001481603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 754,698

Underlying: Class A Common Stock · 19,310 shares

Expires not disclosed

F1 · security: Represents Symbotic Holdings Units issued to the Reporting Person on July 19, 2022 as Earnout Interests following the occurrence of Triggering Event I and Triggering Event II in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse Technologies LLC and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F2 · security: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F2 · derivative.exercise_price: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F1 · kind: Represents Symbotic Holdings Units issued to the Reporting Person on July 19, 2022 as Earnout Interests following the occurrence of Triggering Event I and Triggering Event II in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse Technologies LLC and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F1 · price: Represents Symbotic Holdings Units issued to the Reporting Person on July 19, 2022 as Earnout Interests following the occurrence of Triggering Event I and Triggering Event II in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse Technologies LLC and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F2 · price: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F2 · derivative.exercise_date: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F2 · derivative.expiration_date: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

SEC source: 0000899243-22-026492 · doc4.xml · nonDerivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 754,698

F1 · security: Represents Symbotic Holdings Units issued to the Reporting Person on July 19, 2022 as Earnout Interests following the occurrence of Triggering Event I and Triggering Event II in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse Technologies LLC and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F2 · security: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F1 · kind: Represents Symbotic Holdings Units issued to the Reporting Person on July 19, 2022 as Earnout Interests following the occurrence of Triggering Event I and Triggering Event II in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse Technologies LLC and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F1 · price: Represents Symbotic Holdings Units issued to the Reporting Person on July 19, 2022 as Earnout Interests following the occurrence of Triggering Event I and Triggering Event II in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse Technologies LLC and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F2 · price: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F3 · balance_after: The amount of securities beneficially owned following the reported transactions in Table I does not include shares of other classes of the Issuer's securities held directly or indirectly by the Reporting Person that are reported on preceding Form 4 filings.

SEC source: 0000899243-22-021739 · doc4.xml · derivative · entry 3

Rhodin Michael D. · CIK 0001481603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 735,388

Underlying: Class A Common Stock · 735,388 shares

Expires not disclosed

F2 · security: Represents Symbotic Holdings Units received as consideration for limited liability company units of Warehouse Technologies LLC ("Warehouse") in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F3 · security: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F3 · derivative.exercise_price: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F2 · price: Represents Symbotic Holdings Units received as consideration for limited liability company units of Warehouse Technologies LLC ("Warehouse") in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F3 · price: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F3 · derivative.exercise_date: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F3 · derivative.expiration_date: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F3 · derivative.underlying_shares: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

SEC source: 0000899243-22-021739 · doc4.xml · nonDerivative · entry 2

Rhodin Michael D. · CIK 0001481603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 735,388

F2 · security: Represents Symbotic Holdings Units received as consideration for limited liability company units of Warehouse Technologies LLC ("Warehouse") in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F3 · security: The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock. Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

F2 · kind: Represents Symbotic Holdings Units received as consideration for limited liability company units of Warehouse Technologies LLC ("Warehouse") in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

F2 · price: Represents Symbotic Holdings Units received as consideration for limited liability company units of Warehouse Technologies LLC ("Warehouse") in connection with the Agreement and Plan of Merger, dated December 12, 2021, by and among the Issuer, Saturn Acquisition (DE) Corp., Warehouse and Symbotic Holdings LLC ("Symbotic Holdings"), as described in the Issuer's final prospectus filed with the Securities and Exchange Commission on June 1, 2022.

SEC source: 0000899243-22-021739 · doc4.xml · nonDerivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

F1 · kind: Acquired pursuant to a Subscription Agreement, dated December 12, 2021, between the Issuer and Michael Rhodin.

SEC source: 0001562180-17-000038 · primarydocument.xml · derivative · entry 2

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,830

Underlying: Common Stock · 549 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-17-000038 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,281

Underlying: Common Stock · 10 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-003816 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,272

Underlying: Common Stock · 10 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-003633 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,267

Underlying: Common Stock · 10 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-003536 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,263

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-003432 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,257

Underlying: Common Stock · 181 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-003395 · primarydocument.xml · nonDerivative · entry 9

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Indirect · son

Disclosed balance after: 816

F1 · ownership.direct: The reporting person disclaims beneficial ownership of the securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0001562180-16-003395 · primarydocument.xml · nonDerivative · entry 8

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Indirect · daughter 2

Disclosed balance after: 816

F1 · ownership.direct: The reporting person disclaims beneficial ownership of the securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0001562180-16-003395 · primarydocument.xml · nonDerivative · entry 7

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Indirect · daughter 1

Disclosed balance after: 816

F1 · ownership.direct: The reporting person disclaims beneficial ownership of the securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.

SEC source: 0001562180-16-003395 · primarydocument.xml · nonDerivative · entry 6

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,320.6588

SEC source: 0001562180-16-003395 · primarydocument.xml · nonDerivative · entry 5

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,820.6588

SEC source: 0001562180-16-003395 · primarydocument.xml · nonDerivative · entry 4

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,120.6588

SEC source: 0001562180-16-003395 · primarydocument.xml · nonDerivative · entry 3

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,320.6588

SEC source: 0001562180-16-003395 · primarydocument.xml · nonDerivative · entry 2

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,485.6588

SEC source: 0001562180-16-003395 · primarydocument.xml · nonDerivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,650.6588

SEC source: 0001562180-16-003309 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,076

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-003241 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,068

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-003171 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,057

Underlying: Common Stock · 10 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-003147 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,047

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-003075 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,035

Underlying: Common Stock · 10 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-003012 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,021

Underlying: Common Stock · 10 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-002939 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,011

Underlying: Common Stock · 172 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-002875 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,841

Underlying: Common Stock · 10 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-002799 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,832

Underlying: Common Stock · 10 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-002729 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,823

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-002644 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,815

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-002602 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,863

Underlying: Common Stock · 10,863 shares

Expires not disclosed

F1 · derivative.exercise_price: Upon lapse of the restrictions, these units are payable in cash or the company's common stock. The restrictions lapse for 2,715 of these units on 06/08/2017, 2,715 of these units on 06/08/2018, 2,715 of these units on 06/08/2019, and 2,718 of these units on 06/08/2020.

F1 · kind: Upon lapse of the restrictions, these units are payable in cash or the company's common stock. The restrictions lapse for 2,715 of these units on 06/08/2017, 2,715 of these units on 06/08/2018, 2,715 of these units on 06/08/2019, and 2,718 of these units on 06/08/2020.

F1 · derivative.exercise_date: Upon lapse of the restrictions, these units are payable in cash or the company's common stock. The restrictions lapse for 2,715 of these units on 06/08/2017, 2,715 of these units on 06/08/2018, 2,715 of these units on 06/08/2019, and 2,718 of these units on 06/08/2020.

F1 · derivative.expiration_date: Upon lapse of the restrictions, these units are payable in cash or the company's common stock. The restrictions lapse for 2,715 of these units on 06/08/2017, 2,715 of these units on 06/08/2018, 2,715 of these units on 06/08/2019, and 2,718 of these units on 06/08/2020.

SEC source: 0001562180-16-002440 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,803

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-002351 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,801

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-002224 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,791

Underlying: Common Stock · 186 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-002191 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,606

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-002118 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,602

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-002048 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,592

Underlying: Common Stock · 11 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-001976 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,583

Underlying: Common Stock · 4,090 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-001845 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,506

Underlying: Common Stock · 13 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-001632 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,508

Underlying: Common Stock · 14 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-001547 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,486

Underlying: Common Stock · 157 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-001454 · primarydocument.xml · nonDerivative · entry 2

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,563.3763

SEC source: 0001562180-16-001454 · primarydocument.xml · nonDerivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,964.3763

F1 · kind: These shares result from performance share units which vested at the end of the performance period (2013-2015) and were payable in cash or the company's common stock on the transaction date shown.

SEC source: 0001562180-16-001414 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,330

Underlying: Common Stock · 13 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-001322 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,319

Underlying: Common Stock · 13 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-001173 · primarydocument.xml · derivative · entry 2

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,306

Underlying: Common Stock · 580 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

SEC source: 0001562180-16-001173 · primarydocument.xml · derivative · entry 1

Rhodin Michael D. · CIK 0001481603 · Senior Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,726

Underlying: Common Stock · 12 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom stock units convert to the cash value of the company's common stock on a one-for-one basis.

F2 · kind: Acquisition of phantom stock units under the IBM Excess 401(k) Plus Plan.

F3 · derivative.exercise_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.

F3 · derivative.expiration_date: Distribution of phantom stock units under the IBM Excess 401(k) Plus Plan is deferred until separation from the company. The reporting person may transfer these phantom stock units into an alternative investment account under such plan.