Mink Kim Ann

SEC source: 0000899243-20-003574 · doc4.xml · derivative · entry 8

Mink Kim Ann · CIK 0001660951 · Director · Chairman, CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 73,333 shares

Expires 2028-04-02

F3 · price: Pursuant to the Merger Agreement, each stock option outstanding and unexercised immediately prior to the Effective Time immediately vested (if unvested) and was converted into the right to receive an amount in cash equal to (i) the number of shares of Common Stock subject to such stock option multiplied by (ii) the excess of (x) $32.00 over (y) the exercise price payable in respect of each share of Common Stock subject to such stock option, less any applicable tax withholding; provided, however, that stock options with an exercise price equal to or greater than $32.00 were cancelled without the right to receive any cash payment in consideration thereof.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each stock option outstanding and unexercised immediately prior to the Effective Time immediately vested (if unvested) and was converted into the right to receive an amount in cash equal to (i) the number of shares of Common Stock subject to such stock option multiplied by (ii) the excess of (x) $32.00 over (y) the exercise price payable in respect of each share of Common Stock subject to such stock option, less any applicable tax withholding; provided, however, that stock options with an exercise price equal to or greater than $32.00 were cancelled without the right to receive any cash payment in consideration thereof.

SEC source: 0000899243-20-003574 · doc4.xml · derivative · entry 7

Mink Kim Ann · CIK 0001660951 · Director · Chairman, CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 40,235 shares

Expires 2027-04-03

F3 · price: Pursuant to the Merger Agreement, each stock option outstanding and unexercised immediately prior to the Effective Time immediately vested (if unvested) and was converted into the right to receive an amount in cash equal to (i) the number of shares of Common Stock subject to such stock option multiplied by (ii) the excess of (x) $32.00 over (y) the exercise price payable in respect of each share of Common Stock subject to such stock option, less any applicable tax withholding; provided, however, that stock options with an exercise price equal to or greater than $32.00 were cancelled without the right to receive any cash payment in consideration thereof.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each stock option outstanding and unexercised immediately prior to the Effective Time immediately vested (if unvested) and was converted into the right to receive an amount in cash equal to (i) the number of shares of Common Stock subject to such stock option multiplied by (ii) the excess of (x) $32.00 over (y) the exercise price payable in respect of each share of Common Stock subject to such stock option, less any applicable tax withholding; provided, however, that stock options with an exercise price equal to or greater than $32.00 were cancelled without the right to receive any cash payment in consideration thereof.

SEC source: 0000899243-20-003574 · doc4.xml · derivative · entry 6

Mink Kim Ann · CIK 0001660951 · Director · Chairman, CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 83,152 shares

Expires 2026-04-01

F3 · price: Pursuant to the Merger Agreement, each stock option outstanding and unexercised immediately prior to the Effective Time immediately vested (if unvested) and was converted into the right to receive an amount in cash equal to (i) the number of shares of Common Stock subject to such stock option multiplied by (ii) the excess of (x) $32.00 over (y) the exercise price payable in respect of each share of Common Stock subject to such stock option, less any applicable tax withholding; provided, however, that stock options with an exercise price equal to or greater than $32.00 were cancelled without the right to receive any cash payment in consideration thereof.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each stock option outstanding and unexercised immediately prior to the Effective Time immediately vested (if unvested) and was converted into the right to receive an amount in cash equal to (i) the number of shares of Common Stock subject to such stock option multiplied by (ii) the excess of (x) $32.00 over (y) the exercise price payable in respect of each share of Common Stock subject to such stock option, less any applicable tax withholding; provided, however, that stock options with an exercise price equal to or greater than $32.00 were cancelled without the right to receive any cash payment in consideration thereof.

SEC source: 0000899243-20-003574 · doc4.xml · derivative · entry 5

Mink Kim Ann · CIK 0001660951 · Director · Chairman, CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 55,195 shares

Expires 2025-12-14

F3 · price: Pursuant to the Merger Agreement, each stock option outstanding and unexercised immediately prior to the Effective Time immediately vested (if unvested) and was converted into the right to receive an amount in cash equal to (i) the number of shares of Common Stock subject to such stock option multiplied by (ii) the excess of (x) $32.00 over (y) the exercise price payable in respect of each share of Common Stock subject to such stock option, less any applicable tax withholding; provided, however, that stock options with an exercise price equal to or greater than $32.00 were cancelled without the right to receive any cash payment in consideration thereof.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, each stock option outstanding and unexercised immediately prior to the Effective Time immediately vested (if unvested) and was converted into the right to receive an amount in cash equal to (i) the number of shares of Common Stock subject to such stock option multiplied by (ii) the excess of (x) $32.00 over (y) the exercise price payable in respect of each share of Common Stock subject to such stock option, less any applicable tax withholding; provided, however, that stock options with an exercise price equal to or greater than $32.00 were cancelled without the right to receive any cash payment in consideration thereof.

SEC source: 0000899243-20-003574 · doc4.xml · derivative · entry 4

Mink Kim Ann · CIK 0001660951 · Director · Chairman, CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,708 shares

Expires not disclosed

F2 · derivative.exercise_price: Each performance share represented the right to receive shares of Common Stock, subject to the achievement of certain performance measures. Pursuant to the Merger Agreement, as of the Effective Time, each performance share outstanding and unvested immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash equal to (i) the target number of shares of Common Stock subject to such performance share multiplied by (ii) $32.00, plus the amount of any accrued but unpaid dividend equivalents associated with such performance share, less any applicable tax withholding.

F2 · price: Each performance share represented the right to receive shares of Common Stock, subject to the achievement of certain performance measures. Pursuant to the Merger Agreement, as of the Effective Time, each performance share outstanding and unvested immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash equal to (i) the target number of shares of Common Stock subject to such performance share multiplied by (ii) $32.00, plus the amount of any accrued but unpaid dividend equivalents associated with such performance share, less any applicable tax withholding.

F2 · derivative.exercise_date: Each performance share represented the right to receive shares of Common Stock, subject to the achievement of certain performance measures. Pursuant to the Merger Agreement, as of the Effective Time, each performance share outstanding and unvested immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash equal to (i) the target number of shares of Common Stock subject to such performance share multiplied by (ii) $32.00, plus the amount of any accrued but unpaid dividend equivalents associated with such performance share, less any applicable tax withholding.

F2 · derivative.expiration_date: Each performance share represented the right to receive shares of Common Stock, subject to the achievement of certain performance measures. Pursuant to the Merger Agreement, as of the Effective Time, each performance share outstanding and unvested immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash equal to (i) the target number of shares of Common Stock subject to such performance share multiplied by (ii) $32.00, plus the amount of any accrued but unpaid dividend equivalents associated with such performance share, less any applicable tax withholding.

SEC source: 0000899243-20-003574 · doc4.xml · derivative · entry 3

Mink Kim Ann · CIK 0001660951 · Director · Chairman, CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,350 shares

Expires not disclosed

F2 · derivative.exercise_price: Each performance share represented the right to receive shares of Common Stock, subject to the achievement of certain performance measures. Pursuant to the Merger Agreement, as of the Effective Time, each performance share outstanding and unvested immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash equal to (i) the target number of shares of Common Stock subject to such performance share multiplied by (ii) $32.00, plus the amount of any accrued but unpaid dividend equivalents associated with such performance share, less any applicable tax withholding.

F2 · price: Each performance share represented the right to receive shares of Common Stock, subject to the achievement of certain performance measures. Pursuant to the Merger Agreement, as of the Effective Time, each performance share outstanding and unvested immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash equal to (i) the target number of shares of Common Stock subject to such performance share multiplied by (ii) $32.00, plus the amount of any accrued but unpaid dividend equivalents associated with such performance share, less any applicable tax withholding.

F2 · derivative.exercise_date: Each performance share represented the right to receive shares of Common Stock, subject to the achievement of certain performance measures. Pursuant to the Merger Agreement, as of the Effective Time, each performance share outstanding and unvested immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash equal to (i) the target number of shares of Common Stock subject to such performance share multiplied by (ii) $32.00, plus the amount of any accrued but unpaid dividend equivalents associated with such performance share, less any applicable tax withholding.

F2 · derivative.expiration_date: Each performance share represented the right to receive shares of Common Stock, subject to the achievement of certain performance measures. Pursuant to the Merger Agreement, as of the Effective Time, each performance share outstanding and unvested immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash equal to (i) the target number of shares of Common Stock subject to such performance share multiplied by (ii) $32.00, plus the amount of any accrued but unpaid dividend equivalents associated with such performance share, less any applicable tax withholding.

SEC source: 0000899243-20-003574 · doc4.xml · derivative · entry 2

Mink Kim Ann · CIK 0001660951 · Director · Chairman, CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 9,016 shares

Expires not disclosed

F2 · derivative.exercise_price: Each performance share represented the right to receive shares of Common Stock, subject to the achievement of certain performance measures. Pursuant to the Merger Agreement, as of the Effective Time, each performance share outstanding and unvested immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash equal to (i) the target number of shares of Common Stock subject to such performance share multiplied by (ii) $32.00, plus the amount of any accrued but unpaid dividend equivalents associated with such performance share, less any applicable tax withholding.

F2 · price: Each performance share represented the right to receive shares of Common Stock, subject to the achievement of certain performance measures. Pursuant to the Merger Agreement, as of the Effective Time, each performance share outstanding and unvested immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash equal to (i) the target number of shares of Common Stock subject to such performance share multiplied by (ii) $32.00, plus the amount of any accrued but unpaid dividend equivalents associated with such performance share, less any applicable tax withholding.

F2 · derivative.exercise_date: Each performance share represented the right to receive shares of Common Stock, subject to the achievement of certain performance measures. Pursuant to the Merger Agreement, as of the Effective Time, each performance share outstanding and unvested immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash equal to (i) the target number of shares of Common Stock subject to such performance share multiplied by (ii) $32.00, plus the amount of any accrued but unpaid dividend equivalents associated with such performance share, less any applicable tax withholding.

F2 · derivative.expiration_date: Each performance share represented the right to receive shares of Common Stock, subject to the achievement of certain performance measures. Pursuant to the Merger Agreement, as of the Effective Time, each performance share outstanding and unvested immediately prior to the Effective Time was cancelled and converted into the right to receive an amount in cash equal to (i) the target number of shares of Common Stock subject to such performance share multiplied by (ii) $32.00, plus the amount of any accrued but unpaid dividend equivalents associated with such performance share, less any applicable tax withholding.

SEC source: 0000899243-20-003574 · doc4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director · Chairman, CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F1 · price: Pursuant to the Agreement and Plan of Merger among the Issuer, Iris Parent LLC ("Parent") and Iris Merger Sub 2019, Inc. dated as of October 20, 2019, the Issuer became a wholly owned subsidiary of Parent upon consummation of the merger (the "Effective Time") on February 7, 2020. At the Effective Time, each share of the Issuer's common stock, par value $0.001 per share ("Common Stock"), (including each restricted share) was automatically converted into the right to receive $32.00 in cash, without interest.

SEC source: 0000899243-20-000050 · doc4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,574

F1 · kind: Represents the number of shares of common stock that were withheld for tax purposes in connection with the vesting of certain restricted shares and restricted stock units.

SEC source: 0001127602-20-000316 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferred Comp Plan

Disclosed balance after: 9,808

F1 · balance_after: Includes shares acquired pursuant to a dividend reinvestment feature of the PolyOne Corporation Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0000899243-19-025258 · doc4.xml · derivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,144

Underlying: Common Stock · 424 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom Stock Units credited under the Directors' Deferred Compensation Plan, each having a value equal to the market value of one share of issuer common stock and payable only in cash after termination of service as a director.

F2 · shares: Automatic deferral of a portion of director's annual retainer fees that would otherwise have been paid in cash into the director's stock account of the Directors' Deferred Compensation Plan.

F2 · price: Automatic deferral of a portion of director's annual retainer fees that would otherwise have been paid in cash into the director's stock account of the Directors' Deferred Compensation Plan.

F1 · derivative.exercise_date: Phantom Stock Units credited under the Directors' Deferred Compensation Plan, each having a value equal to the market value of one share of issuer common stock and payable only in cash after termination of service as a director.

F1 · derivative.expiration_date: Phantom Stock Units credited under the Directors' Deferred Compensation Plan, each having a value equal to the market value of one share of issuer common stock and payable only in cash after termination of service as a director.

F2 · derivative.underlying_shares: Automatic deferral of a portion of director's annual retainer fees that would otherwise have been paid in cash into the director's stock account of the Directors' Deferred Compensation Plan.

F3 · balance_after: Includes 15 units credited since April 5, 2019 as hypothetical reinvestment of dividend equivalents.

SEC source: 0001127602-19-029362 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferred Comp Plan

Disclosed balance after: 8,881

F1 · balance_after: Includes shares acquired pursuant to a dividend reinvestment feature of the PolyOne Corporation Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0001127602-19-023321 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferred Comp Plan

Disclosed balance after: 7,839

F1 · balance_after: Includes shares acquired pursuant to a dividend reinvestment feature of the PolyOne Corporation Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0000899243-19-012140 · doc4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,390

F1 · shares: Restricted shares, with restrictions generally lapsing immediately prior to election of the issuer's directors at the annual meeting of stockholders on May 7, 2020, subject to certain conditions related to continued service as a director.

SEC source: 0000899243-19-010326 · doc4.xml · derivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 705

Underlying: Common Stock · 366 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom Stock Units credited under the Directors' Deferred Compensation Plan, each having a value equal to the market value of one share of issuer common stock and payable only in cash after termination of service as a director.

F2 · shares: Automatic deferral of a portion of director's annual retainer fees that would otherwise have been paid in cash into the director's stock account of the Directors' Deferred Compensation Plan.

F2 · price: Automatic deferral of a portion of director's annual retainer fees that would otherwise have been paid in cash into the director's stock account of the Directors' Deferred Compensation Plan.

F1 · derivative.exercise_date: Phantom Stock Units credited under the Directors' Deferred Compensation Plan, each having a value equal to the market value of one share of issuer common stock and payable only in cash after termination of service as a director.

F1 · derivative.expiration_date: Phantom Stock Units credited under the Directors' Deferred Compensation Plan, each having a value equal to the market value of one share of issuer common stock and payable only in cash after termination of service as a director.

F2 · derivative.underlying_shares: Automatic deferral of a portion of director's annual retainer fees that would otherwise have been paid in cash into the director's stock account of the Directors' Deferred Compensation Plan.

F3 · balance_after: Includes 17 units credited since October 5, 2018 as hypothetical reinvestment of dividend equivalents.

SEC source: 0000899243-19-009605 · doc4.xml · derivative · entry 2

Mink Kim Ann · CIK 0001660951 · Director · Chairman, CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 149,828

Underlying: Common Stock · 149,828 shares

Expires 2029-04-01

F2 · derivative.exercise_date: The reporting person was granted options on April 1, 2019. Options vest in three equal annual installments beginning December 31, 2019. The second installment date is December 31, 2020, followed by third installment date of December 31, 2021.

SEC source: 0000899243-19-009605 · doc4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director · Chairman, CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,784

F1 · shares: On April 1, 2019, these shares of restricted common stock were granted to the reporting person to be held in escrow, subject to certain vesting and forfeiture provisions. The grant vests in three equal installments over a three year period beginning December 31, 2019. The second installment date is December 31, 2020, followed by the third installment due on December 31, 2021.

SEC source: 0001127602-19-014096 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferred Comp Plan

Disclosed balance after: 6,749

F1 · balance_after: Includes shares acquired pursuant to a dividend reinvestment feature of the PolyOne Corporation Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0001127602-19-000696 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferred Comp Plan

Disclosed balance after: 5,607

F1 · balance_after: Includes shares acquired pursuant to a dividend reinvestment feature of the PolyOne Corporation Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0000899243-19-000274 · doc4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,173

F1 · kind: Represents the number of shares of common stock that were withheld for tax purposes in connection with the vesting of certain restricted shares and restricted stock units.

SEC source: 0000899243-18-026377 · doc4.xml · derivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 332

Underlying: Common Stock · 332 shares

Expires not disclosed

F1 · derivative.exercise_price: Phantom Stock Units credited under the Directors' Deferred Compensation Plan, each having a value equal to the market value of one share of issuer common stock and payable only in cash after termination of service as a director.

F2 · shares: Automatic deferral of a portion of director's annual retainer fees that would otherwise have been paid in cash into the director's stock account of the Directors' Deferred Compensation Plan.

F2 · price: Automatic deferral of a portion of director's annual retainer fees that would otherwise have been paid in cash into the director's stock account of the Directors' Deferred Compensation Plan.

F1 · derivative.exercise_date: Phantom Stock Units credited under the Directors' Deferred Compensation Plan, each having a value equal to the market value of one share of issuer common stock and payable only in cash after termination of service as a director.

F1 · derivative.expiration_date: Phantom Stock Units credited under the Directors' Deferred Compensation Plan, each having a value equal to the market value of one share of issuer common stock and payable only in cash after termination of service as a director.

F2 · derivative.underlying_shares: Automatic deferral of a portion of director's annual retainer fees that would otherwise have been paid in cash into the director's stock account of the Directors' Deferred Compensation Plan.

SEC source: 0001127602-18-028788 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferred Comp Plan

Disclosed balance after: 4,444

F1 · balance_after: Includes shares acquired pursuant to a dividend reinvestment feature of the PolyOne Corporation Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0001127602-18-022285 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferred Comp Plan

Disclosed balance after: 3,688

F1 · balance_after: Includes 9 shares acquired on April 5, 2018 pursuant to a dividend reinvestment feature of the PolyOne Corporation Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0000899243-18-009319 · doc4.xml · derivative · entry 2

Mink Kim Ann · CIK 0001660951 · Director · Chairman, CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,333

Underlying: Common Stock · 73,333 shares

Expires 2028-04-02

F2 · derivative.exercise_date: The reporting person was granted options on April 2, 2018. Options vest in 3 equal annual installments beginning December 31, 2018, The second installment date is December 31, 2019, followed by third installment date of December 31, 2020.

SEC source: 0000899243-18-009319 · doc4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director · Chairman, CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,064

F1 · shares: On April 2, 2018 these shares of restricted common stock were granted to the reporting person to be held in escrow, subject to certain vesting and forfeiture provisions. The grant vests in three equal installments over a three year period beginning December 31, 2018. The second installment date is December 31, 2019, followed by the third installment due on December 31, 2020.

SEC source: 0001127602-18-013792 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferred Comp Plan

Disclosed balance after: 3,019

F1 · balance_after: Includes 6 shares acquired on January 10, 2018 pursuant to a dividend reinvestment feature of the PolyOne Corporation Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0001127602-18-000176 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferred Comp Plan

Disclosed balance after: 2,336

F1 · balance_after: Includes 2 shares acquired on October 5, 2017 pursuant to a dividend reinvestment feature of the PolyOne Corporation Deferred Compensation Plan for Non-Employee Directors.

SEC source: 0000899243-18-000253 · doc4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director · Chairman, President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 71,263

F1 · kind: Represents the number of shares of common stock that were withheld for tax purposes in connection with the vesting of certain restricted shares and restricted stock units.

SEC source: 0001127602-17-028642 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferred Comp Plan

Disclosed balance after: 1,678

SEC source: 0001127602-17-022979 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferred Comp Plan

Disclosed balance after: 964

SEC source: 0001127602-17-014101 · form4.xml · derivative · entry 2

Mink Kim Ann · CIK 0001660951 · Director · CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,235

Underlying: Common Stock · 40,235 shares

Expires 2027-03-31

F2 · derivative.exercise_date: The reporting person was granted options on April 3, 2017. Options vest in 3 equal installments beginning December 31, 2017. The second installment is December 31, 2018, followed by the third installment date of December 31, 2019.

SEC source: 0001127602-17-014101 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director · CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,027

F1 · shares: On April 3, 2017, the reporting person was granted restricted shares of the issuer's common stock, subject to certain vesting and forfeiture provisions. The grant vests in three equal annual installments beginning on December 31, 2017.

SEC source: 0001127602-17-013932 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Deferred Comp Plan

Disclosed balance after: 224

SEC source: 0001127602-17-000376 · form4.xml · nonDerivative · entry 1

Mink Kim Ann · CIK 0001660951 · Director · CEO, President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,006

F1 · kind: Represents the number of shares of common stock that were withheld for tax purposes in connection with the vesting of certain restricted shares and restricted stock units.