Roche John C

SEC source: 0001062993-25-004106 · form4.xml · derivative · entry 4

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,943 shares

Expires 2025-02-27

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

F1 · kind: Pursuant to the terms of his 2/27/15 Option Agreement (the "Agreement"), in-the-money options held by Mr. Roche immediately prior to expiration of the option are automatically "net exercised". Accordingly, per the terms of the Agreement such options were "net exercised" on 2/27/25. To that end a total of 15,604 shares were withheld by the Company to satisfy the exercise price and taxes associated with the exercise, resulting in a net issuance of 7,339 shares to, and held by, Mr. Roche.

F4 · derivative.exercise_date: The option vested 1/3 on each of 02/27/16, 02/27/17 and 02/27/18.

SEC source: 0001062993-25-004106 · form4.xml · nonDerivative · entry 2

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 133,103.333

F1 · kind: Pursuant to the terms of his 2/27/15 Option Agreement (the "Agreement"), in-the-money options held by Mr. Roche immediately prior to expiration of the option are automatically "net exercised". Accordingly, per the terms of the Agreement such options were "net exercised" on 2/27/25. To that end a total of 15,604 shares were withheld by the Company to satisfy the exercise price and taxes associated with the exercise, resulting in a net issuance of 7,339 shares to, and held by, Mr. Roche.

F2 · balance_after: Does not include 14,454 shares held by the Reporting Person's spouse.

SEC source: 0001062993-25-004106 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 148,707.333

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

F1 · kind: Pursuant to the terms of his 2/27/15 Option Agreement (the "Agreement"), in-the-money options held by Mr. Roche immediately prior to expiration of the option are automatically "net exercised". Accordingly, per the terms of the Agreement such options were "net exercised" on 2/27/25. To that end a total of 15,604 shares were withheld by the Company to satisfy the exercise price and taxes associated with the exercise, resulting in a net issuance of 7,339 shares to, and held by, Mr. Roche.

F2 · balance_after: Does not include 14,454 shares held by the Reporting Person's spouse.

SEC source: 0001062993-25-003665 · form4.xml · derivative · entry 4

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,629

Underlying: Common Stock · 39,629 shares

Expires 2035-02-25

F5 · derivative.exercise_date: Such options vest as to one-third of the shares on each of the first three anniversaries of the grant date.

SEC source: 0001062993-25-003665 · form4.xml · nonDerivative · entry 3

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,764.333

F4 · kind: Grant of restricted stock units under the Issuer's 2022 Long-Term Incentive Plan. Such units vest on the third anniversary of the date of grant.

F2 · balance_after: Does not include 14,454 shares held by the Reporting Person's spouse.

SEC source: 0001062993-25-003665 · form4.xml · nonDerivative · entry 2

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 117,112.333

F3 · kind: On February 28, 2022, the Reporting Person was granted PBRSUs pursuant to the Issuer's 2014 Long-Term Incentive Plan. These PBRSUs were subject to a performance-based vesting condition related to three-year relative total shareholder return and a time-based vesting condition and also provided for the accumulation of dividend equivalent rights. On February 24, 2025, the performance condition for this award was certified at 25% of the target award (as adjusted for accumulated dividend equivalent rights). This award remains subject to the time-based vesting condition and will vest on February 28, 2025.

F2 · balance_after: Does not include 14,454 shares held by the Reporting Person's spouse.

SEC source: 0001062993-25-003665 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,368.333

F1 · kind: On February 28, 2022, the Reporting Person was granted performance-based restricted stock units ("PBRSUs") pursuant to the Issuer's 2014 Long-Term Incentive Plan. These PBRSUs were subject to a performance-based vesting condition related to three-year average adjusted return on equity and a time-based vesting condition and also provided for the accumulation of dividend equivalent rights. On February 24, 2025, the performance condition for this award was certified at 125% of the target award (as adjusted for accumulated dividend equivalent rights). This award remains subject to the time-based vesting condition and will vest on February 28, 2025.

F2 · balance_after: Does not include 14,454 shares held by the Reporting Person's spouse.

SEC source: 0001062993-24-021274 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,814.333

F1 · kind: Grant of restricted stock units ("RSUs") under the Issuer's 2022 Long-Term Incentive Plan ("2022 LTIP") in connection with the accrual of dividend equivalent rights associated with RSUs previously granted under the Issuer's 2022 LTIP or 2014 Long-Term Incentive Plan, as applicable. Such RSUs vest on the third anniversary of the date of grant of the original underlying RSUs.

F2 · balance_after: Does not include 14,454 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-24-020060 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,671.026

F1 · kind: Reflects shares withheld from a restricted stock unit award to cover FICA and related income tax obligations for executives eligible for retirement vesting under the terms of such award.

F2 · balance_after: Does not include 14,454 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-24-018532 · form4.xml · nonDerivative · entry 3

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 106,083.026

F2 · kind: Charitable gift of shares.

SEC source: 0001062993-24-018532 · form4.xml · nonDerivative · entry 2

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Indirect · By Spouse

Disclosed balance after: 14,454

F1 · kind: Change of ownership from direct to indirect as a result of a transfer of shares to his spouse for estate planning purposes.

SEC source: 0001062993-24-018532 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 107,108.026

F1 · kind: Change of ownership from direct to indirect as a result of a transfer of shares to his spouse for estate planning purposes.

SEC source: 0001062993-24-017075 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,910.026

F1 · kind: Grant of restricted stock units ("RSUs") under the Issuer's 2022 Long-Term Incentive Plan ("2022 LTIP") in connection with the accrual of dividend equivalent rights associated with RSUs previously granted under the Issuer's 2022 LTIP or 2014 Long-Term Incentive Plan, as applicable. Such RSUs vest on the third anniversary of the date of grant of the original underlying RSUs.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-24-013183 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,766.341

F1 · kind: Grant of restricted stock units ("RSUs") under the Issuer's 2022 Long-Term Incentive Plan ("2022 LTIP") in connection with the accrual of dividend equivalent rights associated with RSUs previously granted under the Issuer's 2022 LTIP or 2014 Long-Term Incentive Plan, as applicable. Such RSUs vest on the third anniversary of the date of grant of the original underlying RSUs.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-24-007566 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,599.138

F1 · kind: Grant of restricted stock units ("RSUs") under the Issuer's 2022 Long-Term Incentive Plan ("2022 LTIP") in connection with the accrual of dividend equivalent rights associated with RSUs previously granted under the Issuer's 2022 LTIP or 2014 Long-Term Incentive Plan, as applicable. Such RSUs vest on the third anniversary of the date of grant of the original underlying RSUs.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-24-004729 · form4.xml · derivative · entry 5

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,437

Underlying: Common Stock · 41,437 shares

Expires 2034-02-27

F6 · derivative.exercise_date: Such options vest as to one-third of the shares on each of the first three anniversaries of the grant date.

SEC source: 0001062993-24-004729 · form4.xml · nonDerivative · entry 4

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,446.067

F4 · kind: Grant of restricted stock units under the Issuer's 2022 Long-Term Incentive Plan. Such units vest on the third anniversary of the date of grant.

F5 · balance_after: Does not include 7,652 shares held by the Reporting Person's spouse.

SEC source: 0001062993-24-004729 · form4.xml · nonDerivative · entry 3

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,135.067

F3 · kind: Represents shares that were forfeited to pay withholding taxes upon the vesting of restricted stock units that were previously granted by the Issuer and vested on February 26, 2024. In connection with vesting, any fractional shares were rounded up to the next whole share in accordance with the terms of the award agreement.

F5 · balance_after: Does not include 7,652 shares held by the Reporting Person's spouse.

SEC source: 0001062993-24-004729 · form4.xml · nonDerivative · entry 2

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,367.904

F2 · kind: On February 26, 2021, the Reporting Person was granted PBRSUs pursuant to the Issuer's 2014 Long-Term Incentive Plan. These PBRSUs were subject to a performance-based vesting condition related to three-year relative total shareholder return and a three-year time-based vesting condition, and also provided for the accumulation of dividend equivalent rights. On February 26, 2024, the performance condition for this award was certified at 72.73% of the target award (as adjusted for accumulated dividend equivalent rights), and vested and was paid.

F5 · balance_after: Does not include 7,652 shares held by the Reporting Person's spouse.

SEC source: 0001062993-24-004729 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 109,045.904

F1 · kind: On February 26, 2021, the Reporting Person was granted performance-based restricted stock units ("PBRSUs") pursuant to the Issuer's 2014 Long-Term Incentive Plan. These PBRSUs were subject to a performance-based vesting condition related to three-year average adjusted return on equity and a three-year time-based vesting condition, and also provided for the accumulation of dividend equivalent rights. On February 26, 2024, the performance condition for this award was certified at 112% of the target award (as adjusted for accumulated dividend equivalent rights), and vested and was paid.

F5 · balance_after: Does not include 7,652 shares held by the Reporting Person's spouse.

SEC source: 0001062993-24-003645 · form4.xml · derivative · entry 3

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,305 shares

Expires 2024-02-19

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

F1 · kind: Pursuant to the terms of his 2/19/14 Option Agreement (the "Agreement"), in-the-money options held by Mr. Roche immediately prior to expiration of the option are automatically "net exercised". Accordingly, per the terms of the Agreement such options were "net exercised" on 2/16/24. To that end a total of 14,053 shares were withheld by the Company to satisfy the exercise price and taxes associated with the exercise, resulting in a net issuance of 8,252 shares to, and held by, Mr. Roche.

F3 · derivative.exercise_date: The option vested 1/3 on each of 02/19/15, 02/19/16 and 02/19/17.

SEC source: 0001062993-24-003645 · form4.xml · nonDerivative · entry 2

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 99,925.904

F1 · kind: Pursuant to the terms of his 2/19/14 Option Agreement (the "Agreement"), in-the-money options held by Mr. Roche immediately prior to expiration of the option are automatically "net exercised". Accordingly, per the terms of the Agreement such options were "net exercised" on 2/16/24. To that end a total of 14,053 shares were withheld by the Company to satisfy the exercise price and taxes associated with the exercise, resulting in a net issuance of 8,252 shares to, and held by, Mr. Roche.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-24-003645 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 113,978.904

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

F1 · kind: Pursuant to the terms of his 2/19/14 Option Agreement (the "Agreement"), in-the-money options held by Mr. Roche immediately prior to expiration of the option are automatically "net exercised". Accordingly, per the terms of the Agreement such options were "net exercised" on 2/16/24. To that end a total of 14,053 shares were withheld by the Company to satisfy the exercise price and taxes associated with the exercise, resulting in a net issuance of 8,252 shares to, and held by, Mr. Roche.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-24-000197 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,673.904

F1 · kind: Grant of restricted stock units ("RSUs") under the Issuer's 2022 Long-Term Incentive Plan ("2022 LTIP") in connection with the accrual of dividend equivalent rights associated with RSUs previously granted under the Issuer's 2022 LTIP or 2014 Long-Term Incentive Plan, as applicable. Such RSUs vest on the third anniversary of the date of grant of the original underlying RSUs.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-23-021828 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,511.552

F1 · kind: Reflects shares withheld from restricted stock unit awards to cover FICA and related income tax obligations for executives eligible for retirement vesting under the terms of such awards.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-23-018870 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,197.552

F1 · kind: Grant of restricted stock units ("RSUs") under the Issuer's 2022 Long-Term Incentive Plan ("2022 LTIP") in connection with the accrual of dividend equivalent rights associated with RSUs previously granted under the Issuer's 2022 LTIP or 2014 Long-Term Incentive Plan, as applicable. Such RSUs vest on the third anniversary of the date of grant of the original underlying RSUs.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-23-014331 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 92,024.541

F1 · kind: Grant of restricted stock units ("RSUs") under the Issuer's 2022 Long-Term Incentive Plan ("2022 LTIP") in connection with the accrual of dividend equivalent rights associated with RSUs previously granted under the Issuer's 2022 LTIP or 2014 Long-Term Incentive Plan, as applicable. Such RSUs vest on the third anniversary of the date of grant of the original underlying RSUs.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-23-008529 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 91,855.876

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan or the 2022 Long-Term Incentive Plan, as applicable, upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-23-005397 · form4.xml · nonDerivative · entry 4

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,708.447

F4 · kind: Represents shares that were forfeited to pay withholding taxes upon the vesting of restricted stock units that were previously granted by the Issuer and vested on February 28, 2023. In connection with vesting, any fractional shares were rounded up to the next whole share in accordance with the terms of the award agreement

F6 · balance_after: Does not include 7,652 shares held by the Reporting Person's spouse.

SEC source: 0001062993-23-005397 · form4.xml · derivative · entry 5

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,453

Underlying: Common Stock · 36,453 shares

Expires 2033-02-27

F5 · derivative.exercise_date: Such options vest as to one-third of the shares on each of the first three anniversaries of the grant date.

SEC source: 0001062993-23-005397 · form4.xml · nonDerivative · entry 3

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,725.389

F3 · kind: Grant of restricted stock units under the Issuer's 2022 Long-Term Incentive Plan. Such units vest on the third anniversary of the date of grant.

F6 · balance_after: Does not include 7,652 shares held by the Reporting Person's spouse.

SEC source: 0001062993-23-005397 · form4.xml · nonDerivative · entry 2

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 93,511.389

F2 · kind: On February 28, 2020, the Reporting Person was granted 6,934 (target) PBRSUs pursuant to the Issuer's 2014 Long-Term Incentive Plan. These PBRSUs were subject to a performance-based vesting condition related to three-year relative total shareholder return and a time-based vesting condition and also provided for the accumulation of dividend equivalent rights. On February 27, 2023, the performance condition for this award was certified at 86.96% of the target award (as adjusted for accumulated dividend equivalent rights) for the number of shares indicated. This award remained subject to the time-based vesting condition and vested on February 28, 2023.

F6 · balance_after: Does not include 7,652 shares held by the Reporting Person's spouse.

SEC source: 0001062993-23-005397 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,042.389

F1 · kind: On February 28, 2020, the Reporting Person was granted 6,326 (target) performance-based restricted stock units ("PBRSUs") pursuant to the Issuer's 2014 Long-Term Incentive Plan. These PBRSUs were subject to a performance-based vesting condition related to three-year average adjusted return on equity and a time-based vesting condition and also provided for the accumulation of dividend equivalent rights. On February 27, 2023, the performance condition for this award was certified at 130% of the target award (as adjusted for accumulated dividend equivalent rights) for the number of shares indicated. This award remained subject to the time-based vesting condition and vested on February 28, 2023.

F6 · balance_after: Does not include 7,652 shares held by the Reporting Person's spouse.

SEC source: 0001062993-23-005005 · form4.xml · derivative · entry 3

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,336 shares

Expires 2023-02-26

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

F1 · kind: Pursuant to the terms of his 2/26/13 Option Agreement (the "Agreement"), in-the-money options held by Mr. Roche immediately prior to expiration of the option are automatically "net exercised". Accordingly, per the terms of the Agreement such options were "net exercised" on 2/24/23. To that end a total of 3,326 shares were withheld by the Company to satisfy the exercise price and taxes associated with the exercise, resulting in a net issuance of 3,010 shares to, and held by, Mr. Roche.

F3 · derivative.exercise_date: The option vested 1/3 on each of 02/26/14, 02/26/15 and 02/26/16.

SEC source: 0001062993-23-005005 · form4.xml · nonDerivative · entry 2

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 78,220.389

F1 · kind: Pursuant to the terms of his 2/26/13 Option Agreement (the "Agreement"), in-the-money options held by Mr. Roche immediately prior to expiration of the option are automatically "net exercised". Accordingly, per the terms of the Agreement such options were "net exercised" on 2/24/23. To that end a total of 3,326 shares were withheld by the Company to satisfy the exercise price and taxes associated with the exercise, resulting in a net issuance of 3,010 shares to, and held by, Mr. Roche.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-23-005005 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 81,546.389

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

F1 · kind: Pursuant to the terms of his 2/26/13 Option Agreement (the "Agreement"), in-the-money options held by Mr. Roche immediately prior to expiration of the option are automatically "net exercised". Accordingly, per the terms of the Agreement such options were "net exercised" on 2/24/23. To that end a total of 3,326 shares were withheld by the Company to satisfy the exercise price and taxes associated with the exercise, resulting in a net issuance of 3,010 shares to, and held by, Mr. Roche.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-23-000331 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,210.389

F1 · kind: Grant of restricted stock units under the Issuer's 2022 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-22-020339 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,079.538

F1 · kind: Grant of restricted stock units under the Issuer's 2022 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-22-015563 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,952.513

F1 · kind: Grant of restricted stock units under the Issuer's 2022 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-22-010725 · form4.xml · derivative · entry 3

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,336

Underlying: Common Stock · 922 shares

Expires 2023-02-26

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

F1 · kind: Exercise of options scheduled to expire in February 2023 and resulting sale of shares reported were effected pursuant to a pre-established Rule 10b5-1 Trading Plan.

F4 · derivative.exercise_date: The option, representing the right to purchase a total of 21,774 shares, vested 1/3 each on of 2/26/14, 2/26/15 and 2/26/16, and is scheduled to expire on 2/26/23.

SEC source: 0001062993-22-010725 · form4.xml · nonDerivative · entry 2

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,843.088

F1 · kind: Exercise of options scheduled to expire in February 2023 and resulting sale of shares reported were effected pursuant to a pre-established Rule 10b5-1 Trading Plan.

F3 · price: The price reported in Column 4 is a weighted average price. The shares were sold at multiple prices ranging from $155.00 to $155.40. The Reporting Person undertakes to provide to The Hanover Insurance Group, Inc. ("THG"), any security holder of THG, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-22-010725 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,765.088

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

F1 · kind: Exercise of options scheduled to expire in February 2023 and resulting sale of shares reported were effected pursuant to a pre-established Rule 10b5-1 Trading Plan.

F2 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-22-008948 · form4.xml · derivative · entry 7

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,258

Underlying: Common Stock · 2,725 shares

Expires 2023-02-26

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

F2 · kind: Exercise of options scheduled to expire in February 2023 and resulting sale of shares reported were effected pursuant to a pre-established Rule 10b5-1 Trading Plan.

F6 · derivative.exercise_date: The option, representing the right to purchase a total of 21,774 shares, vested 1/3 each on of 2/24/14, 2/26/15 and 2/26/16, and is scheduled to expire on 2/26/23.

SEC source: 0001062993-22-008948 · form4.xml · nonDerivative · entry 5

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,843.088

F2 · kind: Exercise of options scheduled to expire in February 2023 and resulting sale of shares reported were effected pursuant to a pre-established Rule 10b5-1 Trading Plan.

F5 · price: The price reported in Column 4 is a weighted average price. The shares were sold at multiple prices ranging from $150.11 to $150.99. The Reporting Person undertakes to provide to THG, any security holder of THG, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

F3 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-22-008948 · form4.xml · nonDerivative · entry 4

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 77,568.088

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

F2 · kind: Exercise of options scheduled to expire in February 2023 and resulting sale of shares reported were effected pursuant to a pre-established Rule 10b5-1 Trading Plan.

F3 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-22-008948 · form4.xml · derivative · entry 6

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,983

Underlying: Common Stock · 4,533 shares

Expires 2023-02-26

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

F2 · kind: Exercise of options scheduled to expire in February 2023 and resulting sale of shares reported were effected pursuant to a pre-established Rule 10b5-1 Trading Plan.

F6 · derivative.exercise_date: The option, representing the right to purchase a total of 21,774 shares, vested 1/3 each on of 2/24/14, 2/26/15 and 2/26/16, and is scheduled to expire on 2/26/23.

SEC source: 0001062993-22-008948 · form4.xml · nonDerivative · entry 3

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,843.088

F2 · kind: Exercise of options scheduled to expire in February 2023 and resulting sale of shares reported were effected pursuant to a pre-established Rule 10b5-1 Trading Plan.

F4 · price: The price reported in Column 4 is a weighted average price. The shares were sold at multiple prices ranging from $150.00 to $150.640. The Reporting Person undertakes to provide to The Hanover Insurance Group, Inc. ("THG"), any security holder of THG, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

F3 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-22-008948 · form4.xml · nonDerivative · entry 2

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,376.088

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

F2 · kind: Exercise of options scheduled to expire in February 2023 and resulting sale of shares reported were effected pursuant to a pre-established Rule 10b5-1 Trading Plan.

F3 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-22-008948 · form4.xml · nonDerivative · entry 1

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,843.088

F1 · kind: Grant of restricted stock units under the Issuer's 2014 Long-Term Incentive Plan upon the accrual of dividend rights associated with restricted stock units previously granted by the Issuer. Such units vest on the third anniversary of the date of grant of the underlying restricted stock units.

F3 · balance_after: Does not include 7,652 shares held indirectly by the Reporting Person's spouse.

SEC source: 0001062993-22-008202 · form4.xml · derivative · entry 4

Roche John C · CIK 0001428157 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,516

Underlying: Common Stock · 7,258 shares

Expires 2023-02-26

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

F1 · kind: Exercise of options scheduled to expire in February 2023 and resulting sale of shares reported were effected pursuant to a pre-established Rule 10b5-1 Trading Plan.

F5 · derivative.exercise_date: The option, representing the right to purchase a total of 21,774 shares, vested 1/3 on each of 2/26/14, 2/26/15 and 2/26/16, and is scheduled to expire on 2/26/2023.