KESSLER JAMES FRANCIS

SEC source: 0001209191-24-003579 · doc4.xml · derivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,322

Underlying: Common Shares · 1,322 shares

Expires not disclosed

F1 · derivative.exercise_price: Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share. The dividend equivalent rights accrued in respect of the 2021 grant of performance share units, and become exercisable proportionately with the performance share units to which they relate.

F2 · date: The RB Global, Inc. Compensation Committee determined that the PSUs, previously granted to the reporting person, are eligible for vesting because certain performance criteria were satisfied.

F1 · derivative.exercise_date: Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share. The dividend equivalent rights accrued in respect of the 2021 grant of performance share units, and become exercisable proportionately with the performance share units to which they relate.

F1 · derivative.expiration_date: Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share. The dividend equivalent rights accrued in respect of the 2021 grant of performance share units, and become exercisable proportionately with the performance share units to which they relate.

SEC source: 0001209191-23-059714 · doc4.xml · derivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 420

Underlying: Common Shares · 208 shares

Expires not disclosed

F1 · derivative.exercise_price: Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share. The dividend equivalent rights accrued in respect of the 2023 grant of restricted share units (RSU), and become exercisable proportionately with the restricted share units to which they relate.

F1 · derivative.exercise_date: Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share. The dividend equivalent rights accrued in respect of the 2023 grant of restricted share units (RSU), and become exercisable proportionately with the restricted share units to which they relate.

F1 · derivative.expiration_date: Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share. The dividend equivalent rights accrued in respect of the 2023 grant of restricted share units (RSU), and become exercisable proportionately with the restricted share units to which they relate.

SEC source: 0001209191-23-055250 · doc4.xml · nonDerivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,261

SEC source: 0001209191-23-049636 · doc4.xml · derivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 211

Underlying: Common Shares · 211 shares

Expires not disclosed

F1 · derivative.exercise_price: Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share. The dividend equivalent rights accrued in respect of the 2023 grant of restricted share units (RSU), and become exercisable proportionately with the restricted share units to which they relate.

F1 · derivative.exercise_date: Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share. The dividend equivalent rights accrued in respect of the 2023 grant of restricted share units (RSU), and become exercisable proportionately with the restricted share units to which they relate.

F1 · derivative.expiration_date: Each dividend equivalent right represents a contingent right to receive the economic equivalent of one RBA common share. The dividend equivalent rights accrued in respect of the 2023 grant of restricted share units (RSU), and become exercisable proportionately with the restricted share units to which they relate.

SEC source: 0001209191-23-046452 · doc4.xml · nonDerivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 63,011

SEC source: 0001209191-23-046143 · doc4.xml · nonDerivative · entry 2

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 61,011

SEC source: 0001209191-23-045248 · doc4.xml · derivative · entry 2

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,678

Underlying: Common Shares · 0 shares

Expires not disclosed

F3 · derivative.exercise_price: Each RSU represents a contingent right to receive one RBA common share or the economic equivalent thereof.

F4 · derivative.exercise_date: The RSUs vest in three equal annual installments beginning March 15, 2024. The common shares underlying vested RSUs will be released to the reporting person, net of tax.

F4 · derivative.expiration_date: The RSUs vest in three equal annual installments beginning March 15, 2024. The common shares underlying vested RSUs will be released to the reporting person, net of tax.

SEC source: 0001209191-23-045248 · doc4.xml · derivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 166,981

Underlying: Common Shares · 166,981 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 8, 2023 and vests in three equal annual installments beginning March 15, 2024.

F2 · derivative.expiration_date: The option expires on August 8, 2033; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-23-019445 · doc4.xml · nonDerivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,686

F1 · shares: Tax Withholding on the 2020 PSUs and DERs that vested on March 4, 2023.

SEC source: 0001209191-23-016254 · doc4.xml · derivative · entry 5

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 4,923 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each PSU and DER represented a contingent right to receive one RBA common share or the economic equivalent thereof. The PSUs and DERs vested on March 4, 2023, the PSUs and DERs will be settled in common shares issued to the reporting person, net applicable tax, as soon as practicable

F3 · derivative.exercise_date: Each PSU and DER represented a contingent right to receive one RBA common share or the economic equivalent thereof. The PSUs and DERs vested on March 4, 2023, the PSUs and DERs will be settled in common shares issued to the reporting person, net applicable tax, as soon as practicable

F3 · derivative.expiration_date: Each PSU and DER represented a contingent right to receive one RBA common share or the economic equivalent thereof. The PSUs and DERs vested on March 4, 2023, the PSUs and DERs will be settled in common shares issued to the reporting person, net applicable tax, as soon as practicable

SEC source: 0001209191-23-016254 · doc4.xml · derivative · entry 4

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 98,886 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each PSU and DER represented a contingent right to receive one RBA common share or the economic equivalent thereof. The PSUs and DERs vested on March 4, 2023, the PSUs and DERs will be settled in common shares issued to the reporting person, net applicable tax, as soon as practicable

F3 · derivative.exercise_date: Each PSU and DER represented a contingent right to receive one RBA common share or the economic equivalent thereof. The PSUs and DERs vested on March 4, 2023, the PSUs and DERs will be settled in common shares issued to the reporting person, net applicable tax, as soon as practicable

F3 · derivative.expiration_date: Each PSU and DER represented a contingent right to receive one RBA common share or the economic equivalent thereof. The PSUs and DERs vested on March 4, 2023, the PSUs and DERs will be settled in common shares issued to the reporting person, net applicable tax, as soon as practicable

SEC source: 0001209191-23-016254 · doc4.xml · nonDerivative · entry 2

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,809

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

F1 · shares: Represents pre-tax amount of award. Share issuance will be made net of tax withholding ("TW").

F3 · price: Each PSU and DER represented a contingent right to receive one RBA common share or the economic equivalent thereof. The PSUs and DERs vested on March 4, 2023, the PSUs and DERs will be settled in common shares issued to the reporting person, net applicable tax, as soon as practicable

SEC source: 0001209191-23-016254 · doc4.xml · nonDerivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,923

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

F1 · shares: Represents pre-tax amount of award. Share issuance will be made net of tax withholding ("TW").

F2 · shares: Includes the March 3, 2023 accrued PSU dividend equivalent rights.

F3 · price: Each PSU and DER represented a contingent right to receive one RBA common share or the economic equivalent thereof. The PSUs and DERs vested on March 4, 2023, the PSUs and DERs will be settled in common shares issued to the reporting person, net applicable tax, as soon as practicable

SEC source: 0001209191-23-016182 · doc4.xml · derivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,923

Underlying: Common Shares · 450 shares

Expires not disclosed

F1 · derivative.exercise_price: Each dividend equivalent right represents a contingent right to receive one RBA common share or the economic equivalent thereof. DERs accrued in respect of the 2020 PSUs vest and become exercisable concurrently with the PSUs to which they relate.

F1 · derivative.exercise_date: Each dividend equivalent right represents a contingent right to receive one RBA common share or the economic equivalent thereof. DERs accrued in respect of the 2020 PSUs vest and become exercisable concurrently with the PSUs to which they relate.

F1 · derivative.expiration_date: Each dividend equivalent right represents a contingent right to receive one RBA common share or the economic equivalent thereof. DERs accrued in respect of the 2020 PSUs vest and become exercisable concurrently with the PSUs to which they relate.

SEC source: 0001209191-23-010065 · doc4.xml · derivative · entry 2

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,473

Underlying: Common Shares · 4,473 shares

Expires not disclosed

F4 · derivative.exercise_price: Each dividend equivalent right represents a contingent right to receive one RBA common share or the economic equivalent thereof. DERs accrued in respect of the 2020 PSUs vest and become exercisable concurrently with the PSUs to which they relate.

F2 · date: The RBA Compensation Committee determined that the PSUs, previously granted to the reporting person, are eligible for vesting because certain performance criteria were satisfied.

F4 · derivative.exercise_date: Each dividend equivalent right represents a contingent right to receive one RBA common share or the economic equivalent thereof. DERs accrued in respect of the 2020 PSUs vest and become exercisable concurrently with the PSUs to which they relate.

F4 · derivative.expiration_date: Each dividend equivalent right represents a contingent right to receive one RBA common share or the economic equivalent thereof. DERs accrued in respect of the 2020 PSUs vest and become exercisable concurrently with the PSUs to which they relate.

SEC source: 0001209191-23-010065 · doc4.xml · derivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 98,886

Underlying: Common Shares · 98,886 shares

Expires not disclosed

F1 · derivative.exercise_price: Each PSU represents a contingent right to receive one RBA common share or the economic equivalent thereof.

F2 · date: The RBA Compensation Committee determined that the PSUs, previously granted to the reporting person, are eligible for vesting because certain performance criteria were satisfied.

F3 · derivative.exercise_date: The PSUs vest on 3/4/2023.The commons shares underlying vested PSUs or the cash value thereof (as determined by the Committee in accordance with the RBA Senior Executive Performance Share Unit Plan) will be paid to the reporting person, net of tax, as soon as practicable following the end of the month in which the PSUs vest.

F3 · derivative.expiration_date: The PSUs vest on 3/4/2023.The commons shares underlying vested PSUs or the cash value thereof (as determined by the Committee in accordance with the RBA Senior Executive Performance Share Unit Plan) will be paid to the reporting person, net of tax, as soon as practicable following the end of the month in which the PSUs vest.

SEC source: 0001209191-23-002943 · doc4.xml · nonDerivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: Not disclosed

Ownership: Indirect · Employee Stock Purchase Plan

Disclosed balance after: 308

F1 · kind: This report is being filed voluntarily to reflect ESPP shares purchased from January 21, 2022 through December 31, 2022 in multiple transactions exempted by Rule 16b-3(c).

F2 · price: The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions from January 21, 2022 through December 31, 2022, at prices ranging from $60.976 to $60.976, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth above.

SEC source: 0001209191-22-019203 · doc4.xml · derivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,483

Underlying: Common Shares · 59,483 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on March 15, 2022 and vests equally in three equal annual installments beginning March 14, 2023.

F2 · derivative.expiration_date: The option expires on March 14, 2032; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-22-004474 · doc4.xml · nonDerivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · President & COO

10b5-1 filing: Not disclosed

Ownership: Indirect · Employee Stock Purchase Plan

Disclosed balance after: 164

F1 · kind: This report is being filed voluntarily to reflect ESPP shares purchased from December 31, 2020 through December 31, 2021 in multiple transactions exempted by Rule 16b-3(c).

F2 · price: The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions from December 31, 2020 through December 31, 2021, at prices ranging from $61.59 to $61.93, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth above.

SEC source: 0001209191-21-051766 · doc4.xml · derivative · entry 3

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,355

Underlying: Common Shares · 31,355 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051766 · doc4.xml · derivative · entry 2

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,615

Underlying: Common Shares · 25,615 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-051766 · doc4.xml · derivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,742

Underlying: Common Shares · 20,742 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on August 12, 2021 and vests equally in three equal annual installments beginning August 11, 2022.

F2 · derivative.expiration_date: The option expires on August 12, 2027; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-015106 · doc4.xml · derivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,658

Underlying: Common Shares · 45,658 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on February 25, 2021 and vests equally in three equal annual installments beginning February 25, 2022.

F2 · derivative.expiration_date: The option expires on February 25, 2031; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.

SEC source: 0001209191-21-002935 · doc4.xml · nonDerivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Employee Stock Purchase Plan

Disclosed balance after: 39

F1 · kind: This report is being filed voluntarily to reflect ESPP shares purchased from May 11, 2020 through December 31, 2020, in multiple transactions exempted by Rule 16b-3(c).

F2 · price: The price reported in Column 4 is a weighted average price. The shares were acquired in multiple transactions from May 11, 2020 through December 31, 2020, at prices ranging from $48.11 to $70.20, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within the ranges set forth above.

SEC source: 0001209191-20-029001 · doc4.xml · derivative · entry 1

KESSLER JAMES FRANCIS · CIK 0001811969 · Chief Operating Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,649

Underlying: Common Shares · 53,649 shares

Expires not disclosed

F1 · derivative.exercise_date: The option was granted on May 12, 2020 and vests equally in three equal annual installments beginning May 12, 2021.

F2 · derivative.expiration_date: The option expires on May 12, 2030; provided, however, that if such date occurs during a black out period (as defined in the RBA Amended and Restated Stock Option Plan) applicable to the reporting person or within five business days (as defined in such Plan) after the last day of a black out period applicable to the reporting person, the expiry date for the option will be the last day of such five business day period.