Earl James F

SEC source: 0002104052-26-000104 · wk-form4_1781728331.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 49,767

F1 · price: Restricted stock units granted under the Issuer's 2026 Omnibus Incentive Plan represent a contingent right to receive the Issuer's common stock on a one-for-one basis when the restricted stock units vest. Each reported restricted stock unit vests on the anniversary of the grant date.

F2 · balance_after: Includes 43,517 shares acquired in a pro rata distribution by CLEH, Inc. on June 1, 2026 of all of the outstanding shares of the Issuer's common stock to the stockholders of CLEH, Inc.

SEC source: 0000045876-26-000276 · wk-form4_1780434846.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

F1 · kind: The Issuer is party to (x) that certain Agreement and Plan of Merger, dated as of November 20, 2025 (the "Merger Agreement"), by and among the Issuer, CLEH, Inc. (CLEH), Enviri LLC (Enviri LLC), Veolia Environment S.A. (Buyer) and Liberty Merger Sub Inc. (Merger Sub), and (y) that certain Separation Agreement, dated as of November 20, 2025 (the Separation Agreement), by and among the Company, CLEH, Buyer and Enviri II Corporation (New Enviri).

F2 · kind: On June 1, 2026, pursuant to the terms of the Merger Agreement and the Separation Agreement, a series of transactions occurred, including: (i) the Issuer merged with and into Enviri LLC, with Enviri LLC being the surviving entity of such merger, and each outstanding share of common stock of the Issuer was exchanged for one share of common stock, par value $1.25 per share, of CLEH (the Holding Company Merger), and (ii) following the Holding Company Merger, CLEH and its subsidiaries, including Enviri LLC and New Enviri, effected a reorganization (the Reorganization), resulting in (x) CLEH holding the Clean Earth segment of the Issuer and all the outstanding shares of common stock, par value $0.00001 per share, of New Enviri (New Enviri Common Stock), (y) New Enviri owning all of the equity interests of Enviri LLC and (z) Enviri LLC holding the Harsco Environmental and Rail segments of the Issuer

F3 · kind: Also on June 1, 2026, (i) following the Reorganization, CLEH distributed all of the outstanding shares of New Enviri common stock to the stockholders of CLEH (the former stockholders of the Issuer) on a pro rata basis (the Distribution); and (ii) immediately after the Distribution, Merger Sub, a wholly owned subsidiary of Buyer, merged with and into CLEH, with CLEH surviving as an indirect wholly owned subsidiary of Buyer (the Merger).

F4 · kind: In connection with the Holding Company Merger, Reorganization and Merger (collectively, the Transactions), the reporting person disposed of all of the shares of the Issuer held by the reporting person immediately prior to the effective time of the Holding Company Merger and, ultimately, received (x) in the Distribution, one share of New Enviri common stock in respect of every three shares of the Issuer previously held, and (y) in the Merger, cash consideration of $15.00 per share.

F1 · price: The Issuer is party to (x) that certain Agreement and Plan of Merger, dated as of November 20, 2025 (the "Merger Agreement"), by and among the Issuer, CLEH, Inc. (CLEH), Enviri LLC (Enviri LLC), Veolia Environment S.A. (Buyer) and Liberty Merger Sub Inc. (Merger Sub), and (y) that certain Separation Agreement, dated as of November 20, 2025 (the Separation Agreement), by and among the Company, CLEH, Buyer and Enviri II Corporation (New Enviri).

F2 · price: On June 1, 2026, pursuant to the terms of the Merger Agreement and the Separation Agreement, a series of transactions occurred, including: (i) the Issuer merged with and into Enviri LLC, with Enviri LLC being the surviving entity of such merger, and each outstanding share of common stock of the Issuer was exchanged for one share of common stock, par value $1.25 per share, of CLEH (the Holding Company Merger), and (ii) following the Holding Company Merger, CLEH and its subsidiaries, including Enviri LLC and New Enviri, effected a reorganization (the Reorganization), resulting in (x) CLEH holding the Clean Earth segment of the Issuer and all the outstanding shares of common stock, par value $0.00001 per share, of New Enviri (New Enviri Common Stock), (y) New Enviri owning all of the equity interests of Enviri LLC and (z) Enviri LLC holding the Harsco Environmental and Rail segments of the Issuer

F3 · price: Also on June 1, 2026, (i) following the Reorganization, CLEH distributed all of the outstanding shares of New Enviri common stock to the stockholders of CLEH (the former stockholders of the Issuer) on a pro rata basis (the Distribution); and (ii) immediately after the Distribution, Merger Sub, a wholly owned subsidiary of Buyer, merged with and into CLEH, with CLEH surviving as an indirect wholly owned subsidiary of Buyer (the Merger).

F4 · price: In connection with the Holding Company Merger, Reorganization and Merger (collectively, the Transactions), the reporting person disposed of all of the shares of the Issuer held by the reporting person immediately prior to the effective time of the Holding Company Merger and, ultimately, received (x) in the Distribution, one share of New Enviri common stock in respect of every three shares of the Issuer previously held, and (y) in the Merger, cash consideration of $15.00 per share.

SEC source: 0000045876-26-000123 · wk-form4_1779298876.xml · derivative · entry 2

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,009 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Represents the settlement of deferred compensation, held in the form of phantom stock units, in connection with Enviri's sale of its Clean Earth division. Each phantom stock unit settled in one share of Enviri common stock on May 18, 2026.

F1 · derivative.exercise_date: Represents the settlement of deferred compensation, held in the form of phantom stock units, in connection with Enviri's sale of its Clean Earth division. Each phantom stock unit settled in one share of Enviri common stock on May 18, 2026.

F1 · derivative.expiration_date: Represents the settlement of deferred compensation, held in the form of phantom stock units, in connection with Enviri's sale of its Clean Earth division. Each phantom stock unit settled in one share of Enviri common stock on May 18, 2026.

SEC source: 0000045876-26-000123 · wk-form4_1779298876.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,552

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.

SEC source: 0000045876-26-000114 · wk-form4_1778616279.xml · derivative · entry 2

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 18,309 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit vested at the close of business on the first anniversary of the May 7, 2025 grant date.

F1 · derivative.exercise_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit vested at the close of business on the first anniversary of the May 7, 2025 grant date.

F1 · derivative.expiration_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit vested at the close of business on the first anniversary of the May 7, 2025 grant date.

SEC source: 0000045876-26-000114 · wk-form4_1778616279.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 115,543

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.

SEC source: 0001628280-25-023751 · wk-form4_1746734608.xml · derivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,309

Underlying: Common Stock · 18,309 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the first anniversary of the grant date.

F1 · derivative.exercise_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the first anniversary of the grant date.

F1 · derivative.expiration_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the first anniversary of the grant date.

SEC source: 0001628280-25-020255 · wk-form4_1745870617.xml · derivative · entry 2

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,025 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Represents restricted stock units granted under the 2016 Non-Employee Director' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.exercise_date: Represents restricted stock units granted under the 2016 Non-Employee Director' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.expiration_date: Represents restricted stock units granted under the 2016 Non-Employee Director' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

SEC source: 0001628280-25-020255 · wk-form4_1745870617.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 97,234

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.

SEC source: 0001628280-24-022700 · wk-form4_1715376299.xml · derivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,025

Underlying: Common Stock · 16,025 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units granted under the 2016 Non-Employee Director' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.exercise_date: Represents restricted stock units granted under the 2016 Non-Employee Director' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.expiration_date: Represents restricted stock units granted under the 2016 Non-Employee Director' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

SEC source: 0001628280-24-017165 · wk-form4_1713820827.xml · derivative · entry 2

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,426 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.exercise_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.expiration_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

SEC source: 0001628280-24-017165 · wk-form4_1713820827.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 81,209

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.

SEC source: 0001628280-23-017589 · wf-form4_168383702615122.xml · derivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,426

Underlying: Common Stock · 13,426 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.exercise_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.expiration_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

SEC source: 0001628280-23-012405 · wf-form4_168210665064797.xml · derivative · entry 2

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 15,924 shares

Expires not disclosed

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

F1 · derivative.exercise_date: Restricted Stock Units convert into common stock on a one-for-one basis.

F2 · derivative.expiration_date: On May 9, 2022 the reporting person was granted 15,924 restricted stock units that vested on the earlier of (i) the first anniversary of the grant date or (ii) the issuer's annual meeting of stockholders in the year immediately following the year of the grant date.

SEC source: 0001628280-23-012405 · wf-form4_168210665064797.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 67,783

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.

SEC source: 0000899243-22-017553 · doc4.xml · derivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,924

Underlying: Common Stock · 15,924 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (1) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.exercise_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (1) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.expiration_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (1) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

SEC source: 0000899243-22-015429 · doc4.xml · derivative · entry 2

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,875

Underlying: Common Stock · 5,806 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On May 10, 2021, the reporting person was granted 5,806 restricted stock units that vested on the earlier of (i) the first anniversary of the grant date or (ii) the issuer's annual meeting of stockholders in the year Immediately following the year of the grant date.

F2 · derivative.expiration_date: On May 10, 2021, the reporting person was granted 5,806 restricted stock units that vested on the earlier of (i) the first anniversary of the grant date or (ii) the issuer's annual meeting of stockholders in the year Immediately following the year of the grant date.

SEC source: 0000899243-22-015429 · doc4.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,859

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.

SEC source: 0000045876-21-000083 · wf-form4_162081970181288.xml · derivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,681

Underlying: Common Stock · 5,806 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.exercise_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.expiration_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

SEC source: 0000045876-21-000066 · wf-form4_161902618371583.xml · derivative · entry 2

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,875

Underlying: Common Stock · 11,662 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On May 15, 2020, the reporting person was granted 11,662 restricted stock units that vested on the earlier of (i) the first anniversary of the grant date or (ii) the issuer's annual meeting of stockholders in the year immediately following the year of the grant date.

F2 · derivative.expiration_date: On May 15, 2020, the reporting person was granted 11,662 restricted stock units that vested on the earlier of (i) the first anniversary of the grant date or (ii) the issuer's annual meeting of stockholders in the year immediately following the year of the grant date.

SEC source: 0000045876-21-000066 · wf-form4_161902618371583.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,053

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.

SEC source: 0000045876-20-000113 · wf-form4_158981310021791.xml · derivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,537

Underlying: Common Stock · 11,662 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.exercise_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.expiration_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

SEC source: 0000045876-20-000090 · wf-form4_158756861471396.xml · derivative · entry 2

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,875

Underlying: Common Stock · 4,737 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On May 13, 2019, the reporting person was granted 4,737 restricted stock units that vested on the earlier of (i) the first anniversary of the grant date or (ii) the issuer's annual meeting of stockholders in the year immediately following the year of the grant date.

F2 · derivative.expiration_date: On May 13, 2019, the reporting person was granted 4,737 restricted stock units that vested on the earlier of (i) the first anniversary of the grant date or (ii) the issuer's annual meeting of stockholders in the year immediately following the year of the grant date.

SEC source: 0000045876-20-000090 · wf-form4_158756861471396.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,391

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.

SEC source: 0000045876-19-000104 · wf-form4_155794269386788.xml · derivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,612

Underlying: Common Stock · 4,737 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.exercise_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.expiration_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

SEC source: 0000045876-19-000053 · wf-form4_155619888064245.xml · derivative · entry 2

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,875

Underlying: Common Stock · 5,911 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On May 1, 2018, the reporting person was granted 5,911 restricted stock units that vested on the earlier of (i) the first anniversary of the grant date or (ii) the issuer's annual meeting of stockholders in the year immediately following the year of the grant date.

F2 · derivative.expiration_date: On May 1, 2018, the reporting person was granted 5,911 restricted stock units that vested on the earlier of (i) the first anniversary of the grant date or (ii) the issuer's annual meeting of stockholders in the year immediately following the year of the grant date.

SEC source: 0000045876-19-000053 · wf-form4_155619888064245.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,654

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.

SEC source: 0000045876-18-000063 · wf-form4_152528144730005.xml · derivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,786

Underlying: Common Stock · 5,911 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.exercise_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.expiration_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

SEC source: 0000045876-18-000031 · wf-form4_152028736445158.xml · derivative · entry 2

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,875

Underlying: Common Stock · 8,029 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On March 3, 2017, the reporting person was granted 8,029 restricted stock units that vested on the earlier of (i) the first anniversary of the grant date or (ii) the issuer's annual meeting of stockholders in the year immediately following the year of the grant date.

F2 · derivative.expiration_date: On March 3, 2017, the reporting person was granted 8,029 restricted stock units that vested on the earlier of (i) the first anniversary of the grant date or (ii) the issuer's annual meeting of stockholders in the year immediately following the year of the grant date.

SEC source: 0000045876-18-000031 · wf-form4_152028736445158.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,743

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.

SEC source: 0001246360-18-000382 · form.xml · nonDerivative · entry 4

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,859

F2 · shares: Represents the weighted average sale price. The highest price at which shares were sold was $71.79 and the lowest price at which shares were sold was $71.22

SEC source: 0001246360-18-000382 · form.xml · derivative · entry 5

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 19,200 shares

Expires 2020-01-24

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.

SEC source: 0001246360-18-000382 · form.xml · nonDerivative · entry 3

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 86,395

SEC source: 0001246360-18-000382 · form.xml · nonDerivative · entry 2

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,059

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.

SEC source: 0001246360-18-000332 · form.xml · nonDerivative · entry 4

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 82,859

F2 · shares: Represents the weighted average sale price. The highest price at which shares were sold was $69.91 and the lowest price at which shares were sold was $69.155

SEC source: 0001246360-18-000332 · form.xml · derivative · entry 5

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 21,500 shares

Expires 2019-01-26

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.

SEC source: 0001246360-18-000332 · form.xml · nonDerivative · entry 3

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,036

SEC source: 0001246360-18-000332 · form.xml · nonDerivative · entry 2

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,359

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.

SEC source: 0000045876-17-000047 · wf-form4_149331470832528.xml · derivative · entry 2

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,904.17

Underlying: Common Stock · 15,714 shares

Expires not disclosed

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

F1 · derivative.exercise_price: Restricted Stock Units convert into common stock on a one-for-one basis.

F2 · derivative.exercise_date: On May 6, 2016, the reporting person was granted 15,714 restricted stock units that vested on the first anniversary of the issuer's annual meeting of stockholders in the year immediately following the year of the grant date.

F2 · derivative.expiration_date: On May 6, 2016, the reporting person was granted 15,714 restricted stock units that vested on the first anniversary of the issuer's annual meeting of stockholders in the year immediately following the year of the grant date.

SEC source: 0000045876-17-000047 · wf-form4_149331470832528.xml · nonDerivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,714

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 · price: Restricted Stock Units convert into common stock on a one-for-one basis.

SEC source: 0000045876-17-000016 · wf-form4_148883191534055.xml · derivative · entry 1

Earl James F · CIK 0001310741 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,618.167

Underlying: Common Stock · 8,029 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.exercise_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

F1 · derivative.expiration_date: Represents restricted stock units granted under the 2016 Non-Employee Directors' Long-Term Equity Compensation Plan. Each restricted stock unit shall vest at the close of business on the earlier of (i) the first anniversary of the grant date or (ii) the annual meeting of the Issuer's stockholders in the year immediately following the year of the grant date.

SEC source: 0001246360-17-000380 · form.xml · derivative · entry 3

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,900

Underlying: Common Stock · 18,900 shares

Expires 2024-01-26

F1 · derivative.exercise_date: 33.33% of Stock Option granted may be exercised commencing 1 year from the date of the grant, an additional 33.33% commencing 2 years from the date of the grant and the remaining 33.34% commencing 3 years from the date of the grant.

SEC source: 0001246360-16-007193 · form.xml · nonDerivative · entry 4

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,145.264

F2 · shares: Represents the weighted average sale price. The highest price at which shares were sold was $50.86 and the lowest price at which shares were sold was $50.51

SEC source: 0001246360-16-007193 · form.xml · derivative · entry 5

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 27,300 shares

Expires 2018-01-27

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.

SEC source: 0001246360-16-007193 · form.xml · nonDerivative · entry 3

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 84,444.264

SEC source: 0001246360-16-007193 · form.xml · nonDerivative · entry 2

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,445.264

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.

SEC source: 0001246360-16-006999 · form.xml · nonDerivative · entry 4

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,145.264

F1 · shares: Represents the weighted average sale price. The highest price at which shares were sold was $46.19 and the lowest price at which shares were sold was $45.48

SEC source: 0001246360-16-006999 · form.xml · derivative · entry 5

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 25,400 shares

Expires 2017-01-28

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.

SEC source: 0001246360-16-006999 · form.xml · nonDerivative · entry 3

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,513.264

SEC source: 0001246360-16-006999 · form.xml · nonDerivative · entry 2

Earl James F · CIK 0001310741 · EVP and Pres., GATX Rail Intl.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,545.264

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.