Shea Patrick James

SEC source: 0001562180-19-000922 · primarydocument.xml · derivative · entry 5

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,055

Underlying: Common Shares · 3,055 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.

F2 · derivative.exercise_date: Represents the conversion upon vesting of restricted share units into common shares of the Issuer. The restricted share units were awarded on February 11, 2016 and have a vesting schedule of 25% per year over a four-year period. The common shares are reported on Table 1.

F2 · derivative.expiration_date: Represents the conversion upon vesting of restricted share units into common shares of the Issuer. The restricted share units were awarded on February 11, 2016 and have a vesting schedule of 25% per year over a four-year period. The common shares are reported on Table 1.

SEC source: 0001562180-19-000922 · primarydocument.xml · nonDerivative · entry 2

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,607

F1 · kind: Represents shares withheld by the Issuer in satisfaction of the applicable withholding taxes due in connection with the vesting of restricted share units and delivery of the converted common shares.

SEC source: 0001562180-19-000922 · primarydocument.xml · nonDerivative · entry 1

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,398

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: 0001562180-18-002599 · primarydocument.xml · nonDerivative · entry 3

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,343

SEC source: 0001562180-18-002599 · primarydocument.xml · nonDerivative · entry 2

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,353

SEC source: 0001562180-18-002599 · primarydocument.xml · nonDerivative · entry 1

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,853

SEC source: 0001562180-18-001294 · primarydocument.xml · derivative · entry 3

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,876

Underlying: Common Shares · 1,625 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.

F2 · derivative.exercise_date: Represents the conversion upon vesting of restricted share units into common shares of the Issuer. The performance-based restricted share unit award was granted on February 24, 2017 and contained a performance target that was achieved by the Issuer over the one fiscal year period that ended December 31, 2017. As a result, the award shall vest 25% per year over the four-year period following the date of grant. The common shares are reported on Table 1.

F2 · derivative.expiration_date: Represents the conversion upon vesting of restricted share units into common shares of the Issuer. The performance-based restricted share unit award was granted on February 24, 2017 and contained a performance target that was achieved by the Issuer over the one fiscal year period that ended December 31, 2017. As a result, the award shall vest 25% per year over the four-year period following the date of grant. The common shares are reported on Table 1.

SEC source: 0001562180-18-001294 · primarydocument.xml · nonDerivative · entry 2

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,863

F1 · kind: Represents shares withheld by the Issuer in satisfaction of the applicable withholding taxes due in connection with the vesting of restricted share units and delivery of the converted common shares.

SEC source: 0001562180-18-001294 · primarydocument.xml · nonDerivative · entry 1

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,503

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: 0001562180-18-001136 · primarydocument.xml · derivative · entry 2

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,055

Underlying: Common Shares · 3,055 shares

Expires not disclosed

F2 · derivative.exercise_date: Represents an award of performance-based restricted share units. The target number of units is presented in the table. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the number of units that actually vest at the end of the three-year performance period will be 0% to 250% of the scheduled amount, depending on the extent to which the Issuer meets or exceeds certain performance goals at the end of each year during the performance period. The maximum number of units that may vest at the end of the three-year performance period is 7,637 (250% of the target number).

F2 · derivative.expiration_date: Represents an award of performance-based restricted share units. The target number of units is presented in the table. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the number of units that actually vest at the end of the three-year performance period will be 0% to 250% of the scheduled amount, depending on the extent to which the Issuer meets or exceeds certain performance goals at the end of each year during the performance period. The maximum number of units that may vest at the end of the three-year performance period is 7,637 (250% of the target number).

SEC source: 0001562180-18-001136 · primarydocument.xml · derivative · entry 1

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,673

Underlying: Common Shares · 5,673 shares

Expires not disclosed

F1 · derivative.exercise_date: Represents an award of performance based restricted share units. The target number of units is presented in the table. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the number of units that actually vest over the four-year vesting period will be either 0% or 100% of the scheduled amount, depending on whether the Issuer meets certain performance goals at the end of the first year of the vesting period. If the Issuer meets its performance goals at the end of the first year vesting period, then the units shall vest in four equal annual installments.

F1 · derivative.expiration_date: Represents an award of performance based restricted share units. The target number of units is presented in the table. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the number of units that actually vest over the four-year vesting period will be either 0% or 100% of the scheduled amount, depending on whether the Issuer meets certain performance goals at the end of the first year of the vesting period. If the Issuer meets its performance goals at the end of the first year vesting period, then the units shall vest in four equal annual installments.

SEC source: 0001562180-18-000991 · primarydocument.xml · derivative · entry 3

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Shares · 3,042 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.

F2 · derivative.exercise_date: Represents the conversion upon vesting of restricted share units into common shares of the Issuer. The restricted share units were awarded on February 13, 2014 and have a vesting schedule of 25% per year over a four-year period. The common shares are reported on Table 1.

F2 · derivative.expiration_date: Represents the conversion upon vesting of restricted share units into common shares of the Issuer. The restricted share units were awarded on February 13, 2014 and have a vesting schedule of 25% per year over a four-year period. The common shares are reported on Table 1.

SEC source: 0001562180-18-000991 · primarydocument.xml · nonDerivative · entry 2

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 40,878

F1 · kind: Represents shares withheld by the Issuer in satisfaction of the applicable withholding taxes due in connection with the vesting of restricted share units and delivery of the converted common shares.

SEC source: 0001562180-18-000991 · primarydocument.xml · nonDerivative · entry 1

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,619

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: 0001562180-18-000739 · primarydocument.xml · derivative · entry 6

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,927

Underlying: Common Shares · 3,925 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_date: Represents the conversion upon vesting of restricted share units into common shares of the Issuer. The restricted share units were awarded on February 12, 2015 and have a vesting schedule of 25% per year over a four-year period. The common shares are reported on Table 1.

F3 · derivative.expiration_date: Represents the conversion upon vesting of restricted share units into common shares of the Issuer. The restricted share units were awarded on February 12, 2015 and have a vesting schedule of 25% per year over a four-year period. The common shares are reported on Table 1.

SEC source: 0001562180-18-000739 · primarydocument.xml · nonDerivative · entry 4

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,577

F1 · kind: Represents shares withheld by the Issuer in satisfaction of the applicable withholding taxes due in connection with the vesting of restricted share units and delivery of the converted common shares.

SEC source: 0001562180-18-000739 · primarydocument.xml · nonDerivative · entry 3

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,533

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: 0001562180-18-000739 · primarydocument.xml · derivative · entry 5

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,110

Underlying: Commons Shares · 3,056 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.

F2 · derivative.exercise_date: Represents the conversion upon vesting of restricted share units into common shares of the Issuer. The restricted share units were awarded on February 11, 2016 and have a vesting schedule of 25% per year over a four-year period. The common shares are reported on Table 1.

F2 · derivative.expiration_date: Represents the conversion upon vesting of restricted share units into common shares of the Issuer. The restricted share units were awarded on February 11, 2016 and have a vesting schedule of 25% per year over a four-year period. The common shares are reported on Table 1.

SEC source: 0001562180-18-000739 · primarydocument.xml · nonDerivative · entry 2

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,608

F1 · kind: Represents shares withheld by the Issuer in satisfaction of the applicable withholding taxes due in connection with the vesting of restricted share units and delivery of the converted common shares.

SEC source: 0001562180-18-000739 · primarydocument.xml · nonDerivative · entry 1

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,408

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: 0001562180-18-000295 · primarydocument.xml · nonDerivative · entry 1

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,352

SEC source: 0001144204-17-031314 · v468564_form4.xml · nonDerivative · entry 3

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,248

F1 · balance_after: The number of common shares listed in Column 5 of Table I excludes the number of unvested performance-based restricted share units ("PSUs") and restricted share units ("RSUs") previously granted by Waste Connections, Inc. (the "Issuer") to the reporting person. As of the date of this Form 4, the reporting person owns an additional 18,014 PSUs (with the number of units that actually vest at the end of each applicable performance period being 0% to 250% of the scheduled amount, depending on the terms of the PSU and the extent to which the Issuer meets or exceeds certain performance goals at the end of each year during the performance period) and 2,028 RSUs. PSUs and RSUs are exercisable in cash, an equal number of the Issuer's common shares, or a combination thereof. The reporting person will report his PSUs and RSUs separately in Table II of each subsequent Form 4 filed by the reporting person.

SEC source: 0001144204-17-031314 · v468564_form4.xml · nonDerivative · entry 2

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,248

F1 · balance_after: The number of common shares listed in Column 5 of Table I excludes the number of unvested performance-based restricted share units ("PSUs") and restricted share units ("RSUs") previously granted by Waste Connections, Inc. (the "Issuer") to the reporting person. As of the date of this Form 4, the reporting person owns an additional 18,014 PSUs (with the number of units that actually vest at the end of each applicable performance period being 0% to 250% of the scheduled amount, depending on the terms of the PSU and the extent to which the Issuer meets or exceeds certain performance goals at the end of each year during the performance period) and 2,028 RSUs. PSUs and RSUs are exercisable in cash, an equal number of the Issuer's common shares, or a combination thereof. The reporting person will report his PSUs and RSUs separately in Table II of each subsequent Form 4 filed by the reporting person.

SEC source: 0001144204-17-031314 · v468564_form4.xml · nonDerivative · entry 1

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,248

F1 · balance_after: The number of common shares listed in Column 5 of Table I excludes the number of unvested performance-based restricted share units ("PSUs") and restricted share units ("RSUs") previously granted by Waste Connections, Inc. (the "Issuer") to the reporting person. As of the date of this Form 4, the reporting person owns an additional 18,014 PSUs (with the number of units that actually vest at the end of each applicable performance period being 0% to 250% of the scheduled amount, depending on the terms of the PSU and the extent to which the Issuer meets or exceeds certain performance goals at the end of each year during the performance period) and 2,028 RSUs. PSUs and RSUs are exercisable in cash, an equal number of the Issuer's common shares, or a combination thereof. The reporting person will report his PSUs and RSUs separately in Table II of each subsequent Form 4 filed by the reporting person.

SEC source: 0001562180-17-000959 · primarydocument.xml · nonDerivative · entry 3

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,221

F3 · shares: Represents shares withheld by the Company from an award of restricted share units in satisfaction of the applicable withholding taxes due as a result of the vesting of those restricted share units through an automatic share withholding procedure. Pursuant to this procedure, the Company withholds as the units vest a portion of the vested shares issuable under the award with a fair market value (measured as of the vesting date) equal to the amount of such withholding taxes.

SEC source: 0001562180-17-000959 · primarydocument.xml · nonDerivative · entry 2

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,923

F2 · price: Represents a grant of performance-based restricted share units under the Waste Connections, Inc. (the "Company") 2016 Incentive Award Plan (the "2016 Plan"). The target number of units is presented in the table. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the number of units that actually vest at the end of the three-year performance period will be 0% to 250% of the scheduled amount, depending on the extent to which the Company meets or exceeds certain performance goals at the end of each year during the performance period. The maximum number of units that may vest at the end of the three-year performance period is 5,835 (250% of the target number). Vested restricted share units will be paid in cash, an equal number of shares of the Company's common shares, or a combination thereof.

SEC source: 0001562180-17-000959 · primarydocument.xml · nonDerivative · entry 1

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,589

F1 · price: Represents a grant of performance-based restricted share units under the Waste Connections, Inc. (the "Company") 2016 Incentive Award Plan (the "2016 Plan"). The target number of units is presented in the table. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the number of units that will actually vest over the four year vesting period will be either 0% or 100% of the scheduled amount, depending on whether the Company meets certain performance goals at the end of the first year of the vesting period. If the Company meets its performance goals at the end of the first year vesting period, then the units shall vest in four equal annual installments. Vested restricted share units will be paid in cash, an equal number of shares of the Company's common shares, or a combination thereof.

SEC source: 0001562180-17-000673 · primarydocument.xml · nonDerivative · entry 3

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,255

F1 · shares: Represents shares withheld by the Company from an award of restricted stock units in satisfaction of the applicable withholding taxes due as a result of the vesting of those restricted stock units through an automatic share withholding procedure. Pursuant to this procedure, the Company withholds as the units vest a portion of the vested shares issuable under the award with a fair market value (measured as of the vesting date) equal to the amount of such withholding taxes.

SEC source: 0001562180-17-000673 · primarydocument.xml · nonDerivative · entry 2

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,878

F1 · shares: Represents shares withheld by the Company from an award of restricted stock units in satisfaction of the applicable withholding taxes due as a result of the vesting of those restricted stock units through an automatic share withholding procedure. Pursuant to this procedure, the Company withholds as the units vest a portion of the vested shares issuable under the award with a fair market value (measured as of the vesting date) equal to the amount of such withholding taxes.

SEC source: 0001562180-17-000673 · primarydocument.xml · nonDerivative · entry 1

Shea Patrick James · CIK 0001428227 · Sr. VP, General Counsel & Sec

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,661

F1 · shares: Represents shares withheld by the Company from an award of restricted stock units in satisfaction of the applicable withholding taxes due as a result of the vesting of those restricted stock units through an automatic share withholding procedure. Pursuant to this procedure, the Company withholds as the units vest a portion of the vested shares issuable under the award with a fair market value (measured as of the vesting date) equal to the amount of such withholding taxes.