Whall Timothy J.

SEC source: 0001193125-26-261929 · ownership.xml · nonDerivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 14,404

F1 · security: Represents a grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · shares: The shares underlying this restricted stock unit award vest on the date preceding the date of the Issuer's 2027 annual meeting of stockholders, subject to the Reporting Person's continued service with the Issuer on such date.

SEC source: 0000950170-25-083182 · ownership.xml · nonDerivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,182

F1 · security: Represents a grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · shares: The shares underlying this restricted stock unit award vest on the date preceding the date of the Issuer's 2026 annual meeting of stockholders, subject to the Reporting Person's continued service with the Issuer on such date.

SEC source: 0000950170-24-070868 · ownership.xml · nonDerivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,672

F1 · security: Represents a grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · shares: The shares underlying this restricted stock unit award vest on the date preceding the date of the Issuer's 2025 annual meeting of stockholders, subject to the Reporting Person's continued service with the Issuer on such date.

SEC source: 0001209191-23-035897 · doc4.xml · nonDerivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,368

F1 · security: Represents a grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · shares: The shares underlying this restricted stock unit award vest on the date preceding the date of the Issuer's 2024 annual meeting of stockholders, subject to the Reporting Person's continued service with the Issuer on such date.

SEC source: 0001209191-22-034889 · doc4.xml · nonDerivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,531

F1 · security: Represents a grant of restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer.

F2 · shares: The shares underlying this restricted stock unit award vest on the date preceding the date of the Issuer's 2023 annual meeting of stockholders, subject to the Reporting Person's continued service with the Issuer on such date.

SEC source: 0001209191-21-054295 · doc4.xml · nonDerivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,305

F1 · shares: This security represents restricted stock units. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer. The shares underlying the restricted stock unit will vest in full on the day immediately preceding the Issuer's 2022 Annual Meeting of Stockholders, provided the Reporting Person remains a director of the Issuer on such vesting date.

SEC source: 0001104659-20-040416 · a4.xml · derivative · entry 2

Whall Timothy J. · CIK 0001493999 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 2,023.24 shares

Expires not disclosed

F3 · derivative.exercise_price: Pursuant to the Merger Agreement, Merger Sub merged with and into the Issuer on March 30, 2020, with the Issuer surviving as a wholly-owned subsidiary of Parent. At the effective time of the Merger, each phantom share unit outstanding, whether vested or unvested, automatically and without any required action on the part of the Reporting Person, became fully vested and was cancelled in exchange for a right to receive a cash payment in an amount equal to $27.10, without interest, for each ordinary share underlying the phantom share unit, less any required withholding taxes.

F3 · price: Pursuant to the Merger Agreement, Merger Sub merged with and into the Issuer on March 30, 2020, with the Issuer surviving as a wholly-owned subsidiary of Parent. At the effective time of the Merger, each phantom share unit outstanding, whether vested or unvested, automatically and without any required action on the part of the Reporting Person, became fully vested and was cancelled in exchange for a right to receive a cash payment in an amount equal to $27.10, without interest, for each ordinary share underlying the phantom share unit, less any required withholding taxes.

F3 · derivative.exercise_date: Pursuant to the Merger Agreement, Merger Sub merged with and into the Issuer on March 30, 2020, with the Issuer surviving as a wholly-owned subsidiary of Parent. At the effective time of the Merger, each phantom share unit outstanding, whether vested or unvested, automatically and without any required action on the part of the Reporting Person, became fully vested and was cancelled in exchange for a right to receive a cash payment in an amount equal to $27.10, without interest, for each ordinary share underlying the phantom share unit, less any required withholding taxes.

F3 · derivative.expiration_date: Pursuant to the Merger Agreement, Merger Sub merged with and into the Issuer on March 30, 2020, with the Issuer surviving as a wholly-owned subsidiary of Parent. At the effective time of the Merger, each phantom share unit outstanding, whether vested or unvested, automatically and without any required action on the part of the Reporting Person, became fully vested and was cancelled in exchange for a right to receive a cash payment in an amount equal to $27.10, without interest, for each ordinary share underlying the phantom share unit, less any required withholding taxes.

SEC source: 0001104659-20-040416 · a4.xml · derivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Ordinary Shares · 7,631 shares

Expires not disclosed

F1 · price: Pursuant to an Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 23, 2019, among Culligan International Company, a Delaware corporation ("Parent"), Amberjack Merger Sub Limited, a business company incorporated under the laws of the British Virgin Islands and a subsidiary of Parent ("Merger Sub"), and the Issuer, Merger Sub merged with and into the Issuer on March 30, 2020, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger").

F2 · price: At the effective time of the Merger, each unvested restricted share unit outstanding, automatically and without any required action on the part of the Reporting Person, became fully vested and was cancelled in exchange for a right to receive a cash payment in an amount equal to $27.10, without interest, for each ordinary share underlying the restricted share unit, less any required withholding taxes.

F1 · derivative.exercise_date: Pursuant to an Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 23, 2019, among Culligan International Company, a Delaware corporation ("Parent"), Amberjack Merger Sub Limited, a business company incorporated under the laws of the British Virgin Islands and a subsidiary of Parent ("Merger Sub"), and the Issuer, Merger Sub merged with and into the Issuer on March 30, 2020, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger").

F2 · derivative.exercise_date: At the effective time of the Merger, each unvested restricted share unit outstanding, automatically and without any required action on the part of the Reporting Person, became fully vested and was cancelled in exchange for a right to receive a cash payment in an amount equal to $27.10, without interest, for each ordinary share underlying the restricted share unit, less any required withholding taxes.

F1 · derivative.expiration_date: Pursuant to an Agreement and Plan of Merger (the "Merger Agreement"), dated as of December 23, 2019, among Culligan International Company, a Delaware corporation ("Parent"), Amberjack Merger Sub Limited, a business company incorporated under the laws of the British Virgin Islands and a subsidiary of Parent ("Merger Sub"), and the Issuer, Merger Sub merged with and into the Issuer on March 30, 2020, with the Issuer surviving as a wholly-owned subsidiary of Parent (the "Merger").

F2 · derivative.expiration_date: At the effective time of the Merger, each unvested restricted share unit outstanding, automatically and without any required action on the part of the Reporting Person, became fully vested and was cancelled in exchange for a right to receive a cash payment in an amount equal to $27.10, without interest, for each ordinary share underlying the restricted share unit, less any required withholding taxes.

SEC source: 0001179110-20-000159 · edgar.xml · derivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 391.89

Underlying: Ordinary Shares · 391.89 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share unit (which is in the form of a deferred compensation share unit) is the economic equivalent of one ordinary share of the Issuer.

F2 · shares: Represents the number of phantom share units credited to the reporting person's deferred account pursuant to the Program which was established under the Issuer's 2016 Share Option and Incentive Plan. The number of whole and fractional phantom share units credited to the reporting person's deferred account is equal to 120% of the aggregate deferred cash fees that would otherwise be payable on such date divided by the closing price of the Issuer's ordinary shares on the award date.

F3 · derivative.exercise_date: Whole and fractional phantom share units credited to the reporting person's deferred account shall be settled in ordinary shares and cash, respectively, upon the earlier of the reporting person's death, disability, separation from the board, sale event (as defined in the Plan) or December 31, 2021.

F3 · derivative.expiration_date: Whole and fractional phantom share units credited to the reporting person's deferred account shall be settled in ordinary shares and cash, respectively, upon the earlier of the reporting person's death, disability, separation from the board, sale event (as defined in the Plan) or December 31, 2021.

SEC source: 0001179110-19-010812 · edgar.xml · derivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,631.35

Underlying: Ordinary Share · 1,631.35 shares

Expires not disclosed

F1 · derivative.exercise_price: Each phantom share unit (which is in the form of a deferred compensation share unit) is the economic equivalent of one ordinary share of the Issuer.

F2 · shares: Represents the number of phantom share units credited to the reporting person's deferred account pursuant to the Issuer's Independent Directors' Deferred Compensation Program (the "Program") which was established under the Issuer's 2016 Share Option and Incentive Plan (the "Plan"). The number of whole and fractional phantom share units credited to the reporting person's deferred account is equal to 120% of the aggregate deferred cash fees that would otherwise be payable on such date divided by the closing price of the Issuer's ordinary shares on the award date.

F3 · derivative.exercise_date: Whole and fractional phantom share units credited to the reporting person's deferred account shall be settled in ordinary shares and cash, respectively, upon the earlier of the reporting person's death, disability, separation from the board, sale event (as defined in the Plan) or December 31, 2020.

F3 · derivative.expiration_date: Whole and fractional phantom share units credited to the reporting person's deferred account shall be settled in ordinary shares and cash, respectively, upon the earlier of the reporting person's death, disability, separation from the board, sale event (as defined in the Plan) or December 31, 2020.

SEC source: 0001703056-18-000065 · wf-form4_153868443343558.xml · derivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director · CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,656

Underlying: Common Stock · 649 shares

Expires not disclosed

F1 · derivative.exercise_price: Each Restricted Stock Unit represents the contingent right to receive one share of the Issuer's Common Stock upon vesting.

F2 · shares: Represents Dividend Equivalent Units, which are being awarded with respect to awards of Restricted Stock Units and which vest on January 18, 2021.

F3 · derivative.expiration_date: Not applicable.

SEC source: 0000950142-18-001529 · es1800870_4-whall.xml · nonDerivative · entry 2

Whall Timothy J. · CIK 0001493999 · Director · CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,027,872

F2 · security: Dividend equivalent units, which are being awarded with respect to awards of restricted stock units and which vest on January 18, 2021.

SEC source: 0000950142-18-001529 · es1800870_4-whall.xml · nonDerivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director · CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,027,217

F1 · security: Dividend equivalent units, which are being awarded with respect to awards of restricted stock units and which vest on January 18, 2021. Due to an administrative oversight, this transaction is being reported late.

SEC source: 0000950142-18-000207 · es1800207_4-whall.xml · nonDerivative · entry 2

Whall Timothy J. · CIK 0001493999 · Director · CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 870,319.5

F1 · kind: On each of July 1, 2015, and August 11, 2016, the reporting person was granted Class B units in Prime Security Services TopCo Parent, L.P. (the "July 2015 Award" and the "August 2016 Award," respectively). On January 23, 2018, shares of ADT Inc. common stock were distributed to the reporting person (the "Distributed Shares") by Prime Security Services TopCo Parent, L.P. in redemption of the July 2015 Award and the August 2016 Award, respectively. The Distributed Shares reported vest in the same manner as the "service tranche" of the July 2015 Award and the August 2016 Award, respectively. (cont'd in FN 2)

F2 · kind: (cont'd from FN 1) Forty percent of the Distributed Shares reported in Table I for the July 2015 Award are vested as of the date of the redemption and distribution, and the remainder of the Distributed Shares reported in Table I for the July 2015 Award will vest as to 20% on July 1, 2018 and the remainder on July 23, 2018, generally subject to the reporting person's continued employment through each such date. Twenty percent of the Distributed Shares reported in Table I for the August 2016 Award are vested as of the date of the redemption and distribution, and the remainder of the Distributed Shares reported in Table I will vest as to 20% on May 2, 2018 and the remainder on July 23, 2018, generally subject to the reporting person's continued employment through each such date.

SEC source: 0000950142-18-000207 · es1800207_4-whall.xml · nonDerivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director · CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 995,545.5

F1 · kind: On each of July 1, 2015, and August 11, 2016, the reporting person was granted Class B units in Prime Security Services TopCo Parent, L.P. (the "July 2015 Award" and the "August 2016 Award," respectively). On January 23, 2018, shares of ADT Inc. common stock were distributed to the reporting person (the "Distributed Shares") by Prime Security Services TopCo Parent, L.P. in redemption of the July 2015 Award and the August 2016 Award, respectively. The Distributed Shares reported vest in the same manner as the "service tranche" of the July 2015 Award and the August 2016 Award, respectively. (cont'd in FN 2)

F2 · kind: (cont'd from FN 1) Forty percent of the Distributed Shares reported in Table I for the July 2015 Award are vested as of the date of the redemption and distribution, and the remainder of the Distributed Shares reported in Table I for the July 2015 Award will vest as to 20% on July 1, 2018 and the remainder on July 23, 2018, generally subject to the reporting person's continued employment through each such date. Twenty percent of the Distributed Shares reported in Table I for the August 2016 Award are vested as of the date of the redemption and distribution, and the remainder of the Distributed Shares reported in Table I will vest as to 20% on May 2, 2018 and the remainder on July 23, 2018, generally subject to the reporting person's continued employment through each such date.

SEC source: 0000950142-18-000168 · es1800190_4-whall.xml · derivative · entry 4

Whall Timothy J. · CIK 0001493999 · Director · CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 590,861

Underlying: Stock Options · 590,861 shares

Expires 2028-01-18

F4 · derivative.exercise_date: The reporting person was granted stock options on January 18, 2018, under the ADT Inc. 2018 Omnibus Incentive Plan. The stock options will "cliff vest" and become exercisable as to 100% of the stock options on the third anniversary of the date of grant, generally subject to the reporting person's continued employment through such date.

SEC source: 0000950142-18-000168 · es1800190_4-whall.xml · derivative · entry 3

Whall Timothy J. · CIK 0001493999 · Director · CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 603,212.5

Underlying: Stock Options · 603,212.5 shares

Expires 2028-01-18

F1 · derivative.exercise_date: On each of July 1, 2015, and August 11, 2016, the reporting person was granted Class B units in Prime Security Services TopCo Parent, L.P. (the "July 2015 Award" and the "August 2016 Award," respectively). On January 18, 2018, the reporting person was granted stock options under the ADT Inc. 2018 Omnibus Incentive Plan. The stock options reported in Table II vest in the same manner as of the "service tranche" of the July 2015 Award and the August 2016 Award, respectively (the "Top-Up Options"). (cont'd in FN 2)

F2 · derivative.exercise_date: (cont'd from FN 1) Forty percent of the Top-Up Options reported in Table II for the July 2015 Award are vested and exercisable as of the date of grant and the remainder of the Top-Up Options reported in Table II will vest and become exercisable as to 20% on July 1, 2018, and the remainder on July 23, 2018, generally subject to the reporting person's continued employment through each such date. Twenty percent of the Top-Up Options reported in Table II for the August 2016 Award are vested and exercisable as of the date of grant and the remainder of the Top-Up Options reported in Table II will vest and become exercisable as to 20% on May 2, 2018, and the remainder on July 23, 2018, generally subject to the reporting person's continued employment through each such date.

SEC source: 0000950142-18-000168 · es1800190_4-whall.xml · derivative · entry 2

Whall Timothy J. · CIK 0001493999 · Director · CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 477,987

Underlying: Stock Options · 477,987 shares

Expires 2028-01-18

F1 · derivative.exercise_date: On each of July 1, 2015, and August 11, 2016, the reporting person was granted Class B units in Prime Security Services TopCo Parent, L.P. (the "July 2015 Award" and the "August 2016 Award," respectively). On January 18, 2018, the reporting person was granted stock options under the ADT Inc. 2018 Omnibus Incentive Plan. The stock options reported in Table II vest in the same manner as of the "service tranche" of the July 2015 Award and the August 2016 Award, respectively (the "Top-Up Options"). (cont'd in FN 2)

F2 · derivative.exercise_date: (cont'd from FN 1) Forty percent of the Top-Up Options reported in Table II for the July 2015 Award are vested and exercisable as of the date of grant and the remainder of the Top-Up Options reported in Table II will vest and become exercisable as to 20% on July 1, 2018, and the remainder on July 23, 2018, generally subject to the reporting person's continued employment through each such date. Twenty percent of the Top-Up Options reported in Table II for the August 2016 Award are vested and exercisable as of the date of grant and the remainder of the Top-Up Options reported in Table II will vest and become exercisable as to 20% on May 2, 2018, and the remainder on July 23, 2018, generally subject to the reporting person's continued employment through each such date.

SEC source: 0000950142-18-000168 · es1800190_4-whall.xml · nonDerivative · entry 1

Whall Timothy J. · CIK 0001493999 · Director · CEO & Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 160,714

F3 · shares: Each restricted stock unit ("RSU") was received as a grant under the ADT Inc. 2018 Omnibus Incentive Plan on January 18, 2018, for no consideration, and represents a contingent right to receive one share of ADT Inc. common stock upon vesting and settlement. The RSUs will "cliff vest" as to 100% of the RSUs on the third anniversary of the date of grant, generally subject to the reporting person's continued employment through such date.