Trefler Leon

SEC source: 0001013857-24-000110 · wk-form4_1717536271.xml · derivative · entry 8

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 6,465

Underlying: Common stock · 587 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.

F7 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F2 · shares: Represents a 5% vesting on June 1, 2024, with a release date of June 3, 2024, the first business day following vesting. The original grant was 11,754 restricted stock units, with 20% vesting on March 1, 2023, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

F8 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000110 · wk-form4_1717536271.xml · nonDerivative · entry 7

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 39,110

F3 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F6 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000110 · wk-form4_1717536271.xml · nonDerivative · entry 6

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 39,242

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.

F5 · shares: Represents a 5% vesting on June 3, 2024. The original grant was 6,687 restricted stock units, with 20% vesting on March 3, 2021, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000110 · wk-form4_1717536271.xml · nonDerivative · entry 5

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 38,908

F3 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

SEC source: 0001013857-24-000110 · wk-form4_1717536271.xml · nonDerivative · entry 4

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 38,984

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.

F4 · shares: Represents a 5% vesting on June 2, 2024, with a release date of June 3, 2024, the first business day following vesting. The original grant was 3,843 restricted stock units, with 20% vesting on March 2, 2022, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000110 · wk-form4_1717536271.xml · nonDerivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 38,792

F3 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

SEC source: 0001013857-24-000110 · wk-form4_1717536271.xml · nonDerivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 39,023

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 · shares: Represents a 5% vesting on June 1, 2024, with a release date of June 3, 2024, the first business day following vesting. The original grant was 11,754 restricted stock units, with 20% vesting on March 1, 2023, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000110 · wk-form4_1717536271.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 38,436

F1 · shares: Sold pursuant to a pre-arranged trading plan adopted by Mr. Trefler November 17, 2023 under Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

SEC source: 0001013857-24-000102 · wk-form4_1714596059.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 39,188

F1 · shares: Sold pursuant to a pre-arranged trading plan adopted by Mr. Trefler November 17, 2023 under Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000079 · wk-form4_1712178150.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 39,940

F1 · shares: Sold pursuant to a pre-arranged trading plan adopted by Mr. Trefler November 17, 2023 under Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000073 · wk-form4_1710193896.xml · derivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,948

Underlying: Common stock · 5,316 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.

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F1 · shares: Represents a 25% vesting on March 7, 2024. The original grant was 21,264 restricted stock units, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

F5 · derivative.expiration_date: Once vested, shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000073 · wk-form4_1710193896.xml · nonDerivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 40,692

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F3 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000073 · wk-form4_1710193896.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 41,987

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 a 25% vesting on March 7, 2024. The original grant was 21,264 restricted stock units, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

SEC source: 0001013857-24-000060 · wk-form4_1709854293.xml · derivative · entry 5

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 390 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.

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F1 · shares: Represents a 5% vesting on March 6, 2024. The original grant was 7,806 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

F8 · derivative.expiration_date: Once vested, shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000060 · wk-form4_1709854293.xml · nonDerivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,671

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F3 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000060 · wk-form4_1709854293.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,766

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 a 5% vesting on March 6, 2024. The original grant was 7,806 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000060 · wk-form4_1709854293.xml · derivative · entry 4

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,218

Underlying: Common stock · 35,218 shares

Expires 2034-03-05

F7 · shares: Options will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

SEC source: 0001013857-24-000060 · wk-form4_1709854293.xml · derivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,609

Underlying: Common stock · 17,609 shares

Expires not disclosed

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F5 · shares: RSUs will vest 25% on March 5, 2025, with the remaining 75% vesting in equal quarterly installments over the remaining three years.

F6 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · derivative · entry 9

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,337

Underlying: Common stock · 335 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.

F6 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F4 · shares: Represents a 5% vesting on March 3, 2024, with a release date of March 4, 2024, the first business day following vesting. The original grant was 6,687 restricted stock units, with 20% vesting on March 3, 2021, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

F7 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · derivative · entry 8

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,537

Underlying: Common stock · 192 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.

F6 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F3 · shares: Represents a 5% vesting on March 2, 2024, with a release date of March 4, 2024, the first business day following vesting. The original grant was 3,843 restricted stock units, with 20% vesting on March 2, 2022, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

F7 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · nonDerivative · entry 6

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,376

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F5 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · nonDerivative · entry 5

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,458

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.

F4 · shares: Represents a 5% vesting on March 3, 2024, with a release date of March 4, 2024, the first business day following vesting. The original grant was 6,687 restricted stock units, with 20% vesting on March 3, 2021, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · nonDerivative · entry 4

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,123

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · nonDerivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,170

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 · shares: Represents a 5% vesting on March 2, 2024, with a release date of March 4, 2024, the first business day following vesting. The original grant was 3,843 restricted stock units, with 20% vesting on March 2, 2022, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · derivative · entry 7

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,052

Underlying: Common stock · 588 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.

F6 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F1 · shares: Represents a 5% vesting on March 1, 2024. The original grant was 11,754 restricted stock units, with 20% vesting on March 1, 2023, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

F7 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · nonDerivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,978

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

SEC source: 0001013857-24-000048 · wk-form4_1709681819.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,121

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 a 5% vesting on March 1, 2024. The original grant was 11,754 restricted stock units, with 20% vesting on March 1, 2023, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-24-000029 · wk-form4_1708641047.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: Plan reported

Ownership: Direct

Disclosed balance after: 35,533

F1 · shares: Sold pursuant to a pre-arranged trading plan adopted by Mr. Trefler November 17, 2023 under Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

F2 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000025 · wk-form4_1708122990.xml · derivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 8,750

Underlying: Common stock · 8,750 shares

Expires 2033-03-07

F3 · balance_after: On March 7, 2023, the reporting person was granted an option to purchase 35,000 shares of common stock. The option vests in two installments, with up to 25% to vest on the first anniversary of the date of grant based on the Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2023, and with up to 75% to vest on the second anniversary of the date of grant based on Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2024. The performance criteria for the fiscal year ended December 31, 2023 were met in full, resulting in vesting of the option as to 8,750 shares.

SEC source: 0001013857-24-000025 · wk-form4_1708122990.xml · derivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,316

Underlying: Common stock · 5,316 shares

Expires 2033-03-07

F2 · balance_after: On March 7, 2023, the reporting person was granted an option to purchase 21,264 shares of common stock. The option vests in two instalments, with up to 25% to vest on the first anniversary of the date of grant based on the Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2023, and with up to 75% to vest on the second anniversary of the date of grant based on Pegasystems' satisfaction of certain performance criteria for the fiscal year ended December 31, 2024. The performance criteria for the fiscal year ended December 31, 2023 were met in full, resulting in vesting of the option as to 5,316 shares.

SEC source: 0001013857-24-000002 · wk-form4_1706742778.xml · derivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common stock · 24,553 shares

Expires 2024-03-07

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 · shares: Options vested 20% on March 7, 2015, with the remaining 80% vesting in equal quarterly installments over the next four years.

SEC source: 0001013857-24-000002 · wk-form4_1706742778.xml · nonDerivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,037

F1 · price: Represents the exercise price of the stock options referenced in Table II and Mr. Trefler's tax liability, which were paid by way of the Company withholding shares of equal value.

F2 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-24-000002 · wk-form4_1706742778.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 50,742

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: 0001013857-23-000233 · wk-form4_1703196581.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,189

F1 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-23-000227 · wk-form4_1702074172.xml · derivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 390

Underlying: Common stock · 391 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.

F4 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F1 · shares: Represents a 5% vesting on December 6, 2023. The original grant was 7,806 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

F5 · derivative.expiration_date: Once vested, shares of common stock are not subject to expiration.

SEC source: 0001013857-23-000227 · wk-form4_1702074172.xml · nonDerivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,539

F2 · shares: Tendered to issuer to satisfy tax withholding obligations of the reporting person, exempted pursuant to Rule 16b-3(e).

F3 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-23-000227 · wk-form4_1702074172.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,635

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 a 5% vesting on December 6, 2023. The original grant was 7,806 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-23-000217 · wk-form4_1701819098.xml · derivative · entry 10

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,672

Underlying: Common stock · 334 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.

F6 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F4 · shares: Represents a 5% vesting on December 3, 2023, with a release date of December 4, 2023, the first business day following vesting. The original grant was 6,687 restricted stock units, with 20% vesting on March 3, 2021, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

F7 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-23-000217 · wk-form4_1701819098.xml · derivative · entry 9

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,729

Underlying: Common stock · 193 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.

F6 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F3 · shares: Represents a 5% vesting on December 2, 2023, with a release date of December 4, 2023, the first business day following vesting. The original grant was 3,843 restricted stock units, with 20% vesting on March 2, 2022, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

F7 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-23-000217 · wk-form4_1701819098.xml · nonDerivative · entry 7

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,244

F5 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-23-000217 · wk-form4_1701819098.xml · nonDerivative · entry 6

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,326

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.

F4 · shares: Represents a 5% vesting on December 3, 2023, with a release date of December 4, 2023, the first business day following vesting. The original grant was 6,687 restricted stock units, with 20% vesting on March 3, 2021, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-23-000217 · wk-form4_1701819098.xml · nonDerivative · entry 5

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,992

SEC source: 0001013857-23-000217 · wk-form4_1701819098.xml · nonDerivative · entry 4

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,039

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 · shares: Represents a 5% vesting on December 2, 2023, with a release date of December 4, 2023, the first business day following vesting. The original grant was 3,843 restricted stock units, with 20% vesting on March 2, 2022, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-23-000217 · wk-form4_1701819098.xml · derivative · entry 8

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 7,640

Underlying: Common stock · 588 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.

F6 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F2 · shares: Represents a 5% vesting on December 1, 2023. The original grant was 11,754 restricted stock units, with 20% vesting on March 1, 2023, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

F7 · derivative.expiration_date: Once vested, the shares of common stock are not subject to expiration.

SEC source: 0001013857-23-000217 · wk-form4_1701819098.xml · nonDerivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,846

SEC source: 0001013857-23-000217 · wk-form4_1701819098.xml · nonDerivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,990

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 · shares: Represents a 5% vesting on December 1, 2023. The original grant was 11,754 restricted stock units, with 20% vesting on March 1, 2023, with the remaining 80% vesting in equal quarterly installments over the remaining four years.

SEC source: 0001013857-23-000217 · wk-form4_1701819098.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,402

F1 · shares: Sold pursuant to a pre-arranged stock trading plan adopted by Mr. Trefler November 18, 2022 under Rule 10b5-1 of the Securities Exchange Act, as amended, as then in effect.

SEC source: 0001013857-23-000201 · wk-form4_1700601133.xml · nonDerivative · entry 1

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,212

F1 · shares: Sold pursuant to a pre-arranged stock trading plan adopted by Mr. Trefler November 18, 2022 under Rule 10b5-1 of the Securities Exchange Act, as amended, as then in effect.

F2 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.

SEC source: 0001013857-23-000187 · wk-form4_1694208441.xml · derivative · entry 3

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 781

Underlying: Common stock · 0 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 · security: Each restricted stock unit represents the right to receive, following vesting, one share of the issuer's common stock.

F1 · shares: Represents a 5% vesting on September 6, 2023. The original grant was 7,806 restricted stock units, with 20% vesting on March 6, 2020, and the remaining 80% vesting in equal quarterly installments over the remaining four years.

F4 · derivative.expiration_date: Once vested, shares of common stock are not subject to expiration.

SEC source: 0001013857-23-000187 · wk-form4_1694208441.xml · nonDerivative · entry 2

Trefler Leon · CIK 0001480560 · Chief of Clients and Markets

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 26,833

F2 · balance_after: Does not include shares of common stock subject to unvested restricted stock units and/or options awards.