Neri Antonio F

SEC source: 0001062993-21-012818 · form4.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 600,163

F1 · shares: As previously reported, on 12/10/18 the reporting person was granted performance adjusted restricted stock units ("PARSUs") subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subject to performance and are issued in Issuer's common stock.

SEC source: 0001179706-21-000112 · edgar.xml · derivative · entry 6

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 88,136 shares

Expires 2021-12-11

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.

F8 · security: As reported in the Registration Statements on Form 10 filed by Issuer with the SEC, in connection with the spin-offs of Everett SpinCo, Inc. on 04/01/17 and Seattle SpinCo, Inc. on 09/01/17, equity-based awards granted by Issuer, prior to the spin-offs were converted to adjust the award in a manner intended to preserve the aggregate intrinsic value of the original award as measured immediately before and immediately after the spin-offs, subject to rounding. The adjusted equity award is otherwise subject to the same terms and conditions that applied to the original award immediately prior to the spin-offs, unless otherwise noted. The reporting person's equity based awards reflect the conversion adjustments.

F9 · derivative.exercise_date: This option became exercisable beginning on this date.

F10 · derivative.expiration_date: This option is no longer exercisable beginning on this date.

SEC source: 0001179706-21-000112 · edgar.xml · nonDerivative · entry 2

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 394,040

F1 · shares: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/15/21.

F2 · price: The price in Column 4 is a weighted average price. The prices actually ranged from $15.2500 to $15.2850. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares at each price within the range.

SEC source: 0001179706-21-000112 · edgar.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 482,176

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 · balance_after: As of 05/19/21, the reporting person no longer has a reportable beneficial interest in 273,027 shares, originally included in the reporting person's prior ownership reports. The reporting person disclaims beneficial ownership to, and no longer reports as beneficially owned, any such securities.

SEC source: 0001156039-21-000067 · wf-form4_162223405897442.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,039

F1 · shares: Phantom Stock units accrued under the Anthem, Inc. ("Company") Board of Directors Compensation Program.

F2 · shares: The phantom stock units shall be payable in Company common stock upon the first to occur of (a) five years from the date of grant or (b) the date the Reporting Person ceases to be a member of the Company's board of directors, unless a later date is designated in the Reporting Person's election made under the Company's Board of Directors Deferred Compensation Plan.

SEC source: 0001179706-21-000112 · edgar.xml · derivative · entry 5

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 533,200.69

Underlying: Common Stock · 17,523.6906 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F7 · shares: As previously reported, on 12/10/20 the reporting person was granted 515,677 RSUs, 171,892 of which will vest on each of 12/10/21 and 12/10/22, and 171,893 of which will vest on 12/10/23. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 5,139.6379 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 3,891.9019 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 4,285.4044 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 4,206.7464 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.

F7 · price: As previously reported, on 12/10/20 the reporting person was granted 515,677 RSUs, 171,892 of which will vest on each of 12/10/21 and 12/10/22, and 171,893 of which will vest on 12/10/23. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 5,139.6379 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 3,891.9019 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 4,285.4044 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 4,206.7464 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.

F7 · derivative.exercise_date: As previously reported, on 12/10/20 the reporting person was granted 515,677 RSUs, 171,892 of which will vest on each of 12/10/21 and 12/10/22, and 171,893 of which will vest on 12/10/23. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 5,139.6379 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 3,891.9019 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 4,285.4044 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 4,206.7464 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.

F7 · derivative.expiration_date: As previously reported, on 12/10/20 the reporting person was granted 515,677 RSUs, 171,892 of which will vest on each of 12/10/21 and 12/10/22, and 171,893 of which will vest on 12/10/23. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 5,139.6379 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 3,891.9019 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 4,285.4044 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 4,206.7464 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.

SEC source: 0001179706-21-000112 · edgar.xml · derivative · entry 4

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 244,080.422

Underlying: Common Stock · 7,687.4222 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F6 · shares: As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which vested on 12/10/20, 113,110 of which will vest on 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 2,254.6944 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 1,707.3283 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 1,879.9529 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 1,845.4466 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.

F6 · price: As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which vested on 12/10/20, 113,110 of which will vest on 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 2,254.6944 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 1,707.3283 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 1,879.9529 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 1,845.4466 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.

F6 · derivative.exercise_date: As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which vested on 12/10/20, 113,110 of which will vest on 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 2,254.6944 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 1,707.3283 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 1,879.9529 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 1,845.4466 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.

F6 · derivative.expiration_date: As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which vested on 12/10/20, 113,110 of which will vest on 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 2,254.6944 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 1,707.3283 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 1,879.9529 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 1,845.4466 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.

SEC source: 0001179706-21-000112 · edgar.xml · derivative · entry 3

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 128,825.504

Underlying: Common Stock · 3,945.504 shares

Expires not disclosed

F4 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F5 · shares: As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on each of 12/10/19 and 12/10/20, and 116,106 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 1,157.2027 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 876.2717 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 964.8698 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 947.1598 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.

F5 · price: As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on each of 12/10/19 and 12/10/20, and 116,106 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 1,157.2027 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 876.2717 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 964.8698 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 947.1598 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.

F5 · derivative.exercise_date: As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on each of 12/10/19 and 12/10/20, and 116,106 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 1,157.2027 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 876.2717 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 964.8698 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 947.1598 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.

F5 · derivative.expiration_date: As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on each of 12/10/19 and 12/10/20, and 116,106 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 includes 1,157.2027 dividend equivalent rights at $12.04 per RSU credited to the reporting person's account on 01/06/21, 876.2717 dividend equivalent rights at $15.90 per RSU credited to the reporting person's account on 04/07/21, 964.8698 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 07/07/21, and 947.1598 dividend equivalent rights at $14.71 per RSU credited to the reporting person's account on 10/06/21.

SEC source: 0001179706-20-000145 · edgar.xml · derivative · entry 7

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 515,667

Underlying: Common Stock · 515,677 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F4 · shares: On 12/10/20 the reporting person was granted 515,677 RSUs, 171,892 of which will vest on each of 12/10/21 and 12/10/22, and 171,893 of which will vest on 12/10/23. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F4 · price: On 12/10/20 the reporting person was granted 515,677 RSUs, 171,892 of which will vest on each of 12/10/21 and 12/10/22, and 171,893 of which will vest on 12/10/23. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F4 · derivative.exercise_date: On 12/10/20 the reporting person was granted 515,677 RSUs, 171,892 of which will vest on each of 12/10/21 and 12/10/22, and 171,893 of which will vest on 12/10/23. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F4 · derivative.expiration_date: On 12/10/20 the reporting person was granted 515,677 RSUs, 171,892 of which will vest on each of 12/10/21 and 12/10/22, and 171,893 of which will vest on 12/10/23. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

SEC source: 0001179706-20-000145 · edgar.xml · derivative · entry 6

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,393

Underlying: Common Stock · 118,198 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: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F3 · shares: As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which vested on 12/10/20, 113,110 of which will vest on 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 5,088 vested dividend equivalent rights and a de minimus adjustment of 0.7610 due to fractional rounding of the dividend equivalent rights.

F3 · price: As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which vested on 12/10/20, 113,110 of which will vest on 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 5,088 vested dividend equivalent rights and a de minimus adjustment of 0.7610 due to fractional rounding of the dividend equivalent rights.

F3 · derivative.exercise_date: As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which vested on 12/10/20, 113,110 of which will vest on 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 5,088 vested dividend equivalent rights and a de minimus adjustment of 0.7610 due to fractional rounding of the dividend equivalent rights.

F3 · derivative.expiration_date: As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which vested on 12/10/20, 113,110 of which will vest on 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 5,088 vested dividend equivalent rights and a de minimus adjustment of 0.7610 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-20-000145 · edgar.xml · derivative · entry 5

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,880

Underlying: Common Stock · 124,881 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: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on each of 12/10/19 and 12/10/20, and 116,106 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 8,775 vested dividend equivalent rights and a de minimus adjustment of 0.7522 due to fractional rounding of the dividend equivalent rights.

F2 · price: As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on each of 12/10/19 and 12/10/20, and 116,106 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 8,775 vested dividend equivalent rights and a de minimus adjustment of 0.7522 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.exercise_date: As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on each of 12/10/19 and 12/10/20, and 116,106 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 8,775 vested dividend equivalent rights and a de minimus adjustment of 0.7522 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.expiration_date: As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on each of 12/10/19 and 12/10/20, and 116,106 of which will vest on 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 8,775 vested dividend equivalent rights and a de minimus adjustment of 0.7522 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-20-000145 · edgar.xml · nonDerivative · entry 4

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 667,067

SEC source: 0001179706-20-000145 · edgar.xml · nonDerivative · entry 3

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 725,670

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: 0001179706-20-000145 · edgar.xml · nonDerivative · entry 2

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 607,472

SEC source: 0001179706-20-000145 · edgar.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 669,389

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: 0001179706-20-000125 · edgar.xml · derivative · entry 7

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 115,966 shares

Expires not disclosed

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

F3 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F4 · shares: As previously reported, on 12/07/17 the reporting person was granted 316,456 Restricted Stock Units ("RSUs"), 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which vested on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 10,480 vested dividend equivalent rights and a de minimus adjustment of 0.4425 due to fractional rounding of the dividend equivalent rights.

F4 · price: As previously reported, on 12/07/17 the reporting person was granted 316,456 Restricted Stock Units ("RSUs"), 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which vested on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 10,480 vested dividend equivalent rights and a de minimus adjustment of 0.4425 due to fractional rounding of the dividend equivalent rights.

F4 · derivative.exercise_date: As previously reported, on 12/07/17 the reporting person was granted 316,456 Restricted Stock Units ("RSUs"), 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which vested on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 10,480 vested dividend equivalent rights and a de minimus adjustment of 0.4425 due to fractional rounding of the dividend equivalent rights.

F4 · derivative.expiration_date: As previously reported, on 12/07/17 the reporting person was granted 316,456 Restricted Stock Units ("RSUs"), 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which vested on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 10,480 vested dividend equivalent rights and a de minimus adjustment of 0.4425 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-20-000125 · edgar.xml · nonDerivative · entry 6

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 544,508

SEC source: 0001179706-20-000125 · edgar.xml · nonDerivative · entry 5

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 618,808

F2 · shares: On 12/10/18 the reporting person was granted PARSUs subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subject to performance, and are issued in Issuer's common stock.

SEC source: 0001179706-20-000125 · edgar.xml · nonDerivative · entry 4

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 468,950

SEC source: 0001179706-20-000125 · edgar.xml · nonDerivative · entry 3

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536,255

F1 · shares: As previously reported, on 12/07/17 the reporting person was granted performance adjusted restricted stock units ("PARSUs") subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subject to performance, and are issued in Issuer's common stock.

SEC source: 0001179706-20-000125 · edgar.xml · nonDerivative · entry 2

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 400,505

SEC source: 0001179706-20-000125 · edgar.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 458,001

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: 0001179706-20-000109 · edgar.xml · derivative · entry 6

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 162,142 shares

Expires 2020-12-06

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 · security: This option reflects the conversion adjustments previously reported.

F6 · derivative.exercise_date: This option became exercisable beginning on this date.

F7 · derivative.expiration_date: This option is no longer exercisable beginning on this date.

SEC source: 0001179706-20-000109 · edgar.xml · nonDerivative · entry 2

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 342,035

SEC source: 0001179706-20-000109 · edgar.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 440,677

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: 0001156039-20-000052 · wf-form4_159052539475656.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,546

F1 · shares: Phantom Stock units accrued under the Anthem, Inc. ("Company") Board of Directors Compensation Program.

F2 · shares: The phantom stock units shall be payable in Company common stock upon the first to occur of (a) five years from the date of grant or (b) the date the Reporting Person ceases to be a member of the Company's board of directors, unless a later date is designated in the Reporting Person's election made under the Company's Board of Directors Deferred Compensation Plan.

SEC source: 0001179706-20-000109 · edgar.xml · derivative · entry 5

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 354,590.239

Underlying: Common Stock · 15,259.239 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F4 · shares: As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which will vest on each of 12/10/20 and 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 2,518.2263 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 4,250.4927 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 4,322.6879 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 4,167.8321 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20.

F4 · price: As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which will vest on each of 12/10/20 and 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 2,518.2263 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 4,250.4927 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 4,322.6879 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 4,167.8321 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20.

F4 · derivative.exercise_date: As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which will vest on each of 12/10/20 and 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 2,518.2263 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 4,250.4927 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 4,322.6879 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 4,167.8321 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20.

F4 · derivative.expiration_date: As previously reported, on 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which will vest on each of 12/10/20 and 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 2,518.2263 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 4,250.4927 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 4,322.6879 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 4,167.8321 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20.

SEC source: 0001179706-20-000109 · edgar.xml · derivative · entry 4

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 249,760.247

Underlying: Common Stock · 10,442.2478 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F3 · shares: As previously reported, on 12/10/18 the reporting person was granted 348,318 RSUs, 116,106 of which vested on 12/10/19, and 116,106 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 1,723.2801 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 2,908.7098 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 2,958.1146 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 2,852.1433 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20.

F3 · price: As previously reported, on 12/10/18 the reporting person was granted 348,318 RSUs, 116,106 of which vested on 12/10/19, and 116,106 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 1,723.2801 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 2,908.7098 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 2,958.1146 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 2,852.1433 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20.

F3 · derivative.exercise_date: As previously reported, on 12/10/18 the reporting person was granted 348,318 RSUs, 116,106 of which vested on 12/10/19, and 116,106 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 1,723.2801 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 2,908.7098 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 2,958.1146 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 2,852.1433 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20.

F3 · derivative.expiration_date: As previously reported, on 12/10/18 the reporting person was granted 348,318 RSUs, 116,106 of which vested on 12/10/19, and 116,106 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 1,723.2801 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 2,908.7098 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 2,958.1146 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 2,852.1433 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20.

SEC source: 0001179706-20-000109 · edgar.xml · derivative · entry 3

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,965.557

Underlying: Common Stock · 4,743.5575 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: As previously reported, on 12/07/17 the reporting person was granted 316,456 Restricted Stock Units ("RSUs"), 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 782.8275 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 1,321.3278 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 1,343.7707 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 1,295.6315 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20.

F2 · price: As previously reported, on 12/07/17 the reporting person was granted 316,456 Restricted Stock Units ("RSUs"), 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 782.8275 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 1,321.3278 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 1,343.7707 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 1,295.6315 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20.

F2 · derivative.exercise_date: As previously reported, on 12/07/17 the reporting person was granted 316,456 Restricted Stock Units ("RSUs"), 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 782.8275 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 1,321.3278 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 1,343.7707 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 1,295.6315 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20.

F2 · derivative.expiration_date: As previously reported, on 12/07/17 the reporting person was granted 316,456 Restricted Stock Units ("RSUs"), 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 782.8275 dividend equivalent rights at $16.17 per RSU credited to the reporting person's account on 01/02/20; 1,321.3278 dividend equivalent rights at $9.58 per RSU credited to the reporting person's account on 04/01/20; 1,343.7707 dividend equivalent rights at $9.42 per RSU credited to the reporting person's account on 07/01/20; and 1,295.6315 dividend equivalent rights at $9.77 per RSU credited to the reporting person's account on 10/07/20.

SEC source: 0001179706-19-000168 · edgar.xml · derivative · entry 4

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 339,331

Underlying: Common Stock · 339,331 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F3 · shares: On 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which will vest on each of 12/10/20 and 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F3 · price: On 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which will vest on each of 12/10/20 and 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F3 · derivative.exercise_date: On 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which will vest on each of 12/10/20 and 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

F3 · derivative.expiration_date: On 12/10/19 the reporting person was granted 339,331 RSUs, 113,110 of which will vest on each of 12/10/20 and 12/10/21, and 113,111 of which will vest on 12/10/22. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock.

SEC source: 0001179706-19-000168 · edgar.xml · derivative · entry 3

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 239,318

Underlying: Common Stock · 119,661 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: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on 12/10/19, and 116,106 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 3,555 vested dividend equivalent rights and a de minimus adjustment of 0.9023 due to fractional rounding of the dividend equivalent rights.

F2 · price: As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on 12/10/19, and 116,106 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 3,555 vested dividend equivalent rights and a de minimus adjustment of 0.9023 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.exercise_date: As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on 12/10/19, and 116,106 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 3,555 vested dividend equivalent rights and a de minimus adjustment of 0.9023 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.expiration_date: As previously reported, on 12/10/18 the reporting person was granted 348,318 Restricted Stock Units ("RSUs"), 116,106 of which vested on 12/10/19, and 116,106 of which will vest on each of 12/10/20 and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 3,555 vested dividend equivalent rights and a de minimus adjustment of 0.9023 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-19-000168 · edgar.xml · nonDerivative · entry 2

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,535

SEC source: 0001179706-19-000168 · edgar.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 337,864

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: 0001179706-19-000150 · edgar.xml · derivative · entry 6

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,222

Underlying: Common Stock · 111,223 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: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F3 · shares: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 5,738 vested dividend equivalent rights and a de minimus adjustment of 0.3383 due to fractional rounding of the dividend equivalent rights.

F3 · price: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 5,738 vested dividend equivalent rights and a de minimus adjustment of 0.3383 due to fractional rounding of the dividend equivalent rights.

F3 · derivative.exercise_date: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 5,738 vested dividend equivalent rights and a de minimus adjustment of 0.3383 due to fractional rounding of the dividend equivalent rights.

F3 · derivative.expiration_date: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which vested on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. The number of derivative securities in column 5 also includes 5,738 vested dividend equivalent rights and a de minimus adjustment of 0.3383 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-19-000150 · edgar.xml · derivative · entry 5

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 54,671 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: Each restricted stock unit represents a contingent right to receive one share of Issuer's common stock.

F2 · shares: As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 3,530 vested dividend equivalent rights and a de minimus adjustment of 0.8553 due to fractional rounding of the dividend equivalent rights.

F2 · price: As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 3,530 vested dividend equivalent rights and a de minimus adjustment of 0.8553 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.exercise_date: As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 3,530 vested dividend equivalent rights and a de minimus adjustment of 0.8553 due to fractional rounding of the dividend equivalent rights.

F2 · derivative.expiration_date: As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which vested on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported. The number of derivative securities in column 5 also includes 3,530 vested dividend equivalent rights and a de minimus adjustment of 0.8553 due to fractional rounding of the dividend equivalent rights.

SEC source: 0001179706-19-000150 · edgar.xml · nonDerivative · entry 4

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,203

SEC source: 0001179706-19-000150 · edgar.xml · nonDerivative · entry 3

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 273,348

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: 0001179706-19-000150 · edgar.xml · nonDerivative · entry 2

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,125

SEC source: 0001179706-19-000150 · edgar.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 189,232

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: 0001179706-19-000136 · edgar.xml · nonDerivative · entry 2

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 134,561

SEC source: 0001179706-19-000136 · edgar.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 262,028

F1 · shares: On 12/07/17 the reporting person was granted performance adjusted restricted stock units ("PARSUs") subject to Non-GAAP Net Income and relative total stockholder return conditions being met at the time of vesting. These PARSUs vest 50% after 2 and 3 years subjects to performance, and are issued in Issuer's common stock.

SEC source: 0001179706-19-000136 · edgar.xml · derivative · entry 5

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 358,978.097

Underlying: Common Stock · 2,713.6963 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of HP common stock.

F5 · shares: As previously reported, on 12/10/18 the reporting person was granted 348,318 RSUs, 116,106 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 2,713.6963 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19.

F5 · price: As previously reported, on 12/10/18 the reporting person was granted 348,318 RSUs, 116,106 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 2,713.6963 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19.

F5 · derivative.exercise_date: As previously reported, on 12/10/18 the reporting person was granted 348,318 RSUs, 116,106 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 2,713.6963 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19.

F5 · derivative.expiration_date: As previously reported, on 12/10/18 the reporting person was granted 348,318 RSUs, 116,106 of which will vest on each of 12/10/19, 12/10/20, and 12/10/21. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 2,713.6963 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19.

SEC source: 0001179706-19-000136 · edgar.xml · derivative · entry 4

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,444.661

Underlying: Common Stock · 1,643.6453 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of HP common stock.

F4 · shares: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which will vest on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 1,643.6453 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19.

F4 · price: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which will vest on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 1,643.6453 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19.

F4 · derivative.exercise_date: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which will vest on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 1,643.6453 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19.

F4 · derivative.expiration_date: As previously reported, on 12/07/17 the reporting person was granted 316,456 RSUs, 105,485 of which vested on 12/07/18, 105,485 of which will vest on 12/07/19, and 105,486 of which will vest on 12/07/20. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 1,643.6453 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19.

SEC source: 0001179706-19-000136 · edgar.xml · derivative · entry 3

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,670.1447

Underlying: Common Stock · 398.4323 shares

Expires not disclosed

F2 · derivative.exercise_price: Each restricted stock unit represents a contingent right to receive one share of HP common stock.

F3 · shares: As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which will vest on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 398.4323 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F3 · price: As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which will vest on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 398.4323 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F3 · derivative.exercise_date: As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which will vest on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 398.4323 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

F3 · derivative.expiration_date: As previously reported, on 12/07/16 the reporting person was granted 91,167 Restricted Stock Units ("RSUs"), 51,140 of which vested on 12/07/17, 51,140 of which vested on 12/07/18, and 51,141 of which will vest on 12/07/19. Dividend equivalent rights accrue with respect to these RSUs when and as dividends are paid on Issuer's common stock. Also included are 398.4323 dividend equivalent rights at $14.44 per RSU credited to the reporting person's account on 10/02/19. Unvested RSUs in this footnote, and the amount in column 5 reflect the conversion adjustment previously reported.

SEC source: 0001179706-19-000117 · edgar.xml · derivative · entry 6

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,969 shares

Expires 2019-12-07

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.

F4 · security: This option reflects the conversion adjustments previously reported.

F5 · derivative.exercise_date: This option became exercisable beginning on this date.

F6 · derivative.expiration_date: This option is no longer exercisable beginning on this date.

SEC source: 0001179706-19-000117 · edgar.xml · derivative · entry 5

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 24,666 shares

Expires 2019-09-27

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.

F4 · security: This option reflects the conversion adjustments previously reported.

F5 · derivative.exercise_date: This option became exercisable beginning on this date.

F6 · derivative.expiration_date: This option is no longer exercisable beginning on this date.

SEC source: 0001179706-19-000117 · edgar.xml · nonDerivative · entry 4

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,936

F2 · shares: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/11/19.

F3 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $15.1350 to $15.2350. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares purchased at each price within the range.

SEC source: 0001179706-19-000117 · edgar.xml · nonDerivative · entry 3

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,905

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: 0001179706-19-000117 · edgar.xml · nonDerivative · entry 2

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,936

F1 · shares: The sales reported on this Form 4 were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 09/06/19.

F3 · price: The price in Column 4 is a weighted average price. The prices actually paid ranged from $15.1350 to $15.2350. Upon request, the reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff information regarding the number of shares purchased at each price within the range.

SEC source: 0001179706-19-000117 · edgar.xml · nonDerivative · entry 1

Neri Antonio F · CIK 0001648401 · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,602

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.