SMITH SALLY J

SEC source: 0001265911-26-000002 · wk-form4_1770241012.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 86,630.06

F1 · kind: Award of restricted shares to non-employee director pursuant to the Hormel Foods Corporation 2026 Equity and Incentive Compensation Plan. The restricted shares are subject to a restricted period, which expires upon the date of the Issuer's next annual meeting of stockholders.

F2 · balance_after: Includes phantom stock units received by the Reporting Person upon conversion of dividend equivalents under the Hormel Foods Corporation Nonemployee Director Deferred Stock Subplan since the date of the Reporting Person's last filing through the date of the reported transaction.

SEC source: 0001415889-25-002923 · form4-02042025_080202.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 79,029.77

SEC source: 0001415889-24-002945 · form4-02072024_090245.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 52,545

F1 · shares: Restricted stock units scheduled to vest on the date immediately preceding the issuer's next annual meeting of stockholders unless earlier accelerated or terminated pursuant to their terms.

SEC source: 0001415889-24-002546 · form4-02052024_090237.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 72,462.543

SEC source: 0001415889-23-013709 · form4-10022023_071033.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 66,709.531

F1 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from March 31, 2023 to the present.

SEC source: 0001415889-23-005844 · form4-04042023_010438.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 64,588.071

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from September 30, 2022 to the present.

SEC source: 0001415889-23-002158 · form4-02082023_090215.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,047

F1 · shares: Restricted stock units scheduled to vest on the date immediately preceding the issuer's next annual meeting of stockholders unless earlier accelerated or terminated pursuant to their terms.

SEC source: 0001415889-23-001936 · form4-02032023_090240.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,624.753

SEC source: 0001415889-22-010172 · form4-10042022_091041.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,898.764

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from March 31, 2022 to the present.

SEC source: 0001415889-22-003681 · form4-04042022_110406.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,167.042

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from September 30, 2021 to the present.

SEC source: 0001179110-22-000977 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,753

F1 · shares: Restricted stock units scheduled to vest on the date immediately preceding the issuer's next annual meeting of stockholders unless earlier accelerated or terminated pursuant to their terms.

SEC source: 0001179110-22-000828 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,930.522

SEC source: 0001179110-21-009097 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,181.738

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from March 31, 2021 to the present.

SEC source: 0001104659-21-065653 · tm2116200-6_4seq1.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,994

F1 · shares: All 1,215 shares were acquired pursuant to an annual director award issued under the Alerus Financial Corporation 2019 Equity Incentive Plan.

SEC source: 0001179110-21-004009 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,584.828

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from September 30, 2020 to the present.

SEC source: 0001179110-21-001531 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,395

F1 · shares: Restricted stock units scheduled to vest on the date immediately preceding the issuer's next annual meeting of stockholders unless earlier accelerated or terminated pursuant to their terms.

SEC source: 0001179110-21-001157 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,195.676

SEC source: 0001179110-20-010092 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,655.407

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from March 31, 2020 to the present.

SEC source: 0001104659-20-068074 · a4.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 89,779

F1 · shares: All 2,114 shares were acquired pursuant to an annual director award issued under the Alerus Financial Corporation 2019 Equity Incentive Plan.

SEC source: 0001179110-20-006028 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,270

F1 · shares: Restricted stock units scheduled to vest in full on May 12, 2021.

SEC source: 0001179110-20-004479 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,188.225

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from September 30, 2019 to the present.

SEC source: 0001179110-20-001303 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,052

F1 · shares: Restricted stock units scheduled to vest on the date immediately preceding the issuer's next annual meeting of stockholders unless earlier accelerated or terminated pursuant to their terms.

SEC source: 0001179110-20-001151 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,794.587

SEC source: 0001104659-19-052529 · a4.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,291.048

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from March 31, 2019 to the present.

SEC source: 0001179110-19-004433 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,861.248

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from December 31, 2018 to the present.

SEC source: 0001179110-19-001528 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,414

F1 · shares: Restricted stock units scheduled to vest on the date immediately preceding the issuer's next annual meeting of stockholders unless earlier accelerated or terminated pursuant to their terms.

SEC source: 0001179110-19-001202 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,556.224

F1 · shares: Common Stock vests 100% on the date of the Company's next annual stockholders meeting, which is expected to be January 28, 2020.

SEC source: 0001179110-19-000084 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,746.224

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from September 30, 2018 to the present.

SEC source: 0001179110-18-011753 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,612.392

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from June 30, 2018 to the present.

SEC source: 0001179110-18-009170 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,515.332

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from March 31, 2018 to the present.

SEC source: 0001179110-18-005041 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,357.498

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from December 31, 2017 to the present.

SEC source: 0001437749-18-001696 · rdgdoc.xml · derivative · entry 7

SMITH SALLY J · CIK 0001265911 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 12,398 shares

Expires 2023-12-31

F3 · derivative.exercise_date: Fully vested.

SEC source: 0001437749-18-001696 · rdgdoc.xml · derivative · entry 6

SMITH SALLY J · CIK 0001265911 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,476 shares

Expires 2022-12-25

F3 · derivative.exercise_date: Fully vested.

SEC source: 0001437749-18-001696 · rdgdoc.xml · derivative · entry 5

SMITH SALLY J · CIK 0001265911 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,590 shares

Expires 2020-12-27

F3 · derivative.exercise_date: Fully vested.

SEC source: 0001437749-18-001696 · rdgdoc.xml · derivative · entry 4

SMITH SALLY J · CIK 0001265911 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,151 shares

Expires 2019-12-29

F3 · derivative.exercise_date: Fully vested.

SEC source: 0001437749-18-001696 · rdgdoc.xml · derivative · entry 3

SMITH SALLY J · CIK 0001265911 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 6,703 shares

Expires 2018-12-31

F3 · derivative.exercise_date: Fully vested.

SEC source: 0001437749-18-001696 · rdgdoc.xml · nonDerivative · entry 2

SMITH SALLY J · CIK 0001265911 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

F2 · kind: Disposed of as a result of merger pursuant to previously announced Agreement and Plan of Merger, dated November 27, 2017, by and among the issuer, Arby's Restaurant Group, Inc., and IB Merger Sub I Corporation.

SEC source: 0001179110-18-001524 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,094.636

F1 · shares: Common Stock vests 100% on the earlier of (1) the day before the date of the following annual stockholders meeting, or (2) the following February 1.

SEC source: 0001179110-18-001359 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,586

F1 · shares: Restricted stock units scheduled to vest on the date immediately preceding the issuer's next annual meeting of stockholders unless earlier accelerated or terminated pursuant to their terms.

SEC source: 0001179110-18-000228 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,399.636

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from September 30, 2017 to the present.

SEC source: 0001437749-18-000028 · rdgdoc.xml · derivative · entry 2

SMITH SALLY J · CIK 0001265911 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,573 shares

Expires 2017-12-31

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

F1 · derivative.exercise_date: Fully vested.

SEC source: 0001437749-18-000028 · rdgdoc.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,486

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: 0001437749-18-001696 · rdgdoc.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,305

F1 · balance_after: Includes 219 shares acquired under the Company's employee stock purchase plan on January 25, 2018.

SEC source: 0001437749-18-000025 · rdgdoc.xml · derivative · entry 2

SMITH SALLY J · CIK 0001265911 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,573

Underlying: Common Stock · 1,794 shares

Expires 2017-12-31

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

F1 · derivative.exercise_date: Fully vested.

SEC source: 0001437749-18-000025 · rdgdoc.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 51,913

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: 0001179110-17-012851 · edgar.xml · nonDerivative · entry 1

SMITH SALLY J · CIK 0001265911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,250.483

F1 · shares: Each share of phantom stock is the equivalent of one share of common stock. The shares of phantom stock become payable in common stock in one lump sum, or in up to ten annual installments, at the election of the reporting person, on February 15 of the year following termination of service as a director, or such later date as is elected by the reporting person. In addition, the shares of phantom stock become payable in common stock in one lump sum immediately upon a director's separation from service within six months following a change of control (as defined in the Plan).

F2 · balance_after: Reflects additional phantom stock units received by the Reporting Person upon conversion of dividend equivalents from June 30, 2017 to the present.

SEC source: 0001437749-17-015382 · rdgdoc.xml · derivative · entry 6

SMITH SALLY J · CIK 0001265911 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,151

Underlying: Common Stock · 1,142 shares

Expires 2019-12-29

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

F1 · derivative.exercise_date: Fully vested.

SEC source: 0001437749-17-015382 · rdgdoc.xml · derivative · entry 5

SMITH SALLY J · CIK 0001265911 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,703

Underlying: Common Stock · 1,096 shares

Expires 2018-12-30

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

F1 · derivative.exercise_date: Fully vested.

SEC source: 0001437749-17-015382 · rdgdoc.xml · derivative · entry 4

SMITH SALLY J · CIK 0001265911 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,367

Underlying: Common Stock · 1,808 shares

Expires 2017-12-31

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

F1 · derivative.exercise_date: Fully vested.

SEC source: 0001437749-17-015382 · rdgdoc.xml · nonDerivative · entry 3

SMITH SALLY J · CIK 0001265911 · Director · CEO & President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,119

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.