Smith Craig Donald

SEC source: 0001062993-24-006281 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,126.16

F2 · shares: Shares withheld to pay the reporting person's tax withholding obligation, upon vesting of the first tranche of the 2023 Restricted Share Units ("RSUs"). Upon vesting, net shares were distributed and related fractional shares were applied to cover the tax obligation for the reporting person.

SEC source: 0001062993-24-006281 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 128,132.89

F1 · shares: Shares withheld to pay the reporting person's tax withholding obligation, upon vesting of the second tranche of the 2022 Restricted Share Units ("RSUs"). Upon vesting, net shares were distributed and related fractional shares were applied to cover the tax obligation for the reporting person.

SEC source: 0001062993-24-001999 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,890.6

F1 · security: Reflects shares (and accrued dividend equivalents) earned based on achievement of performance metrics of the 2021 Performance Share Unit Award that remain "restricted," subject to vesting based on the passage of time. Upon vesting, these will settle in shares.

SEC source: 0001062993-23-022757 · form4.xml · nonDerivative · entry 3

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,985

F3 · security: Acquired dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity granted to the recipient as part of the March 2023 Annual Grant. These RSUs vest over three years, where the first third vests on the one-year anniversary of the grant date, March 10, 2024, the next third vests on the two-year anniversary of the grant date, March 10, 2025, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2026. Upon vesting, full shares are distributed and fractional shares are applied to shares withheld to cover tax obligations.

F4 · balance_after: The total reflects adjustments to correct inadvertent errors in the number of shares awarded in the March 10, 2023, equity grant, and subsequent accruals of dividend equivalent units in March, June, and September, the number of RSUs that vested on an accelerated basis on November 29, 2023, and the number of shares withheld on that date.

SEC source: 0001062993-23-022757 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,711.93

F2 · security: Acquired dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity granted to the recipient as part of the March 2022 Annual Grant. These RSUs vest over three years. The first third vested on the one-year anniversary of the grant date, March 10, 2023, the next third vests on the two-year anniversary of the grant date, March 10, 2024, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2025. Upon vesting, full shares are distributed and fractional shares are applied to shares withheld to cover tax obligations.

SEC source: 0001062993-23-022757 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,553.75

F1 · security: Acquired dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity granted to the recipient as part of the October 2021 Annual Grant. These RSUs vest over 30 months in three installments. The first third vested on the one-year anniversary of the grant date, October 4, 2022, the next third vested on the two-year anniversary of the grant date, October 4, 2023, and the remaining third vests on April 4, 2024. Upon vesting, full shares are distributed and fractional shares are applied to shares withheld to cover tax obligations.

SEC source: 0001062993-23-021734 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 101,466.39

F1 · shares: The reported transaction reflects the withholding of 690.63 shares of common stock issued upon the accelerated vesting, on a one-for-one basis, of an equal number of Restricted Share Units ("RSUs") granted as part of the March 10, 2023 annual grant, to pay FICA taxes associated with the reporting person becoming retirement eligible.

SEC source: 0001062993-23-019136 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 102,157.02

F1 · shares: Shares withheld to cover tax obligations upon vesting of the second tranche of the October 4, 2021 Annual Grant of Restricted Share Units ("RSUs") and related dividend equivalents. Upon vesting, net shares were distributed but the related fractional shares were applied to shares withheld to cover related tax obligations for the reporting person.

SEC source: 0001062993-23-018201 · form4.xml · nonDerivative · entry 3

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 105,165.73

F3 · security: Acquired dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the remaining underlying equity granted to the recipient as part of the March 2023 Annual Grant of 20,781 RSUs. These RSUs vest over three years, where the first third vests on the one-year anniversary of the grant date, March 10, 2024, the next third vests on the two-year anniversary of the grant date, March 10, 2025, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2026, subject to continued employment through such dates. Upon vesting, full shares will be distributed and the fractional shares will be applied to the shares withheld to cover tax obligations.

SEC source: 0001062993-23-018201 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,828.75

F2 · security: Acquired dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the remaining underlying equity granted to the recipient as part of the March 2022 Annual Grant of 17,893 RSUs. These RSUs vest over three years. The first third vested on the one-year anniversary of the grant date, March 10, 2023, the next third vests on the two-year anniversary of the grant date, March 10, 2024, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2025. Upon vesting, full shares will be distributed and the fractional shares will be applied to the shares withheld to cover tax obligations.

SEC source: 0001062993-23-018201 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,629.11

F1 · security: Acquired dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the remaining underlying equity granted to the recipient as part of the October 2021 Annual Grant of 19,504 RSUs. These RSUs vest over 30 months in three installments. The first third vested on the one-year anniversary of the grant date, October 4, 2022, the next third vests on the two-year anniversary of the grant date, October 4, 2023, and the remaining third vests on April 4, 2024. Upon vesting, full shares will be distributed and the fractional shares will be applied to the shares withheld to cover tax obligations.

SEC source: 0001062993-23-013867 · form4.xml · nonDerivative · entry 3

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 104,408.62

F3 · security: Acquired dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the remaining underlying equity granted to the recipient as part of the March 2023 Annual Grant of 20,781 RSUs. These RSUs vest over three years, where the first third vests on the one-year anniversary of the grant date, March 10, 2024, the next third vests on the two-year anniversary of the grant date, March 10, 2025, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2026, subject to continued employment through such dates. Upon vesting, full shares will be distributed and the fractional shares will be applied to the shares withheld to cover tax obligations.

SEC source: 0001062993-23-013867 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,978.21

F2 · security: Acquired dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the remaining underlying equity granted to the recipient as part of the March 2022 Annual Grant of 17,893 RSUs. These RSUs vest over three years. The first third vested on the one-year anniversary of the grant date, March 10, 2023, the next third vests on the two-year anniversary of the grant date, March 10, 2024, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2025. Upon vesting, full shares will be distributed and the fractional shares will be applied to the shares withheld to cover tax obligations.

SEC source: 0001062993-23-013867 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,723.22

F1 · security: Acquired dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the remaining underlying equity granted to the recipient as part of the October 2021 Annual Grant of 19,504 RSUs. These RSUs vest over 30 months in three installments. The first third vested on the one-year anniversary of the grant date, October 4, 2022, the next third vests on the two-year anniversary of the grant date, October 4, 2023, and the remaining third vests on April 4, 2024. Upon vesting, full shares will be distributed and the fractional shares will be applied to the shares withheld to cover tax obligations.

SEC source: 0001062993-23-009040 · form4.xml · derivative · entry 4

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 16,943.58 shares

Expires 2023-04-09

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

F2 · derivative.exercise_price: Reflects the conversion of 16,943.58 earned shares upon the vesting of the cash-settled portion of the 2020 PLTIPs previously reported in Table II when the shares were earned.

F2 · price: Reflects the conversion of 16,943.58 earned shares upon the vesting of the cash-settled portion of the 2020 PLTIPs previously reported in Table II when the shares were earned.

SEC source: 0001062993-23-009040 · form4.xml · nonDerivative · entry 3

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,441.6

F3 · kind: Reflects the disposition for cash of 16,943.58 earned shares upon the vesting of the cash-settled portion of the 2020 PLTIPs previously reported in Table II when the shares were earned.

SEC source: 0001062993-23-009040 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 120,385.18

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

F2 · kind: Reflects the conversion of 16,943.58 earned shares upon the vesting of the cash-settled portion of the 2020 PLTIPs previously reported in Table II when the shares were earned.

SEC source: 0001062993-23-009040 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 103,441.6

F1 · shares: Shares withheld to cover tax obligations due upon the vesting of the earned restricted share units settled in shares, based on achievement of performance metrics of the Converted 2020 PLTIP (2020 PLTIPs).

SEC source: 0001062993-23-007822 · form4.xml · derivative · entry 5

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,943.58

Underlying: Common Stock · 297.59 shares

Expires not disclosed

F5 · security: Acquired on March 23, 2023, 25% of the dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity granted to the recipient, as described in Footnote 2, above. Upon vesting, this portion of the dividend equivalents will settle in cash, based on the underlying 25% portion of equity that also is settled in cash.

F5 · derivative.exercise_price: Acquired on March 23, 2023, 25% of the dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity granted to the recipient, as described in Footnote 2, above. Upon vesting, this portion of the dividend equivalents will settle in cash, based on the underlying 25% portion of equity that also is settled in cash.

F5 · derivative.exercise_date: Acquired on March 23, 2023, 25% of the dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity granted to the recipient, as described in Footnote 2, above. Upon vesting, this portion of the dividend equivalents will settle in cash, based on the underlying 25% portion of equity that also is settled in cash.

F5 · derivative.expiration_date: Acquired on March 23, 2023, 25% of the dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity granted to the recipient, as described in Footnote 2, above. Upon vesting, this portion of the dividend equivalents will settle in cash, based on the underlying 25% portion of equity that also is settled in cash.

SEC source: 0001062993-23-007822 · form4.xml · nonDerivative · entry 4

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,959.24

F4 · security: Acquired on March 23, 2023, dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to the recipient on March 10, 2023, as part of the 2023 Annual Restricted Share Unit Award of 20,781 RSUs. These RSUs vest over three years, where the first third vests on the one-year anniversary of the grant date, March 10, 2024, the next third vests on the two-year anniversary of the grant date, March 10, 2025, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2026, subject to continued employment through such dates. Upon vesting, full shares will be distributed, and the vested fractional shares will be used for share withholding to cover tax obligations.

SEC source: 0001062993-23-007822 · form4.xml · nonDerivative · entry 3

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,587.72

F3 · security: Acquired on March 23, 2023, dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to the recipient on March 10, 2022, as part of the 2022 Annual Restricted Share Unit Award of 17,893 RSUs. These RSUs vest over three years. The first third vested on the one-year anniversary of the grant date, March 10, 2023, the next third vests on the two-year anniversary of the grant date, March 10, 2024, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2025. Upon vesting, full shares will be distributed, and the vested fractional shares will be used for share withholding to cover tax obligations.

SEC source: 0001062993-23-007822 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,367.62

F2 · security: Acquired on March 23, 2023, 75% of the dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity granted to recipient on February 13, 2023, as shares "earned" based on achievement of performance metrics of the converted 2020 PLTIP Performance Share Units that remain "restricted," subject to vesting based on the passage of time and the Section 16 Officer's continued employment by the Company. These RSUs fully vest on April 9, 2023. Upon vesting, 75% of the total number of RSUs will settle in shares, and the remaining 25% of the RSUs will be paid out in cash (see Footnote 5). Upon vesting, this portion of the dividend equivalents will be distributed in shares, based on the underlying 75% portion of equity that also is settled in shares, and any fractional shares will be applied to share withholding to cover tax obligations.

SEC source: 0001062993-23-007822 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 124,474.88

F1 · security: Acquired on March 23, 2023, dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to the recipient on October 4, 2021, as part of the 2021 Annual Award of 19,504 RSUs. These RSUs vest over 30 months in three installments. The first third vested on the one-year anniversary of the grant date, October 4, 2022, the next third vests on the two-year anniversary of the grant date, October 4, 2023, and the remaining third vests on April 4, 2024. Upon vesting, full shares will be distributed, and the vested fractional shares will be used for share withholding to cover tax obligations.

SEC source: 0001062993-23-006858 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,231.79

F2 · security: The 2023 Annual Restricted Share Unit Award was granted on March 10, 2023. The Restricted Share Units ("RSUs") vest over three years in equal installments, where the first third vests on the one-year anniversary of the grant date, March 10, 2024, the next third vests on the two-year anniversary of the grant date, March 10, 2025, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2026.

SEC source: 0001062993-23-006858 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,450.79

F1 · security: Shares withheld to pay the reporting person's tax withholding obligations, upon vesting of one-third of the remaining Restricted Share Units ("RSUs"). Upon vesting, net shares were distributed but the related fractional shares were applied to cover the tax obligations for the reporting person.

SEC source: 0001062993-23-003633 · form4.xml · derivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,645.99

Underlying: Common Stock · 16,645.99 shares

Expires not disclosed

F2 · derivative.exercise_price: Reflects 25% of the units "earned" based on achievement of performance metrics of the converted 2020 PLTIP Performance Share Units that remain "restricted," subject to vesting based on the passage of time and the reporting person's continued employment by the Company. Upon vesting, these will settle in cash.

F2 · derivative.exercise_date: Reflects 25% of the units "earned" based on achievement of performance metrics of the converted 2020 PLTIP Performance Share Units that remain "restricted," subject to vesting based on the passage of time and the reporting person's continued employment by the Company. Upon vesting, these will settle in cash.

F2 · derivative.expiration_date: Reflects 25% of the units "earned" based on achievement of performance metrics of the converted 2020 PLTIP Performance Share Units that remain "restricted," subject to vesting based on the passage of time and the reporting person's continued employment by the Company. Upon vesting, these will settle in cash.

SEC source: 0001062993-23-003633 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,033.07

F1 · security: Reflects 75% of the shares "earned" based on achievement of performance metrics of the converted 2020 PLTIP Performance Share Units that remain "restricted," subject to vesting based on the passage of time and the reporting person's continued employment by the Company. Upon vesting, these will settle in shares.

SEC source: 0001062993-22-024330 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,097.17

F2 · shares: The reported transaction involved the withholding of 621.03 shares of common stock issuable upon the accelerated vesting of an equal number of Restricted Share Units ("RSUs") granted on March 10, 2022, as part of a 2022 annual grant, to pay FICA taxes associated with the reporting person becoming retirement eligible. The total reported in Column 5 includes 18,466.91 RSUs previously reported.

SEC source: 0001062993-22-024330 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,718.2

F1 · shares: The reported transaction involved the withholding of 457.27 shares of common stock issuable upon the accelerated vesting of an equal number of Restricted Share Units ("RSUs") granted on October 4, 2021, as part of a 2021 annual grant, to pay FICA taxes associated with the reporting person becoming retirement eligible. The total reported in Column 5 includes 20,513.13 RSUs previously reported.

SEC source: 0001062993-22-024138 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,175.47

F2 · security: Reflects the acquisition on December 15, 2022, of dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to the recipient on March 10, 2022, as part of the 2022 Annual Restricted Share Unit Award of 17,893 RSUs. These RSUs vest over three years, where the first third vests on the one-year anniversary of the grant date, March 10, 2023, the next third vests on the two-year anniversary of the grant date, March 10, 2024, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2025. Upon vesting, full shares will be distributed, and the vested fractional shares will be used for share withholding to cover the related tax obligations for the Section 16 Officer.

SEC source: 0001062993-22-024138 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,873.97

F1 · security: Reflects the acquisition on December 15, 2022, of dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to the recipient on October 4, 2021, as part of the Annual Award of 19,504 RSUs. These RSUs vest over 30 months in three installments with the first third vesting on the one-year anniversary of the grant date, October 4, 2022, the next third vesting on the two-year anniversary of the grant date, October 4, 2023, and the remaining third vesting on April 4, 2024. Upon vesting, full shares will be distributed, and the vested fractional shares will be used for share withholding to cover the related tax obligations for the Section 16 Officer.

SEC source: 0001062993-22-020627 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,651.97

F2 · shares: Shares withheld for the tax obligation upon the full vesting of 1,994.63 Restricted Share Units ("RSUs"), which includes 1,875 RSUs granted on October 4, 2021, as a Celebration Award, and the related dividend equivalents. Upon vesting, net shares were distributed but the fractional shares were applied to shares withheld to cover related tax obligations for the reporting person.

SEC source: 0001062993-22-020627 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,535.6

F1 · shares: Shares withheld for the tax obligation upon the vesting of 6,915.78 Restricted Share Units ("RSUs"), which includes 6,501 or one-third, of the RSUs granted on October 4, 2021, as part of an Annual Award, and the related one-third of dividend equivalents. Upon vesting, net shares were distributed but the related fractional shares were applied to shares withheld to cover related tax obligations for the reporting person.

SEC source: 0001062993-22-019741 · form4.xml · nonDerivative · entry 3

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,599.38

F3 · security: Reflects the acquisition on September 15, 2022, of dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to the recipient on March 10, 2022, as part of the 2022 Annual Restricted Share Unit Award of 17,893 RSUs. These RSUs vest over three years, where the first third vests on the one-year anniversary of the grant date, March 10, 2023, the next third vests on the two-year anniversary of the grant date, March 10, 2024, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2025, subject to continued employment through such dates. Upon vesting, full shares will be distributed but the fractional shares will be used for share withholding to cover related tax obligations for the Section 16 Officer.

SEC source: 0001062993-22-019741 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,285.89

F2 · security: Reflects the acquisition on September 15, 2022, of dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to the recipient on October 4, 2021, as part of the Celebration Award of 1,875 RSUs. These RSUs fully vest on the one-year anniversary of the grant date, October 4, 2022, subject to continued employment through such date. Upon vesting, full shares will be distributed but the fractional shares will be used for share withholding to cover related tax obligations for the Section 16 Officer.

SEC source: 0001062993-22-019741 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,252.61

F1 · security: Reflects the acquisition on September 15, 2022, of dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to the recipient on October 4, 2021, as part of the Annual Award of 19,504 RSUs. These RSUs vest over 30 months in three installments with the first third vesting on the one-year anniversary of the grant date, October 4, 2022, the next third vesting on the two-year anniversary of the grant date, October 4, 2023, and the remaining third vesting on April 4, 2024, subject to continued employment through such dates. Upon vesting, full shares will be distributed but the fractional shares will be used for share withholding to cover related tax obligations for the Section 16 Officer.

SEC source: 0001062993-22-015175 · form4.xml · nonDerivative · entry 3

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,906.38

F3 · security: Reflects the acquisition on June 16, 2022 of dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to recipient on March 10, 2022 as part of the 2022 Annual Restricted Share Unit Award of 17,893 RSUs. The RSUs vest over three years, where the first third vests on the one-year anniversary of the grant date, March 10, 2023, the next third vests on the two-year anniversary of the grant date, March 10, 2024, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2025, subject to continued employment through such dates.

SEC source: 0001062993-22-015175 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,546.98

F2 · security: Reflects the acquisition on June 16, 2022 of dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to recipient on October 4, 2021 as part of Celebration Award of 1,875 RSUs. These RSUs fully vest on the one-year anniversary of the grant date, October 4, 2022, subject to continued employment through such date.

SEC source: 0001062993-22-015175 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,508.82

F1 · security: Reflects the acquisition on June 16, 2022 of dividend equivalents in the form of Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to recipient on October 4, 2021 as part of Annual Award of 19,504 RSUs. These RSUs vest over 30 months in three installments with the first third vesting on the one-year anniversary of the grant date, October 4, 2022, the next third vesting on the two-year anniversary of the grant date, October 4, 2023, and the remaining third vesting on April 4, 2024, subject to continued employment through such dates.

SEC source: 0001062993-22-009796 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,111.89

F1 · shares: Reflects the number of shares withheld for tax withholding upon the vesting of common stock previously "earned" based on achievement of performance metrics of the Performance Share Units ("PSUs") received upon the demerger conversion of the previously awarded 2019 Prudential plc equity.

F2 · balance_after: The total amount beneficially owned also includes adjustments to reflect an inadvertent understatement of shares earned pursuant to Performance Share Unit awards as reported on a Form 4 filed on March 14, 2022, and overstatement of dividend equivalents as reported on a Form 4 filed on March 24, 2022.

SEC source: 0001062993-23-007860 · form4.xml · derivative · entry 4

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,943.58

Underlying: Common Stock · 11,192.76 shares

Expires not disclosed

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

F2 · derivative.exercise_price: Reflects the cash settlement of 25% of the converted units that were earned on February 2, 2022, and vested on April 2, 2022.

F3 · shares: The reported number, 11,192.76, does not reflect the total of (a) the number of earned "restricted share units" settled in cash, and (b) dividend equivalents from December 2021 and March 2022, all of which vested on April 2, 2022. On March 24, 2022, we erroneously over-reported 137.97 dividend equivalents distributed on the earned 33,575.27 "restricted share units" (75% settled in shares) in Table I that should have been reported on the same date but in Table II on the earned 11,192.76 "restricted share units" (25% settled in cash). Despite the incorrect reporting in Table I, upon vesting, the 137.97 dividend equivalents settled in cash, not shares.

F2 · derivative.exercise_date: Reflects the cash settlement of 25% of the converted units that were earned on February 2, 2022, and vested on April 2, 2022.

F2 · derivative.expiration_date: Reflects the cash settlement of 25% of the converted units that were earned on February 2, 2022, and vested on April 2, 2022.

F3 · derivative.underlying_shares: The reported number, 11,192.76, does not reflect the total of (a) the number of earned "restricted share units" settled in cash, and (b) dividend equivalents from December 2021 and March 2022, all of which vested on April 2, 2022. On March 24, 2022, we erroneously over-reported 137.97 dividend equivalents distributed on the earned 33,575.27 "restricted share units" (75% settled in shares) in Table I that should have been reported on the same date but in Table II on the earned 11,192.76 "restricted share units" (25% settled in cash). Despite the incorrect reporting in Table I, upon vesting, the 137.97 dividend equivalents settled in cash, not shares.

SEC source: 0001062993-23-007860 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 125,959.24

F2 · security: Reflects the cash settlement of 25% of the converted units that were earned on February 2, 2022, and vested on April 2, 2022.

F2 · kind: Reflects the cash settlement of 25% of the converted units that were earned on February 2, 2022, and vested on April 2, 2022.

F3 · shares: The reported number, 11,192.76, does not reflect the total of (a) the number of earned "restricted share units" settled in cash, and (b) dividend equivalents from December 2021 and March 2022, all of which vested on April 2, 2022. On March 24, 2022, we erroneously over-reported 137.97 dividend equivalents distributed on the earned 33,575.27 "restricted share units" (75% settled in shares) in Table I that should have been reported on the same date but in Table II on the earned 11,192.76 "restricted share units" (25% settled in cash). Despite the incorrect reporting in Table I, upon vesting, the 137.97 dividend equivalents settled in cash, not shares.

SEC source: 0001062993-22-008569 · form4.xml · nonDerivative · entry 4

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,205.23

F4 · security: The total number reflects the acquisition on March 23, 2022 of dividend equivalents in the form of 220.55 Restricted Share Units ("RSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to recipient on March 10, 2022 as part of the 2022 Annual Restricted Share Unit Award of 17,893 RSUs. The RSUs vest over three years in equal installments, where the first third vests on the one-year anniversary of the grant date, March 10, 2023, the next third vests on the two-year anniversary of the grant date, March 10, 2024, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2025, subject to continued employment through such dates.

SEC source: 0001062993-22-008569 · form4.xml · nonDerivative · entry 3

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,984.68

F3 · security: The total number reflects the acquisition on March 23, 2022 of dividend equivalents in the form of 589.03 Performance Share Units ("PSUs"), which are subject to the same terms and conditions as the underlying equity originally granted to recipient in 2019 from our former parent, Prudential plc, of 29,505 PSUs, which were converted into PSUs of Jackson Financial Inc. on September 13, 2021. Column 4 reflects the number of shares of common stock "earned" based on achievement of performance metrics for the period January 1, 2019 through December 31, 2021. The shares will not vest, or be delivered to Mr. Smith, until April 2, 2022, so long as Mr. Smith remains employed through such date.

SEC source: 0001062993-22-008569 · form4.xml · nonDerivative · entry 2

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,395.65

F2 · security: The total number reflects the acquisition on March 23, 2022 of dividend equivalents in the form of 23.42 Restricted Share Units ("RSUs"), as well as the previously reported acquisition on December 9, 2021 of dividend equivalents in the form of 24.77 RSUs, which are subject to the same terms and conditions as the underlying equity originally granted to recipient on October 4, 2021 as part of Celebration Award of 1,875 RSUs. These RSUs fully vest on the one-year anniversary of the grant date, October 4, 2022, subject to continued employment through such date.

SEC source: 0001062993-22-008569 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,372.23

F1 · security: The total number reflects the acquisition on March 23, 2022 of dividend equivalents in the form of 243.59 Restricted Share Units ("RSUs"), as well as the previously reported acquisition on December 9, 2021 of dividend equivalents in the form of 257.65 RSUs, which are subject to the same terms and conditions as the underlying equity originally granted to recipient on October 4, 2021 as part of Annual Award of 19,504 RSUs. These RSUs vest over 30 months in three equal installments with the first third vesting on the one-year anniversary of the grant date, October 4, 2022, the next third vesting on the two-year anniversary of the grant date, October 4, 2023, and the remaining third vesting on April 4, 2024, subject to continued employment through such dates.

SEC source: 0001062993-22-007690 · form4.xml · nonDerivative · entry 4

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 73,128.64

F4 · security: The 2022 Annual Restricted Share Unit Award was granted on March 10, 2022. The Restricted Share Units ("RSUs") vest over three years in equal installments, where the first third vests on the one-year anniversary of the grant date, March 10, 2023, the next third vests on the two-year anniversary of the grant date, March 10, 2024, and the remaining third vests on the three-year anniversary of the grant date, March 10, 2025.

SEC source: 0001062993-22-007690 · form4.xml · nonDerivative · entry 3

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,235.64

F3 · security: In 2019, Mr. Smith received from our former parent, Prudential, plc, 29,505 Performance Share Units ("PSUs"), which were converted into PSUs of Jackson Financial Inc. on September 13, 2021. Column 4 reflects the number of shares of common stock "earned" based on achievement of performance metrics for the period January 1, 2019 through December 31, 2021. The shares will not vest, or be delivered to Mr. Smith, until April 2, 2022, so long as Mr. Smith remains employed through such date.

SEC source: 0001062993-23-007860 · form4.xml · derivative · entry 3

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,136.34

Underlying: Common Stock · 11,192.76 shares

Expires not disclosed

F1 · derivative.exercise_price: Reflects the acquisition of cash-settled units earned based on achievement of performance metrics of the 47,163 Jackson Financial Inc. Performance Share Units ("PSUs"), which were converted from the 2019 PLTIP PSUs on October 4, 2021. All of the earned units vested on April 2, 2022. The previously filed Form 4 failed to report the acquisition of the cash-settled earned units, and reported the acquisition of only the 75% of share-settled earned units.

F3 · shares: The reported number, 11,192.76, does not reflect the total of (a) the number of earned "restricted share units" settled in cash, and (b) dividend equivalents from December 2021 and March 2022, all of which vested on April 2, 2022. On March 24, 2022, we erroneously over-reported 137.97 dividend equivalents distributed on the earned 33,575.27 "restricted share units" (75% settled in shares) in Table I that should have been reported on the same date but in Table II on the earned 11,192.76 "restricted share units" (25% settled in cash). Despite the incorrect reporting in Table I, upon vesting, the 137.97 dividend equivalents settled in cash, not shares.

F1 · derivative.exercise_date: Reflects the acquisition of cash-settled units earned based on achievement of performance metrics of the 47,163 Jackson Financial Inc. Performance Share Units ("PSUs"), which were converted from the 2019 PLTIP PSUs on October 4, 2021. All of the earned units vested on April 2, 2022. The previously filed Form 4 failed to report the acquisition of the cash-settled earned units, and reported the acquisition of only the 75% of share-settled earned units.

F1 · derivative.expiration_date: Reflects the acquisition of cash-settled units earned based on achievement of performance metrics of the 47,163 Jackson Financial Inc. Performance Share Units ("PSUs"), which were converted from the 2019 PLTIP PSUs on October 4, 2021. All of the earned units vested on April 2, 2022. The previously filed Form 4 failed to report the acquisition of the cash-settled earned units, and reported the acquisition of only the 75% of share-settled earned units.

F3 · derivative.underlying_shares: The reported number, 11,192.76, does not reflect the total of (a) the number of earned "restricted share units" settled in cash, and (b) dividend equivalents from December 2021 and March 2022, all of which vested on April 2, 2022. On March 24, 2022, we erroneously over-reported 137.97 dividend equivalents distributed on the earned 33,575.27 "restricted share units" (75% settled in shares) in Table I that should have been reported on the same date but in Table II on the earned 11,192.76 "restricted share units" (25% settled in cash). Despite the incorrect reporting in Table I, upon vesting, the 137.97 dividend equivalents settled in cash, not shares.

SEC source: 0001062993-23-007860 · form4.xml · nonDerivative · entry 1

Smith Craig Donald · CIK 0001856283 · CEO, CIO & Pres PPM America

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 137,152

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 · security: Reflects the acquisition of cash-settled units earned based on achievement of performance metrics of the 47,163 Jackson Financial Inc. Performance Share Units ("PSUs"), which were converted from the 2019 PLTIP PSUs on October 4, 2021. All of the earned units vested on April 2, 2022. The previously filed Form 4 failed to report the acquisition of the cash-settled earned units, and reported the acquisition of only the 75% of share-settled earned units.

F1 · kind: Reflects the acquisition of cash-settled units earned based on achievement of performance metrics of the 47,163 Jackson Financial Inc. Performance Share Units ("PSUs"), which were converted from the 2019 PLTIP PSUs on October 4, 2021. All of the earned units vested on April 2, 2022. The previously filed Form 4 failed to report the acquisition of the cash-settled earned units, and reported the acquisition of only the 75% of share-settled earned units.

F3 · shares: The reported number, 11,192.76, does not reflect the total of (a) the number of earned "restricted share units" settled in cash, and (b) dividend equivalents from December 2021 and March 2022, all of which vested on April 2, 2022. On March 24, 2022, we erroneously over-reported 137.97 dividend equivalents distributed on the earned 33,575.27 "restricted share units" (75% settled in shares) in Table I that should have been reported on the same date but in Table II on the earned 11,192.76 "restricted share units" (25% settled in cash). Despite the incorrect reporting in Table I, upon vesting, the 137.97 dividend equivalents settled in cash, not shares.