Mahoney Daniel K.

SEC source: 0001179110-22-002403 · edgar.xml · nonDerivative · entry 2

Mahoney Daniel K. · CIK 0001620413 · EVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,911

SEC source: 0001179110-22-002403 · edgar.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · EVP, CFO and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,914.367

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: 0001179110-22-002207 · edgar.xml · derivative · entry 2

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,756

Underlying: Common Stock · 1,756 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F2 · derivative.exercise_date: The RSUs vest in four equal annual installments beginning on March 10, 2023.

F2 · derivative.expiration_date: The RSUs vest in four equal annual installments beginning on March 10, 2023.

SEC source: 0001179110-21-011102 · edgar.xml · derivative · entry 4

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,434.5067

Underlying: Common Stock · 478.1689 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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F2 · derivative.exercise_date: The remaining RSUs, which include an aggregate of 18.5067 Dividend Units, vest in three equal annual installments beginning on December 15, 2022.

F2 · derivative.expiration_date: The remaining RSUs, which include an aggregate of 18.5067 Dividend Units, vest in three equal annual installments beginning on December 15, 2022.

SEC source: 0001179110-21-011102 · edgar.xml · nonDerivative · entry 3

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,548

SEC source: 0001179110-21-011102 · edgar.xml · nonDerivative · entry 2

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,687

SEC source: 0001179110-21-011102 · edgar.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,693.1689

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: 0001179110-21-010971 · edgar.xml · derivative · entry 4

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,468.4956

Underlying: Common Stock · 4.8127 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F5 · shares: Amount reported represents Dividend Units acquired on the RSUs at $94.28 on December 10, 2021. These Dividend Units are payable only in cash.

F4 · derivative.exercise_date: The RSUs, which include an aggregate of 13.4956 Dividend Units, vest in four equal annual installments beginning on March 22, 2022.

F4 · derivative.expiration_date: The RSUs, which include an aggregate of 13.4956 Dividend Units, vest in four equal annual installments beginning on March 22, 2022.

SEC source: 0001179110-21-010971 · edgar.xml · derivative · entry 3

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,912.6756

Underlying: Common Stock · 6.2684 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F5 · shares: Amount reported represents Dividend Units acquired on the RSUs at $94.28 on December 10, 2021. These Dividend Units are payable only in cash.

F3 · derivative.exercise_date: The RSUs, which include an aggregate of 24.6756 Dividend Units, vest in four equal annual installments beginning on December 15, 2021.

F3 · derivative.expiration_date: The RSUs, which include an aggregate of 24.6756 Dividend Units, vest in four equal annual installments beginning on December 15, 2021.

SEC source: 0001179110-21-010971 · edgar.xml · derivative · entry 2

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,694.4778

Underlying: Common Stock · 31.718 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F5 · shares: Amount reported represents Dividend Units acquired on the RSUs at $94.28 on December 10, 2021. These Dividend Units are payable only in cash.

F2 · derivative.exercise_date: The RSUs, which include an aggregate of 283.4778 Dividend Units, vest in three equal annual installments beginning on April 3, 2022.

F2 · derivative.expiration_date: The RSUs, which include an aggregate of 283.4778 Dividend Units, vest in three equal annual installments beginning on April 3, 2022.

SEC source: 0001179110-21-008772 · edgar.xml · derivative · entry 4

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,463.6829

Underlying: Common Stock · 4.1768 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F4 · derivative.exercise_date: The RSUs, which include an aggregate of 8.6829 Dividend Units, vest in four equal annual installments beginning on March 22, 2022.

F4 · derivative.expiration_date: The RSUs, which include an aggregate of 8.6829 Dividend Units, vest in four equal annual installments beginning on March 22, 2022.

SEC source: 0001179110-21-008772 · edgar.xml · derivative · entry 3

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,906.4072

Underlying: Common Stock · 5.4404 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F3 · derivative.exercise_date: The RSUs, which include an aggregate of 18.4072 Dividend Units, vest in four equal annual installments beginning on December 15, 2021.

F3 · derivative.expiration_date: The RSUs, which include an aggregate of 18.4072 Dividend Units, vest in four equal annual installments beginning on December 15, 2021.

SEC source: 0001179110-21-008772 · edgar.xml · derivative · entry 2

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,662.706

Underlying: Common Stock · 27.5745 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F2 · derivative.exercise_date: The RSUs, which include an aggregate of 251.7060 Dividend Units, vest in three equal annual installments beginning on April 3, 2022.

F2 · derivative.expiration_date: The RSUs, which include an aggregate of 251.7060 Dividend Units, vest in three equal annual installments beginning on April 3, 2022.

SEC source: 0001179110-21-006730 · edgar.xml · derivative · entry 4

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,459.5061

Underlying: Common Stock · 4.5061 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F4 · derivative.exercise_date: The RSUs, which include an aggregate of 4.5061 Dividend Units, vest in four equal annual installments beginning on March 22, 2022.

F4 · derivative.expiration_date: The RSUs, which include an aggregate of 4.5061 Dividend Units, vest in four equal annual installments beginning on March 22, 2022.

SEC source: 0001179110-21-006730 · edgar.xml · derivative · entry 3

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,900.9668

Underlying: Common Stock · 5.8692 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F3 · derivative.exercise_date: The RSUs, which include an aggregate of 12.9668 Dividend Units, vest in four equal annual installments beginning on December 15, 2021.

F3 · derivative.expiration_date: The RSUs, which include an aggregate of 12.9668 Dividend Units, vest in four equal annual installments beginning on December 15, 2021.

SEC source: 0001179110-21-006730 · edgar.xml · derivative · entry 2

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,635.1315

Underlying: Common Stock · 29.7486 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F2 · derivative.exercise_date: The remaining RSUs, which include an aggregate of 224.1315 Dividend Units, vest in three equal annual installments beginning on April 3, 2022.

F2 · derivative.expiration_date: The remaining RSUs, which include an aggregate of 224.1315 Dividend Units, vest in three equal annual installments beginning on April 3, 2022.

SEC source: 0001179110-21-004270 · edgar.xml · derivative · entry 4

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,605.3829

Underlying: Common Stock · 3,200.7736 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 ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F2 · derivative.exercise_date: The remaining RSUs, which include an aggregate of 194.3829 Dividend Units, vest in three equal annual installments beginning on April 3, 2022.

F2 · derivative.expiration_date: The remaining RSUs, which include an aggregate of 194.3829 Dividend Units, vest in three equal annual installments beginning on April 3, 2022.

SEC source: 0001179110-21-004270 · edgar.xml · nonDerivative · entry 3

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,215

SEC source: 0001179110-21-004270 · edgar.xml · nonDerivative · entry 2

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,136

SEC source: 0001179110-21-004270 · edgar.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,200.7736

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: 0001179110-21-003882 · edgar.xml · derivative · entry 2

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,895.0976

Underlying: Common Stock · 7.0976 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F3 · derivative.exercise_date: The RSUs, which include an aggregate of 7.0976 Dividend Units, vest in four equal annual installments beginning on December 15, 2021.

F3 · derivative.expiration_date: The RSUs, which include an aggregate of 7.0976 Dividend Units, vest in four equal annual installments beginning on December 15, 2021.

SEC source: 0001179110-21-003882 · edgar.xml · derivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,806.1565

Underlying: Common Stock · 47.963 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F2 · derivative.exercise_date: The RSUs, which include an aggregate of 259.1565 Dividend Units, vest in four equal annual installments beginning on April 3, 2021.

F2 · derivative.expiration_date: The RSUs, which include an aggregate of 259.1565 Dividend Units, vest in four equal annual installments beginning on April 3, 2021.

SEC source: 0001179110-21-003781 · edgar.xml · derivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,455

Underlying: Common Stock · 1,455 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F2 · derivative.exercise_date: The RSUs vest in four equal annual installments beginning on March 22, 2022.

F2 · derivative.expiration_date: The RSUs vest in four equal annual installments beginning on March 22, 2022.

SEC source: 0001179110-20-012076 · edgar.xml · derivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,888

Underlying: Common Stock · 1,888 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F2 · derivative.exercise_date: The RSUs vest in four equal annual installments beginning on December 15, 2021.

F2 · derivative.expiration_date: The RSUs vest in four equal annual installments beginning on December 15, 2021.

SEC source: 0001179110-20-011937 · edgar.xml · derivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,758.1935

Underlying: Common Stock · 63.6441 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F2 · shares: Amount reported represents Dividend Units accrued on the RSUs at $51.86 on December 11, 2020. These Dividend Units are payable only in cash.

F3 · derivative.exercise_date: The RSUs, which include an aggregate of 211.1935 Dividend Units, vest in four equal annual installments beginning on April 3, 2021.

F3 · derivative.expiration_date: The RSUs, which include an aggregate of 211.1935 Dividend Units, vest in four equal annual installments beginning on April 3, 2021.

SEC source: 0001179110-20-009831 · edgar.xml · derivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,694.5494

Underlying: Common Stock · 73.2685 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F2 · derivative.exercise_date: The RSUs, which include an aggregate of 147.5494 Dividend Units, vest in four equal annual installments beginning on April 3, 2021.

F2 · derivative.expiration_date: The RSUs, which include an aggregate of 147.5494 Dividend Units, vest in four equal annual installments beginning on April 3, 2021.

SEC source: 0001179110-20-007458 · edgar.xml · derivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,621.2809

Underlying: Common Stock · 74.2809 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F2 · derivative.exercise_date: The RSUs, which include an aggregate of 74.2809 Dividend Units, vest in four equal annual installments beginning on April 3, 2021.

F2 · derivative.expiration_date: The RSUs, which include an aggregate of 74.2809 Dividend Units, vest in four equal annual installments beginning on April 3, 2021.

SEC source: 0001179110-20-004748 · edgar.xml · derivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CFO, EVP and Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,547

Underlying: Common Stock · 12,547 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's common stock; vested RSUs are payable in the form of cash, shares of the Issuer's common stock or a combination thereof, except as otherwise indicated below. To the extent vested RSUs are paid in shares of the Issuer's common stock, such shares will be delivered to the reporting person as soon as possible after vesting, but in no event later than two and one-half months after the end of the year in which vesting occurs, subject to the collection of withholding taxes. Dividend equivalent rights accrue with respect to unvested RSUs in the form of additional RSUs ("Dividend Units") when and as dividends are paid on the Issuer's common stock, and Dividend Units vest on the same dates and in the same relative proportions as the RSUs on which they accrue.

F2 · derivative.exercise_date: The RSUs vest in four equal annual installments beginning on April 3, 2021.

F2 · derivative.expiration_date: The RSUs vest in four equal annual installments beginning on April 3, 2021.

SEC source: 0001748824-20-000005 · wf-form4_158215005554969.xml · nonDerivative · entry 4

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,867

F1 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

SEC source: 0001748824-20-000005 · wf-form4_158215005554969.xml · nonDerivative · entry 3

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,868

F1 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

SEC source: 0001748824-20-000005 · wf-form4_158215005554969.xml · nonDerivative · entry 2

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,804

F1 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

SEC source: 0001748824-20-000005 · wf-form4_158215005554969.xml · derivative · entry 7

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,615

Underlying: Common Stock · 2,284 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: Each restricted stock unit represents a right to receive one share of common stock of BrightSphere Investment Group Inc.

F5 · derivative.exercise_date: On February 15, 2019, the reporting person was granted 6,850 restricted stock units, vesting in equal annual installments over a three-year period with 1/3 of the restricted stock units vesting on each of February 15, 2020, February 15, 2021 and February 15, 2022.

F5 · derivative.expiration_date: On February 15, 2019, the reporting person was granted 6,850 restricted stock units, vesting in equal annual installments over a three-year period with 1/3 of the restricted stock units vesting on each of February 15, 2020, February 15, 2021 and February 15, 2022.

SEC source: 0001748824-20-000005 · wf-form4_158215005554969.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,041

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: 0001748824-20-000005 · wf-form4_158215005554969.xml · derivative · entry 6

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 125,000

Underlying: Common Stock · 125,000 shares

Expires 2025-02-14

F4 · derivative.exercise_date: On February 14, 2020, the reporting person was granted an option to purchase 125,000 shares of common stock of BrightSphere Investment Group Inc. The option vests in five equal installments, with the first tranche vesting immediately and the following tranches vesting on each of December 31, 2020, December 31, 2021, December 31, 2022 and December 31, 2023, subject to the terms of the award agreement.

SEC source: 0001748824-20-000005 · wf-form4_158215005554969.xml · derivative · entry 5

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,899

Underlying: Common Stock · 15,049 shares

Expires not disclosed

F2 · security: Each restricted stock unit represents a right to receive one share of common stock of BrightSphere Investment Group Inc.

F2 · derivative.exercise_price: Each restricted stock unit represents a right to receive one share of common stock of BrightSphere Investment Group Inc.

F3 · derivative.exercise_date: The restricted stock units vest in equal annual installments over a three-year period with 1/3 of the restricted stock units vesting on each of February 14, 2021, February 14, 2022 and February 14, 2023.

F3 · derivative.expiration_date: The restricted stock units vest in equal annual installments over a three-year period with 1/3 of the restricted stock units vesting on each of February 14, 2021, February 14, 2022 and February 14, 2023.

SEC source: 0001748824-19-000071 · wf-form4_157713659080673.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,757

F1 · shares: Consists of a restricted stock award issued under the BrightSphere Investment Group Inc. Equity Incentive Plan. The restricted stock award vests in equal annual installments over a three-year period with 1/3 of the restricted stock award vesting on each of December 20, 2020, December 20, 2021 and December 20, 2022.

SEC source: 0001611702-19-000021 · wf-form4_155069821851617.xml · nonDerivative · entry 3

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,382

F1 · kind: The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

SEC source: 0001611702-19-000021 · wf-form4_155069821851617.xml · nonDerivative · entry 2

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,625

F1 · kind: The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

SEC source: 0001611702-19-000021 · wf-form4_155069821851617.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,626

F1 · kind: The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

SEC source: 0001611702-19-000021 · wf-form4_155069821851617.xml · derivative · entry 4

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,850

Underlying: Ordinary shares · 6,850 shares

Expires not disclosed

F3 · security: Each restricted share unit represents a right to receive one ordinary share of BrightSphere Investment Group plc.

F3 · derivative.exercise_price: Each restricted share unit represents a right to receive one ordinary share of BrightSphere Investment Group plc.

F4 · shares: Consists of restricted share units issued under the BrightSphere Investment Group plc 2017 Equity Incentive Plan.

F5 · derivative.exercise_date: The restricted share units vest in equal annual installments over a three-year period with 1/3 of the restricted share units vesting on each of February 15, 2020, February 15, 2021 and February 15, 2022.

F5 · derivative.expiration_date: The restricted share units vest in equal annual installments over a three-year period with 1/3 of the restricted share units vesting on each of February 15, 2020, February 15, 2021 and February 15, 2022.

SEC source: 0001611702-19-000017 · wf-form4_155009183145117.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,911

F1 · kind: The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

SEC source: 0001611702-18-000029 · wf-form4_152055592691558.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CAO/Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,286

F1 · kind: The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.10 to $15.34, inclusive. The reporting person undertakes to provide to OM Asset Management plc, any security holder of OM Asset Management plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.

SEC source: 0001611702-18-000038 · wf-form4a_152106339824897.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · Head of Finance/PFO/PAO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,286

F1 · kind: The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.10 to $15.34, inclusive. The reporting person undertakes to provide to OM Asset Management plc, any security holder of OM Asset Management plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.

SEC source: 0001611702-18-000017 · wf-form4_151881642218584.xml · nonDerivative · entry 2

Mahoney Daniel K. · CIK 0001620413 · CAO/Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,811

F2 · kind: The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F3 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

SEC source: 0001611702-18-000017 · wf-form4_151881642218584.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CAO/Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,051

F1 · shares: Consists of a restricted share award issued under the OM Asset Management plc Equity Incentive Plan. The restricted share award vests in equal annual installments over a three-year period with 1/3 of the restricted share award vesting on each of February 15, 2019, February 15, 2020 and February 15, 2021.

SEC source: 0001611702-18-000010 · wf-form4_151855658456773.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CAO/Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,177

F1 · kind: The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $15.49 to $15.4915, inclusive. The reporting person undertakes to provide to OM Asset Management plc, any security holder of OM Asset Management plc, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (3) to this Form 4.

SEC source: 0001611702-17-000116 · wf-form4_151129815817270.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CAO/Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,493

SEC source: 0001611702-17-000027 · wf-form4_148902025770101.xml · nonDerivative · entry 3

Mahoney Daniel K. · CIK 0001620413 · CAO/Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,493

F1 · kind: The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

SEC source: 0001611702-17-000027 · wf-form4_148902025770101.xml · nonDerivative · entry 2

Mahoney Daniel K. · CIK 0001620413 · CAO/Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,496

F1 · kind: The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.

SEC source: 0001611702-17-000027 · wf-form4_148902025770101.xml · nonDerivative · entry 1

Mahoney Daniel K. · CIK 0001620413 · CAO/Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,885

F1 · kind: The shares were sold pursuant to a sales plan adopted by the reporting person and intended to comply with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

F2 · shares: Represents shares sold by the reporting person to cover tax withholding obligations upon the vesting of restricted shares.