Ordinary Shares

Ordinary Shares

Ordinary Shares

Ordinary Shares

Each American Depositary Share represents 13 Ordinary Shares.

The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 13, 2024, as most recently amended on May 14, 2025.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $300.00 to $300.99, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $301.00 to $301.98, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $302.00 to $302.97, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $303.00 to $303.98, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $304.00 to $304.80, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $305.17 to $306.13, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $306.19 to $307.18, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $307.20 to $307.51, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $300.44 to $301.07, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $301.52 to $302.39, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $302.79 to $303.68, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $303.85 to $304.48, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $304.95 to $305.94, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $305.95 to $306.94, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $306.95 to $307.93, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $307.99 to $308.12, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The number of securities underlying each option and the exercise price therefore are represented in ordinary shares.

These securities vest over a four-year period as follows: 25% on June 17, 2021 with the remaining shares vesting in 36 equal successive monthly installments thereafter, subject to continued service.  Unvested shares are subject to accelerated vesting upon certain termination events following a change in control.

These securities vest over a four-year period as follows: 25% on the first anniversary of June 22, 2022, and the remaining in 36 successive equal monthly installments, subject to continued service. Unvested shares are subject to accelerated vesting upon certain termination events following a change in control.

These securities vest over a four-year period as follows: 25% on the first anniversary of June 5, 2024, and the remaining in 36 successive equal monthly installments, subject to continued service. Unvested shares are subject to accelerated vesting upon certain termination events.


Class I Common Shares of Beneficial Interest

The total number of shares held following this transaction includes 51.915 shares acquired on 06/30/2025 as part of the Issuer's dividend reinvestment plan.

/s/ Timothy J. Burdick, Attorney-in-Fact


This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 20, 2025.

This transaction was executed in multiple trades during the day at prices ranging from $160.42 to $161.32. The weighted-average price is reported above. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

Shares are held by CBC Co Pty Limited as trustee for the Cannon-Brookes Head Trust.

This transaction was executed in multiple trades during the day at prices ranging from $163.53 to $164.50. The weighted-average price is reported above. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

This transaction was executed in multiple trades during the day at prices ranging from $162.53 to $163.52. The weighted-average price is reported above. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

This transaction was executed in multiple trades during the day at prices ranging from $161.53 to $162.47. The weighted-average price is reported above. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

This transaction was executed in multiple trades during the day at prices ranging from $164.61 to $164.66. The weighted-average price is reported above. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

/s/ Veena Bhatia, Attorney-in-Fact for Cannon-Brookes Michael


This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 12, 2025.

Shares are held by Farquhar Investment Partnership No. 2.

/s/ Veena Bhatia, Attorney-in-Fact for Farquhar Scott


Ordinary Shares

Ordinary Shares

Each American Depositary Share represents 13 Ordinary Shares.

The sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 14, 2025.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $300.00 to $300.98, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $301.00 to $301.03, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide to the staff of the Securities and Exchange Commission or any security holder of the Issuer, upon request, full information regarding the number of American Depositary Shares sold at each separate price.

The number of securities underlying each option and the exercise price therefore are represented in ordinary shares.

These securities vest over a four-year period as follows: 25% on July 29, 2023 with the remaining shares vesting in 36 equal successive monthly installments thereafter, subject to continued service. Unvested securities are subject to accelerated vesting upon certain termination events.

These securities vest over a four-year period as follows: 25% on the first anniversary of June 5, 2024 with the remaining shares vesting in 36 equal successive monthly installments thereafter, subject to continued service. Unvested securities are subject to accelerated vesting upon certain termination events.


The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of RSUs. The sale was to satisfy tax withholding obligations to be funded by a "sell to cover" transaction and does not represent a discretionary transaction by the Reporting Person.

This transaction was executed in multiple trades during the day at prices ranging from $163.20 to $164.19. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

This transaction was executed in multiple trades during the day at prices ranging from $160.20 to $161.19. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

This transaction was executed in multiple trades during the day at prices ranging from $161.20 to $162.19. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

This transaction was executed in multiple trades during the day at prices ranging from $164.20 to $164.94. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

This transaction was executed in multiple trades during the day at prices ranging from $162.20 to $163.19. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transactions were effected.

/s/ Veena Bhatia, Attorney-in-Fact for BHARADWAJ ANUTTHARA


/s/ Veena Bhatia, Attorney-in-Fact for LIU GENE


/s/ Veena Bhatia, Attorney-in-Fact for BINZ JOSEPH LEO


The price reported reflects multiple sales at the same price of $181.77.  The reporting person will provide, upon request by the Commission staff, the issuer, or a security holder of the issuer, full information regarding the shares sold.

Includes 278 shares of common stock acquired by the reporting person under the Company's dividend reinvestment plan.

/s/ Robert D. Fatovic, by power of attorney


Common Shares

Common Shares

Common Shares

The reported transactions represent solely a conversion of limited partnership units in JBG SMITH Properties LP (the "OP"), the operating partnership of JBG SMITH Properties (the "Issuer"), designated as LTIP Units ("LTIP Units") into Operating Partnership Units ("OP Units") in the OP, and an exchange of OP Units into common shares of the Issuer, par value $0.01 ("Common Shares"). No sale or monetization of securities has occurred.

Each OP Unit is redeemable, once vested, by the holder for one Common Share, or the cash value of a Common Share, at the Issuer's option.

Limited partnership units in the OP designated as LTIP Units are a class of units in the OP that, if vested, are convertible at the option of the holder, conditioned upon minimum allocations to the capital accounts of the LTIP Units for federal income tax purposes, into an equal number of OP Units.


Common Stock

Option granted under the Ecolab Inc. 2010 Stock Incentive Plan. The option became exercisable, on a cumulative basis, as to one-third of the option shares (excluding any fractional portion less than one share), on each of the first and second anniversaries of the date of grant and as to the remaining option shares on the third anniversary of the date of grant. The date listed is the first anniversary of the date of grant.

/s/ Corinne Lawson, as Attorney-in-Fact for Jennifer J. Bradway


All shares sold at an exact price.

On September 6, 2024, the balance of 8,023 shares of common stock was updated pursuant to a 5 to 1 forward stock split, resulting in an additional 32,092 shares of common stock.

/s/ Preston Hopson, Attorney-in-fact for Gary Birkenbeuel


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $23.29 to $23.445, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 range set forth in this footnote to this Form 4.


The transaction was executed in multiple trades at prices ranging from $739.81 to $740.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

/s/ Hadi Partovi, by Isaiah Fields, Attorney-in-Fact


The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.85 to $11.25, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.


Vesting of Common Stock underlying previously awarded performance share units upon determination by the Compensation Committee that performance criteria for the awards had been satisfied, which remain subject to the executive's continued service through August 31, 2025.

Katharine M. Haynes, per Power of Attorney


Common Shares

Common Shares

Common Shares


Represents the number of shares withheld by the Issuer to cover tax withholding obligations in connection with the vesting of RSUs.


Common Stock

Common Stock

Represents weighted average sale price. These shares were sold in multiple transactions at prices ranging from $209.35 to $210.29. Upon request by the SEC, the Issuer or a stockholder of the Issuer, complete information regarding the number of shares sold at each price within the range will be provided.

Represents weighted average sale price. These shares were sold in multiple transactions at prices ranging from $210.54 to $211.52. Upon request by the SEC, the Issuer or a stockholder of the Issuer, complete information regarding the number of shares sold at each price within the range will be provided.

The Stock Appreciation Rights became exercisable in three (3) equal, annual installments beginning on the first anniversary of the February 16, 2017 grant date.

The Stock Appreciation Rights became exercisable in three (3) equal, annual installments beginning on the first anniversary of the February 13, 2018 grant date.


The price reported in Column 4 is a weighted average price.  These shares were sold in multiple transactions at prices ranging from $156.90 to $157.99, inclusive.  The reporting person undertakes to provide to Brinker International, any security holder of Brinker International 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 (1) to this Form 4.

/s/ Christopher L. Green, as Attorney-in-Fact


The price represents the weighted average purchase price for multiple transactions reported on this line. The prices of the transactions reported on this line range from $266.195 to $266.2775. The Reporting Person undertakes to provide, upon request by the Commission staff, the issuer or a securityholder of the issuer, full information regarding the number of shares purchased at each separate price.


Represents a restricted stock unit ("RSU") award. The RSUs will vest over three years, with 1/12th of the total number of shares underlying the award vesting quarterly on each March 10, June 10, September 10 and December 10, subject to the Reporting Person continuing as a service provider through each such vesting date.


The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on February 27, 2025.

/s/ Daniel Niedzwiecki, attorney-in-fact


The shares were sold pursuant to a 10b5-1 trading plan.


The price included in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.16 to $9.41 per share, inclusive. The Reporting Person undertakes to provide to Amneal Pharmaceuticals, Inc. 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 this footnote.


Shares of Class V common stock, par value $0.0001 per share ("Class V Common Stock"), of the issuer represent voting, non-economic interests in the issuer. Except as provided in the issuer's certificate of incorporation, as amended, or as required by applicable law, holders of Class V Common Stock will be entitled to one vote per share of Class V Common Stock on all matters to be voted on by the issuer's stockholders generally.

Reflects the surrender and cancellation of shares of Class V Common Stock to the issuer in connection with the exchange of Class A common units of Opportunity Financial, LLC ("Opportunity Financial") by members thereof, other than the reporting person, for shares of Class A common stock, par value $0.0001 per share, of the issuer pursuant to the exchange provisions of the Third Amended and Restated Limited Liability Company Agreement of Opportunity Financial.

The shares of Class V Common Stock are held by OppFi Shares, LLC ("OFS"), which has sole voting power over the shares of Class V Common Stock reported in Table I hereof. OFS is wholly owned by TGS Revocable Trust, whose sole trustee is the reporting person. By virtue of these relationships, the reporting person may be deemed to have voting power over the shares of Class V Common Stock held by OFS. The reporting person disclaims beneficial ownership of the shares of Class V Common Stock held by OFS, except to the extent of his pecuniary interest therein.

/s/ Marv Gurevich, Esq., as attorney-in-fact for Todd G. Schwartz


Common Stock

The price in Column 4 is the weighted average selling price of the shares.  The shares were sold in multiple transactions at prices from $55.00 to $55.27, inclusive.  The Reporting Person undertakes to provide to the SEC, GM and any security holder, upon request, full information regarding the number of shares sold at each price point within the ranges set forth in this footnote.

These stock options were granted on February 12, 2020 and are fully vested.

/s/ Tia Y. Turk, Attorney-In-Fact for Mr. Hatto


This transaction was executed pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 12, 2024.

The reported total includes an aggregate 1,778 shares acquired pursuant to the Issuer's Employee Stock Purchase Plan in one or more transactions exempt pursuant to Rules 16b-3(c) and 16b-3(d).


Class A Common Stock

Class A Common Stock

Shares of Class V common stock, par value $0.0001 per share ("Class V Common Stock"), of OppFi Inc. (the "Issuer") represent voting, non-economic interests in the Issuer. Except as provided in the Issuer's certificate of incorporation, as amended, or as required by applicable law, holders of Class V Common Stock will be entitled to one vote per share of Class V Common Stock on all matters to be voted on by the Issuer's stockholders generally. The shares of Class V Common Stock will be cancelled by the Issuer if the reporting person exercises (or causes LTHS Capital Group LP or LTHS Revocable Trust to exercise) Exchange Rights (as defined below in footnote 8).

Reflects the cancellation of shares of Class V Common Stock in connection with the exercise of the Exchange Rights with respect to an equivalent number of Class A common units ("Common Units") of Opportunity Financial, LLC ("Opportunity Financial").

The shares of Class V Common Stock are held by OppFi Shares, LLC ("OFS"), which has sole voting power over the shares of Class V Common Stock reported in Table I hereof. The reporting person has the indirect right to cause OFS to dispose of the shares of Class V Common Stock reported in Table I hereof to the Issuer pursuant to the reporting person's (or LTHS Capital Group LP's or LTHS Revocable Trust's) Exchange Rights.

Reflects shares of Class A Common Stock, par value $0.0001 per share ("Class A Common Stock"), of the Issuer received in connection with the exercise of the Exchange Rights.

The reporting person is the manager of the general partner of LTHS Capital Group LP and may be deemed to beneficially own the securities held by LTHS Capital Group LP. The reporting person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 10, 2024.

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions with prices ranging from $10.56 to $10.92 for a weighted average sale price of $10.7848. The reporting person undertakes to provide the Issuer, any security holder of the Issuer 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 range set forth in this footnote.

Common Units generally represent economic, non-voting interests in Opportunity Financial. The Issuer is the sole manager of Opportunity Financial and controls Opportunity Financial, except as provided by the Third Amended and Restated Limited Liability Company Agreement of Opportunity Financial (the "LLC Agreement") or applicable law. Pursuant to the LLC Agreement, each Common Unit can be exchanged by the holder from time to time for either one share of Class A common stock of the Issuer or, at the election of the Issuer in its capacity as the sole manager of Opportunity Financial, the cash equivalent of the market value of one share of Class A Common Stock (the "Exchange Rights").

/s/ Marv Gurevich, Esq., as attorney-in-fact for Theodore G. Schwartz


Date of Rule 10b5-1 plan adoption: 03/14/2025

The reported price in column 4 is a weighted-average price. Shares were sold in multiple transactions at a per share price ranging from $15.00 to $15.09. The reporting person undertakes to provide to Alignment Healthcare, Inc., any security holder of Alignment Healthcare, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range.

/s/ Christopher J. Joyce, as Attorney-in-Fact, for Hyong (Ken) Kim


Ordinary Shares

Pursuant to Rule 16a-1(a)(2)(ii)(B) of the Securities Exchange Act of 1934, as amended, Mr. Breeden in his capacity as managing member, as well as chairman and chief executive officer of Breeden Capital Management LLC and as the managing member of Breeden Capital Partners LLC, may be deemed to be the indirect beneficial owner of the ordinary shares owned by the Fund and its General Partner, and may be deemed to have beneficial ownership of all such shares. Mr. Breeden disclaims beneficial ownership over 1,358 of these shares held by Breeden Partnership LLP.

Richard C. Breeden is the managing member of Breeden Capital Partners LLC, and managing member and chairman and chief executive officer of Breeden Capital Management LLC. Breeden Capital Partners LLC (the "General Partner") is in turn the general partner of Breeden Partners L.P. (the "Fund").

This option to purchase 4,110 STERIS plc ordinary shares, which is fully vested, was received in connection with the redomiciliation of STERIS plc to Ireland in March 2019 in exchange for an option to purchase 4,110 ordinary shares for $64.05 per share in STERIS plc prior to the redomiciliation ("Old STERIS"), subject to the same terms and conditions as the original Old STERIS stock option.

/s/ John P. Ubbing, Authorized Representative under Power of Attorney


The total number of shares held following this transaction includes 33.151 shares acquired on 03/31/2025 as part of the Issuer's dividend reinvestment plan.

/s/ Timothy J. Burdick, Attorney-in-Fact


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $115.20 to $116.00, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, 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 (1) to this Form 4.

Reflects the gift of common stock to a charitable organization.

/s/ Brian Poff, Attorney-in-Fact for W. Bradley Bickham


The sale reported in this Form 4 was to cover tax obligations associated with the vesting of restricted stock awards.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $6.77 to $7.05 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, 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 range set forth above.


By ICONIQ Strategic Partners III-B, L.P.

By ICONIQ Strategic Partners III Co-Invest, L.P., Series P

By ICONIQ Strategic Partners IV Co-Invest, L.P., Series P

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $64.39 to $65.39. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

ICONIQ Strategic Partners III GP, L.P. ("ICONIQ III GP") is the sole general partner of each of ICONIQ Strategic Partners III, L.P. ("ICONIQ III"), ICONIQ Strategic Partners III-B, L.P. ("ICONIQ III-B") and ICONIQ Strategic Partners III Co-Invest, L.P., Series P ("ICONIQ III Co-Invest"). ICONIQ Strategic Partners III TT GP, Ltd. ("ICONIQ III Parent GP") is the sole general partner of ICONIQ III GP. ICONIQ Strategic Partners IV GP, L.P. ("ICONIQ IV GP") is the sole general partner of each of ICONIQ Strategic Partners IV, L.P. ("ICONIQ IV"), ICONIQ Strategic Partners IV-B, L.P. ("ICONIQ IV-B") and ICONIQ Strategic Partners IV Co-Invest, L.P., Series P ("ICONIQ IV Co-Invest"). ICONIQ Strategic Partners IV TT GP, Ltd. ("ICONIQ IV Parent GP") is the sole general partner of ICONIQ IV GP.

(continued) ICONIQ Strategic Partners V GP, L.P. ("ICONIQ V GP") is the sole general partner of each of ICONIQ Strategic Partners V, L.P. ("ICONIQ V") and ICONIQ Strategic Partners V-B, L.P. ("ICONIQ V-B"). ICONIQ Strategic Partners V TT GP, Ltd. ("ICONIQ V Parent GP") is the sole general partner of ICONIQ V GP. ICONIQ Strategic Partners VI GP, L.P. ("ICONIQ VI GP") is the sole general partner of each of ICONIQ Strategic Partners VI, L.P. ("ICONIQ VI") and ICONIQ Strategic Partners VI-B, L.P. ("ICONIQ VI-B"). ICONIQ Strategic Partners VI TT GP, Ltd. ("ICONIQ VI Parent GP") is the sole general partner of ICONIQ VI GP.

(continued) Divesh Makan ("Makan") and the Reporting Person are the sole equity holders of ICONIQ III Parent GP. Makan, the Reporting Person and Matthew Jacobson ("Jacobson") are the sole equity holders of each of ICONIQ IV Parent GP, ICONIQ V Parent GP and ICONIQ VI Parent GP. The Reporting Person is a General Partner and a Managing Director at ICONIQ Capital. The Reporting Person disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $65.40 to $65.43. Full information regarding the number of shares sold at each separate price can be furnished to the SEC staff upon request.

The shares are held by the Reporting Person through his family trust of which he is a trustee and another estate planning trust having an independent trustee. The Reporting Person disclaims beneficial ownership of the shares held by such trusts for purposes of Section 16 of the Exchange Act, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that the Reporting Person is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.


(continued) Divesh Makan ("Makan") and William J.G. Griffith ("Griffith") are the sole equity holders of ICONIQ III Parent GP. Makan, Griffith and Matthew Jacobson ("Jacobson") are the sole equity holders of each of ICONIQ IV Parent GP, ICONIQ V Parent GP and ICONIQ VI Parent GP. Each of ICONIQ III GP, ICONIQ III Parent GP, ICONIQ IV GP, ICONIQ IV Parent GP, ICONIQ V GP, ICONIQ V Parent GP, ICONIQ VI GP, ICONIQ VI Parent GP, Makan, Griffith and Jacobson disclaims beneficial ownership of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of its or his pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Persons is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

The shares are held by Makan through his family trust of which he is a trustee and another estate planning trust having an independent trustee. Makan disclaims beneficial ownership of the shares held by such trusts for purposes of Section 16 of the Exchange Act, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that Makan is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.

The shares are held by Jacobson through a trust of which he is a trustee. Jacobson disclaims beneficial ownership of the shares held by such trust for purposes of Section 16 of the Exchange Act, except to the extent of his pecuniary interest therein, if any. This report shall not be deemed an admission that Jacobson is a beneficial owner of such securities for the purpose of Section 16 of the Exchange Act, or for any other purpose.


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.20 to $7.48 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, 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 range set forth above.


Common Stock

This transaction was executed in multiple trades at prices ranging from $45.85 to $46.45. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected

Options vest ratably in annual installments over a period of ten (10) years from the grant date, 8/22/2017.

/s/ Shalene A. Jacobson, as attorney-in-fact


The price included in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.12 to $9.40 per share, inclusive. The Reporting Person undertakes to provide to Amneal Pharmaceuticals, Inc. 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 the footnote.

The price included in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.25 to $9.34 per share, inclusive. The Reporting Person undertakes to provide to Amneal Pharmaceuticals, Inc. 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 the footnote.

The price included in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $9.40 to $9.47 per share, inclusive. The Reporting Person undertakes to provide to Amneal Pharmaceuticals, Inc. 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 the footnote.


Common Stock

This transaction represents the settlement of restricted stock units ("RSUs") in shares of common stock on their scheduled vesting date.

Each RSU represents a contingent right to receive one share of TechTarget, Inc.'s Common Stock upon vesting.

This award was granted on August 13, 2024. One-third of the RSUs subject to the award vested on August 13, 2025, and one-third of the RSUs are scheduled to vest on each of August 13, 2026 and August 13, 2027. Vested shares will be delivered to the Reporting Person on the applicable dates as set forth in the Reporting Person's award agreement with respect to each vesting tranche.

/s/ Charles D. Rennick, Attorney-in-Fact


These shares were issued under the TechTarget, Inc. 2024 Incentive Plan pursuant to an award as part of the TechTarget, Inc. 2025 Non-Employee Director Compensation Plan and represent applicable meeting fees for the first six months of 2025. The number of shares was determined by dividing compensation payable by the closing price on August 14, 2025 of TechTarget, Inc.'s common stock as reported by Nasdaq.


Common Stock

Mr. Rennick is the Vice President, General Counsel, and Corproate Secretary of Informa TechTarget.


Common Stock


Amorelli Angelo

C/O GEVO, INC. 345 INVERNESS DRIVE SOUTH

Common Stock

The reported transactions were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on December 3, 2024.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.8750 to $2.0200 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.0000 to $2.0010 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.


These shares of common stock represent restricted share units granted pursuant to an award agreement between the reporting person and the Issuer and are subject to forfeiture.  The restricted share units awarded will vest and be settled in shares of Issuer common stock in installments as follows: (1) one-third will vest on August 14, 2026; (2) one-third will vest on August 14, 2027; and (3) one-third will vest on August 14, 2028.


Option to Purchase Common Stock [2021 Grant]

Common Stock

Option to Purchase Common Stock [2022 Grant]

Common Stock

Option to Purchase Common Stock [2023 Grant]

Common Stock

Option to Purchase Common Stock [2024 Grant]

Common Stock

Option to Purchase Common Stock [2025 Grant]

Common Stock

These stock options were granted pursuant to the 2020 Omnibus Equity Incentive Plan on May 6, 2021. The grant and exercise of these stock options are exempt from Section 16(b) pursuant to Rule 16b-3(d).

Shares were withheld by the Company to pay the exercise price.

Total amount of shares beneficially owned following transactions reported on this form.


Common Stock

Common Stock

The options vest monthly over 12 months from the Grant Date in substantially equal monthly installments, provided that the options vest in full on the Issuer's 2026 Annual Stockholder Meeting, subject to the Reporting Person's continued service to the Issuer through each applicable vesting date or, if earlier, such annual meeting.

The options vest monthly over 24 months from the Grant Date in substantially equal monthly installments.


Common Stock

Common Stock

The option vest over four years in equal 1/48th increments on each monthly anniversary of the issuance.

The Restricted Stock Units (RSUs) awarded on August 13, 2025 vest over three years, with 1/3rd vesting on the first anniversary of the Grant Date and the remaining 2/3rds vesting in equal monthly installments over the following two years. The RUSs convert into shares of Common Stock upon vesting on a one for one basis.


Common Stock

Common Stock

The Restricted Stock Units (RSUs) awarded on August 13, 2025 vest over three years, with 1/3rd vesting on the first anniversary of the Grant Date and the remaining 2/3rds vesting in equal monthly installments over the following two years. The RSUs convert into shares of Common Stock upon vesting on a one for one basis.


Shares sold pursuant to a Rule 10b5-1 trading plan adopted on May 6, 2025.

Reflects the weighted average sale price.  Shares were sold at prices ranging from $37.82 per share to $38.17 per share.  Reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer or any security holder of the issuer.

Reflects the weighted average sale price.  Shares were sold at prices ranging from $37.79 per share to $38.17 per share.  Reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer or any security holder of the issuer.

Reflects the weighted average sale price.  Shares were sold at prices ranging from $37.68 per share to $38.24 per share.  Reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer or any security holder of the issuer.


Common Stock

Common Stock

Common Stock

These stock options were granted pursuant to the 2020 Omnibus Equity Incentive Plan on March 8, 2023. The grant and exercise of these stock options are exempt from Section 16(b) pursuant to Rule 16b-3(d).

Shares were withheld by the Company to pay the exercise price and withholding tax obligations.


Date of Rule 10b5-1 plan adoption: 11/25/2024

The reported price in column 4 is a weighted-average price. Shares were sold in multiple transactions at a per share price ranging from $14.64 to $15.13. The reporting person undertakes to provide to Alignment Healthcare, Inc., any security holder of Alignment Healthcare, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the range.

/s/ Christopher J. Joyce, as Attorney-in-Fact, for Dawn C. Maroney


Effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 20, 2024.

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.00 to $2.02. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, specific trade amounts and pricing within the ranges set forth in this footnote of this Form 4 at which the respective transactions were affected.

As trustee, Anthony Hsieh has voting and investment power over the assets of the JLSSAA Trust.

/s/ Greg Smith, as Attorney-in-Fact for Anthony Li Hsieh


Common

Excludes dividends reinvested after January 1, 2025.

**These shares are held in a trust for the benefit of certain members of the reporting person's family.  A family member of the reporting person is the trustee.  The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest, and the filing of this report is not an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.

*These shares are held in a trust for the benefit of the reporting person and certain members of his family. The reporting person is one of several trustees and, in such capacity, may have voting and dispositive power over all such shares.  The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest, and the filing of this report is not an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.

***These shares are held in family partnerships, the partners of which include a trust for the benefit of the reporting person.  The reporting person serves as a manager of these partnerships and, in such capacity, may have voting and dispositive power over all such shares.  The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest, and the filing of this report is not an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.

According to the terms of the Kellanova Deferred Compensation Plan for Non-Employee Directors, final value of phantom stock units is to be determined as of date of reporting person's retirement and paid in stock.


Common


Closing price per share on the trading date of the vesting of restricted stock units or on the next preceding trading date if the vesting occurs on a non-trading date.


Common Stock

Pursuant to the Contingent Value Rights Agreement dated April 17, 2025 (the 'CVR Agreement'), each GENVR share entitles the holder a conditional payment of $23.00 in Gen Digital Inc.'s common stock (GEN), par value $0.01 per share, if, on any date prior to April 17, 2027, (i) each GEN share trades at an average volume-weighted price of at least $37.50 per share for more than 30 consecutive trading days within the period from December 10, 2024 to April 17, 2027 or (ii) Gen undergoes a change of control.

/s/ Kathryn White, as attorney-in-fact for John Chrystal


The sale reported on this Form 4 was automatically effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 27, 2024.

/s/ Kathryn White, as attorney-in-fact for Bryan Ko


Effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 11, 2025.

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $2.00 to $2.015. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, specific trade amounts and pricing within the ranges set forth in this footnote of this Form 4 at which the respective transactions were affected.

/s/ Greg Smith, as Attorney-in-Fact for Jeff Alexander Walsh


The reporting person is voluntarily reporting the acquisition of shares of the issuer's common stock pursuant to the Calix, Inc. Amended and Restated Employee Stock Purchase Plan ("ESPP") for the ESPP purchase period of February 15, 2025 through August 14, 2025. This transaction is exempt under Rule 16b-3(c).

In accordance with the ESPP, these shares were purchased based on 85% of the closing price of the issuer's common stock on February 18, 2025, the first trading day of the purchase period.

/s/ Tom Gemetti as Attorney-in-Fact for Michael Weening


Shares held by The Bridget Blum 2003 Irrevocable Trust.

Shares held by The Brittany Blum 2003 Irrevocable Trust.

/s/ John O. Faurescu, attorney-in-fact for Mr. Blum


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $59.780 to $59.801.

Melissa Kersey by: /s/ Robert C. Lambourne, as Attorney-in-fact


Sale effected under sales plan pursuant to Rule 10b5-1(c)(1) of the Securities Exchange Act of 1934, as amended.

The range of prices for the shares of Class A Common Stock is from $33.20 to $32.60. The Reporting Person undertakes that the Reporting Person will provide, upon request by the staff of the U.S. Securities and Exchange Commission, full information regarding the number of securities sold at each separate price.

Mr. Pennington disclaims beneficial ownership of 6,579 shares of the Issuer's Class A Common Stock owned by his spouse and 6,938 shares of the Issuer's Common Stock owned by his spouse.

By Pennington Management Company II, LLC, in which Mr. Pennington has an ownership interest. Mr. Pennington is the President of Pennington Management Company II, LLC. Mr. Pennington disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

By BPCB Timber Company, LLC, in which Mr. Pennington has an ownership interest. Mr. Pennington is the Managing Member of BPCB Timber Company, LLC. Mr. Pennington disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

The units represent interests in the CENTA Stock Fund in the Issuer's 401(k) Plan, which consist of shares of CENTA stock and cash.


/s/ Tom Gemetti as Attorney-in-Fact for Cory Sindelar


These shares were purchased through 401(k) in multiple transactions on August 14, 2025 at prices ranging from $20.75 to $22.90 per share. The price reported reflects the weighted average purchase prices for the transactions. The reporting person undertakes to provide, upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

These shares were purchased in multiple transactions on August 14, 2025 at prices ranging from $21.11 to $21.40 per share. The price reported reflects the weighted average purchase prices for the transactions. The reporting person undertakes to provide, upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

These shares were purchased in multiple transactions on August 14, 2025 at prices ranging from $21.54 to $21.65 per share. The price reported reflects the weighted average purchase prices for the transactions. The reporting person undertakes to provide, upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

/s/ David C. Kuo, attorney in fact for Chih-Hsiang (Thompson) Lin


These shares were purchased in multiple transactions on August 14, 2025 at prices ranging from $21.41 to $22.09 per share. The price reported reflects the weighted average purchase prices for the transactions. The reporting person undertakes to provide, upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.

/s/ David C. Kuo, attorney in fact for Che-Wei Lin


The shares were sold in multiple transactions on August 15, 2025 at actual sale prices ranging from $22.25 to $22.48 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.

***Senior Vice President and Chief Legal Officer


Held by Oluyemi Okupe Separate Property Trust dtd 9-1-2021

Class A Common Stock

Price reported constitutes the average weighted price of shares sold. Shares were sold at varying prices in the range of $47.84 - $48.32. The Reporting Person hereby undertakes, upon request of the Commission, the issuer or a security holder of the issuer, to provide full information regarding the number of shares sold at each separate price.

The balance reflects a transfer of 62,722  shares of Class A Common Stock held by the Oluyemi Okupe Separate Property Trust dtd 9-1-2021 to the Reporting Person's direct holdings.

25% of the options will vest on the twelve (12) month anniversary of the Vesting Commencement Date of January 24, 2022.  The balance of the shares shall vest in a series of thirty-six (36) successive equal monthly installments measured from the twelve (12) month anniversary of the Vesting Commencement Date, subject to optionholder's continuous Service (as defined in the Plan) as of each such vesting date.

/s/ Alexandra Cotter Wilkins, Attorney-in-Fact


All individual shares were sold at a price of $10.49


Common Stock

Granted pursuant to Issuer's 2015 Long Term Incentive Plan, as amended.  Each restricted stock unit ("RSU") represents the contingent right to receive, upon vesting, one share of the Issuer's common stock.

RSU vests in 6 installments commencing on 11/23/25 and continues every 6 months thereafter.


Comprised of shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting.


Common Stock


Common Stock, par value $0.0001 per share

Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

The restricted stock unit ("RSU") will vest in two equal tranches.  50% of the RSU will vest on May 20, 2026 and May 20, 2027, respectively. If the vesting date occurs during a closed Trading Window under the Issuer's Insider Trading Policy, then the RSUs shall vest on the first Trading Day of the next open Trading Window pursuant to the Issuer's Insider Trading Policy, subject in all cases to any applicable outside dates required to comply with applicable tax laws and the terms of the Issuer's Amended and Restated 2024 Omnibus Incentive Plan.

The restricted stock unit ("RSU") will vest in three equal tranches.  33 1/3% of the RSU will vest on May 20, 2026, May 20, 2027,  and May 20, 2028, respectively. If the vesting date occurs during a closed Trading Window under the Issuer's Insider Trading Policy, then the RSUs shall vest on the first Trading Day of the next open Trading Window pursuant to the Issuer's Insider Trading Policy, subject in all cases to any applicable outside dates required to comply with applicable tax laws and the terms of the Issuer's Amended and Restated 2024 Omnibus Incentive Plan.

The restricted stock unit ("RSU") is fully vested and the underlying shares will be released to the participant on May 20, 2026. If the release date occurs during a closed Trading Window under the Issuer's Insider Trading Policy, then the RSUs shall vest on the first Trading Day of the next open Trading Window pursuant to the Issuer's Insider Trading Policy, subject in all cases to any applicable outside dates required to comply with applicable tax laws and the terms of the Issuer's Amended and Restated 2024 Omnibus Incentive Plan.


Series A Common Stock, par value $0.001 per share

Series B Common Stock, par value $0.001 per share

The Series B common stock, par value $0.001 per share ("Series B Common Stock"), is convertible into an equal number of shares of Series A common stock, par value $0.001 per share ("Series A Common Stock"), at any time, at the holder's election, and has no expiration date. Each share of Series B Common Stock will automatically convert into Series A Common Stock upon the earlier of (i) the date specified by 66-2/3% of the outstanding shares of Series B Common Stock, voting as a single series; (ii) following the seventh anniversary of the closing of Klaviyo, Inc.'s (the "Company") initial public offering; or (iii) any transfer, whether or not for value, except for certain permitted transfers described in the Company's certificate of incorporation.

Summit Partners, L.P. is the manager of Summit Partners GE IX, LLC, which is the general partner of Summit Partners GE IX, LP, which is the general partner of Summit Partners Growth Equity Fund IX-A, L.P. ("Fund IX-A") and Summit Partners Growth Equity Fund IX-B, L.P. ("Fund IX-B"). Summit Partners, L.P. is the managing member of Summit Partners Co-Invest Kiwi GP, LLC, which is the general partner of Summit Partners Co-Invest (Kiwi), L.P. ("Kiwi Co-Invest Fund"). Summit Master Company, LLC is the general partner of Summit Partners, L.P., which is the manager of Summit Investors Management, LLC, which is the manager of Summit Investors GE IX/VC IV, LLC ("Fund IX/VC IV") and the general partner of Summit Investors GE IX/VC IV (UK), L.P. ("Fund IX/VC IV (UK)").

(continued from footnote 2) Summit Master Company, LLC, as the managing member of Summit Investors Management, LLC, has delegated voting and investment decisions with respect to the securities held by Fund IX/VC IV and Fund IX/VC IV (UK) to Summit Partners, L.P.

The investment committee of Summit Partners, L.P., is currently composed of Peter Y. Chung, Scott C. Collins, and Peter L. Rottier, who may be deemed to have voting and dispositive authority over, and therefore beneficial ownership of, the reported securities. Each of the foregoing entities, Mr. Chung, Mr. Collins, and Mr. Rottier disclaims beneficial ownership of the shares, except to the extent of such person's or entity's pecuniary interest therein and the filing of this statement shall not be deemed an admission that any of the foregoing entities or persons are, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any equity securities covered by this statement.

Consists of (i) 307,809 shares of Series A Common Stock held by Fund IX-A and (ii) 192,191 shares of Series A Common Stock held by Fund IX-B, in each case to facilitate charitable giving.

Consists of (i) 14,082,751  shares of Series B Common Stock held by Fund IX-A, (ii) 8,793,072 shares of Series B Common Stock held by Fund IX-B, (iii) 868,334 shares of Series B Common Stock held by Kiwi Co-Invest Fund, (iv) 74,015 shares of Series B Common Stock held by Fund IX/VC IV, and (v) 9,606 shares of Series B Common Stock held by Fund IX/VC IV (UK).


/s/ David Kronenfeld, attorney-in-fact for Joshua Ballard


/s/ David Kronenfeld, attorney-in-fact for William Robert Steele, Jr.


Common Units (representing limited partnership interests)


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.39 to $95.50, inclusive. The reporting person undertakes to provide, upon request by Jackson Financial Inc., any security holder of Jackson Financial Inc., or the staff of the U.S. Securities and Exchange Commission, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

/s/ Kristan L. Richardson, as Attorney-in-Fact


By: /s/ Melissa Jackmin, Attorney-in-fact For: Wim Messiaen


Ordinary Shares

Ordinary Shares

The sales prices reported herein were converted from British sterling pounds to United States dollars at a conversion price of GBP 1.00 to U.S. $1.3532.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from GBP 214.00 to GBP 214.65 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from GBP 215.05 to GBP 216.00 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from GBP 216.30 to GBP 217.10 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

These options are fully vested.

These options vest in two equal annual installments beginning on April 2, 2025.

Title: Chief Executive Officer - International


Common Stock, par value $0.0001 per share ("Common Stock")

The price reported in Column 4 is a weighted average price per share. These shares of Common Stock were purchased in multiple transactions at prices ranging from $3.3884 -$3.4099 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock purchased at each separate price within the ranges set forth in this footnote (1) to this Form 4.


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $47.60 to $47.64 inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 range set forth in this footnote.


Common Stock, par value $0.003 per share

/s/ Patrick Wilson as Attorney-in-Fact for Emily H. Portney


The price reported is a weighted average price. The shares were purchased in multiple transactions at per share prices ranging from $88.49 to $88.50. The reporting person undertakes to provide Allison Transmission Holdings, Inc. ("ALSN") or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.


This transaction was executed in multiple trades at prices ranging from $42.50 to $42.56. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

This transaction was executed in multiple trades at prices ranging from $42.50 to $42.53. The price reported above reflects the weighted average sale price. The Reporting Person undertakes to provide upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate sale price.

/s/ Shanti Ariker pursuant to power of attorney


/s/ Raleigh Wolfe, as Attorney-in-Fact for the Reporting Person


By Derek Maetzold 2020 Irrevocable Trust

By The Maetzold 2018 Remainder Trust FBO Emily Carol Kirk

By The Maetzold 2018 Remainder Trust FBO Hannah Elizabeth Maetzold

By The Maetzold 2018 Remainder  Trust FBO John Derek Maetzold

By The Maetzold 2018 Remainder Trust FBO Peter Douglas Maetzold

By DJM Grantor Retained Annuity Trust No. 5

By DJM Grantor Retained Annuity Trust No. 6

By DJM Grantor Retained Annuity Trust No. 7

These transactions were made pursuant to a Rule 10b5-1 plan adopted by the Reporting Person, The Maetzold Descendants 2020 Trust, Derek Maetzold 2020 Irrevocable Trust, The Maetzold 2018
Remainder Trust f/b/o Emily Carol Kirk, The Maetzold 2018 Remainder Trust f/b/o Hannah Elizabeth Maetzold, The Maetzold 2018 Remainder Trust f/b/o John Derek Maetzold, and The Maetzold
2018 Remainder Trust f/b/o Peter Douglas Maetzold on November 11, 2024.

This transaction was executed in multiple trades at prices ranging from $19.265 to $19.880, inclusive. The price reported above reflects the weighted-average sale price. The Reporting Person hereby undertakes to provide upon request to the Securities and Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Held by The Maetzold Descendants 2020 Trust of which the Reporting Person's spouse is the trustee and the Reporting Person's spouse and their children are beneficiaries.

Held by Derek Maetzold 2020 Irrevocable Trust of which the Reporting Person is the trustee and his children are beneficiaries.

Held by The Maetzold 2018 Remainder Trust FBO Emily Carol Kirk of which the Reporting Person is the trustee and his child is the beneficiary.

Held by The Maetzold 2018 Remainder Trust FBO Hannah Elizabeth Maetzold of which the Reporting Person is the trustee and his child is the beneficiary.

Held by The Maetzold 2018 Remainder Trust FBO John Derek Maetzold of which the Reporting Person is the trustee and his child is the beneficiary.

Held by The Maetzold 2018 Remainder Trust FBO Peter Douglas Maetzold of which the Reporting Person is the trustee and his child is the beneficiary.

Held by DJM Grantor Retained Annuity Trust No. 5 of which the Reporting Person is the trustee and beneficiary.

Held by DJM Grantor Retained Annuity Trust No. 6 of which the Reporting Person is the trustee and the beneficiaries are The Maetzold 2018 Remainder Trust FBO John Derek Maetzold, The Maetzold 2018
Remainder Trust FBO Emily Carol Kirk, The Maetzold 2018 Remainder Trust FBO Peter Douglas Maetzold and The Maetzold 2018 Remainder Trust FBO Hannah Elizabeth Maetzold.

Held by DJM Grantor Retained Annuity Trust No. 7 of which the Reporting Person is the trustee and beneficiary.


Comprised of shares of restricted common stock granted pursuant to the Issuer's 2018 Equity Incentive Plan that are subject to vesting.


Common Stock, $0.001 par value per share

/s/ Ciaran Long, as attorney-in-fact for Ilene Eskenazi


The restricted stock unit ("RSU") will fully vest on May 20, 2026. If the vesting date occurs during a closed Trading Window under the Issuer's Insider Trading Policy, then the RSUs shall vest on the first Trading Day of the next open Trading Window pursuant to the Issuer's Insider Trading Policy, subject in all cases to any applicable outside dates required to comply with applicable tax laws and the terms of the Issuer's Amended and Restated 2024 Omnibus Incentive Plan.

Each restricted stock unit represents the right to receive, at settlement, one (1) share of the Issuer's common stock.

/s/ David Kronenfeld, attorney-in-fact for Mordechai Gutnick


/s/ David Kronenfeld, attorney-in-fact for Paul J. Kern


/s/ David Kronenfeld, attorney-in-fact for Carolyn Trabuco


/s/ David Kronenfeld, attorney-in-fact for Otto C. Schwethelm


The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $691.67 to $691.90, inclusive. The reporting person undertakes to provide to Eli Lilly and Company, any security holder of Eli Lilly and Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

/s/ Jonathan Groff for Lucas E. Montarce, pursuant to authorization on file


/s/ David Kronenfeld, attorney-in-fact for Tready Smith


/s/ David Kronenfeld, attorney-in-fact for Michael F. Senft


The price reported is an average weighted price. These shares were sold in multiple transactions at prices ranging from $128.00 to $128.20, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, 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 this footnote.


COMMON STOCK

This transaction represents a charitable donation to a third party. No value was received for the gifted shares.

Represents sale pursuant to a Rule 10b5-1 trading plan.

The stock option is fully vested.

/s/ Timothy Bixby, Attorney-in-Fact for John Peters


Common Stock, par value $0.001 per share

This Form 4 is filed by Rubric Capital Management LP ("Rubric Capital") and Mr. David Rosen, with respect to the securities held by certain funds and/or accounts (collectively, the "Rubric Vehicles"). Rubric Capital serves as the investment adviser to the Rubric Vehicles. Mr. David Rosen serves as the Managing Member of Rubric Capital Management GP, LLC, the general partner of Rubric Capital.

The filing of this statement shall not be deemed an admission that any Reporting Person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. Each Reporting Person expressly disclaims beneficial ownership of the securities reported herein except to the extent of its or his pecuniary interest therein, if any.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $37.71 to $38.10, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, 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 range set forth herein.


COMMON STOCK

Represents sale pursuant to a Rule 10b5-1 trading plan adopted December 5, 2024.

The stock option is fully vested.

/s/ Timothy Bixby, Attorney-in-Fact for Adina Eckstein


Common Stock

This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 10, 2025.

Fully vested and exercisable.


Common Stock

This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on May 15, 2025.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.58 to $16.76, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, 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 range set forth in this footnote.

1/3 of this option vested and became exercisable on November 15, 2024, with the remainder vesting in two annual equal installments thereafter, subject to the Reporting Person's continuous service with the Issuer though each vesting date.


These shares were sold in multiple transactions at prices ranging from $1.34 to $1.41, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer 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 range set forth in this footnote.


The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 15, 2025.

The weighted average sale price for the transaction reported was $16.6127, and the range of prices were between $16.41 and $17.07. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.


Reflects the gift of common stock to a charitable donor-advised fund.


The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person on July 8, 2024.

This represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $40.15 to $43.92. The Reporting Person undertakes to provide the Issuer, any securityholder of the Issuer, 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 range set forth in this footnote.

/s/ John B. Moriarty, Jr., J.D., Attorney-in-Fact


Shares were purchased pursuant to a Rule 10b5-1 trading plan.


Shares were surrendered to the issuer to cover the required tax withholding on vested restricted stock units.

This amendment corrects (i) the amount of securities disposed of in this transaction and (ii) the amount of securities beneficially owned following this transaction.


Common Stock

Common Stock

This Form 4 is filed jointly by Todd Kantor, Encompass Capital Advisors LLC ("ECA") and Encompass Capital Partners LLC ("ECP" and, together with Mr. Kantor and ECA, collectively, the "Reporting Persons"). Each of the Reporting Persons is a member of a Section 13(d) group. Each of the Reporting Persons disclaims beneficial ownership of the securities of the Issuer owned directly by other members of the Section 13(d) group and this report shall not be deemed an admission that the Reporting Persons are the beneficial owners of such securities for purposes of Section 16 or for any other purpose. Further, each of the Reporting Persons disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein.

On August 13, 2025, the Issuer and certain funds and accounts managed by ECA entered into Amendment No. 3 to the Preferred Stock Purchase Agreement, pursuant to which the conversion price of the first tranche of Series A Convertible Preferred Stock, par value $0.01 per share ("Preferred Stock") was amended from $2.50 to $1.70 per share.

Each share of Preferred Stock is convertible at any time after December 23, 2025 into a number of shares of common stock of the Issuer ("Common Stock") equal to the sum of the issue price ($10.00) plus any accrued but unpaid dividends divided by the conversion price (initially $1.70). The certificate of designations of the Preferred Stock prohibits conversion to the extent that the holder would beneficially own in excess of 19.99% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion of Preferred Stock.

For purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the Reporting Persons may each be deemed to be a director by deputization of the Issuer.


Includes 269 shares of common stock acquired under the Celldex Therapeutics, Inc. 2004 Employee Stock Purchase Plan.

/s/ Sam Martin, attorney-in-fact for Freddy A. Jimenez


Common Stock

The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person on June 12, 2024.

This option was granted on September 11, 2023 and vests in equal installments of 1,542 shares on each monthly anniversary of such grant date, until it is fully vested and exercisable on September 11, 2027.


Class A Common Stock

This transaction was made pursuant to a Rule 10b5-1 trading plan dated May 15, 2025 adopted by the reporting person.

Options vest in three equal installments on each of the first three anniversaries of the date of the grant, subject to earlier vesting in full in limited circumstances as specified in the award agreement. The option was granted on November 19, 2017.


Represents number of securities owned by EN Holdings LLC, which is owned by the reporting person and his affiliates.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $63.03 to $64.02. The Reporting Person undertakes to provide Interactive Brokers Group, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in footnotes (2) - (3) to this Form 4.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.03 to $64.55.

This amount includes (a) Class A common stock attributable to vested restricted stock units that were awarded under the amended 2007 Stock Incentive Plan ("Plan") and (b) unvested restricted stock units that were awarded under the Plan.

/s/ Raymond Bussiere as authorized signatory for Earl H. Nemser


Each restricted stock unit ("RSU") represents the contingent right to receive one share of the registrant's common stock.  The RSUs contain pass-through voting rights and rights to accrued  dividends (if any are declared by the Company during the vesting period) and are payable upon vesting.

The RSUs vest in three equal annual installments beginning August 13, 2026.


Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

All transactions reported on this Form 4 were made pursuant to a Rule 10b5-1(c) trading plan adopted by the reporting person on May 15, 2025.

The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $430.39 to $431.24. The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $432.10 to $433.06. The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $433.59 to $434.56. The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $434.69 to $435.66. The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $435.79 to $436.35 The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $436.84 to $437.83 The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $437.85 to $438.71 The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $438.91 to $439.89 The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $440.24 to $440.93 The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $441.41 to $442.11 The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price reported represents the weighted average sales price of shares sold in multiple transactions at prices ranging from $442.44 to $443.10 The reporting person will provide to the issuer, any security holder of the issuer or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The shares of ALNY common stock are held in a trust, of which the reporting person's spouse is the trustee.

The stock option was fully vested as of July 1, 2020.

The stock option was fully vested as of May 18, 2023.

The stock option was fully vested as of July 1, 2021.

The stock option was fully vested as of May 16, 2025.

The stock option was fully vested as of July 15, 2022.

The stock option was fully vested as of May 18, 2024.

By: Brett Budzinski, Attorney-in-Fact For: Dennis A. Ausiello


Ategrity Specialty Insurance Co Holdings

Zimmer Stuart J.

ATEGRITY SPECIALTY INSURANCE CO HOLDINGS

The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $19.34 to $19.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote.

Securities held of record by Zimmer Financial Services Group LLC ("ZFSG"). Mr. Zimmer is the sole managing member of ZFSG and therefore may be deemed to share beneficial ownership of the securities held of record by ZFSG.


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.10. The Reporting Person undertakes to provide Ouster, Inc. (the "Company"), any security holder of the Company, 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 range set forth in this footnote.

/s/ Megan Chung, as Attorney-in-Fact for Susan Heystee


Common Stock

Shares sold pursuant to a Rule 10b5-1 trading plan adopted on May 5, 2025.

Reflects the weighted average sale price.  Shares were sold at prices ranging from $37.82 per share to $38.17 per share.  Reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer or any security holder of the issuer.

Reflects the weighted average sale price.  Shares were sold at prices ranging from $37.795 per share to $38.17 per share.  Reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer or any security holder of the issuer.

Reflects the weighted average sale price.  Shares were sold at prices ranging from $37.68 per share to $38.24 per share.  Reporting person will provide full information regarding the number of shares sold at each separate price upon request by the SEC staff, the issuer or any security holder of the issuer.

One-half of the stock options vested on February 23, 2019, and one-half vested on February 23, 2020.


Represents a bona fide gift of shares to an entity controlled by  irrevocable trusts administered by an independent trustee.


Held through trusts, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.

Held through a limited liability company.

/s/ Jamie A. Greenberg, Attorney-in-fact


The Reporting Person disclaims beneficial ownership of these securities.

/s/Wendy C. Skjerven, by power of attorney


The transaction was executed in multiple trade prices ranging from $183.94 to $184.58.  The price reported above reflects the weighted average sale price.  The reporting person hereby undertakes to provide upon request to the SEC staff, the Issuer, or a security holder of the Issuer full information regarding the number of shares and prices at which the transaction was effected.


Common Stock

Represents a net exercise of a stock option expiring on November 20, 2025, in which shares of Common Stock were disposed to satisfy the payment of the exercise price and tax withholding obligations.

These options are fully vested and are set to expire on November 20, 2025.

/s/ Harold B. Dichter, as Attorney-in-fact


Starboard Value LP ("Starboard") serves as the investment manager or manager of certain managed accounts and private investment funds (collectively, the "Starboard Accounts"), which hold the securities reported herein and as such may be deemed to beneficially own such securities. The Reporting Person, as a Managing Member of Starboard, may be deemed to beneficially own the securities directly held by the Starboard Accounts for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. The Reporting Person expressly disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

/s/ Lindsey Cara, Attorney-in-Fact for Peter A. Feld


Required number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). These sales were made to satisfy tax withholding obligations through "sell to cover" transactions pursuant to the terms of the applicable RSU award agreements.

The price reported is a weighted average price. These shares were sold in multiple transactions ranging from $1.4001 to $1.4004, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer 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 range.


Common Stock

Represents an option award pursuant to the Company's 2020 Equity Incentive Plan. 15,000 options vested immediately and the remaining 15,000 vest on December 31, 2025. Subject to continued service with the Company through the applicable vesting dates. This award is subject to forfeiture.


Common Stock


These transactions occurred pursuant to broker-dealer sales conducted in accordance with Rule 144 under the Securities Act of 1933, as amended.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $86.09 to $86.99, inclusive. The Reporting Persons (as defined below) undertake to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $87.00 to $87.9975, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $88.00 to $88.99, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $89.00 to $89.99, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $90.00 to $90.95, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $91.00 to $91.94, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $92.27 to $92.995, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $93.14 to $93.955, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $94.03 to $94.985, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $95.00 to $95.99, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $96.065 to $96.335, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares of Common Stock sold at each separate price within the range set forth in this footnote.

This report is filed jointly by Weichai America Corp., Weichai Power Co., Ltd. and Shandong Heavy Industry Group Co., Ltd. (collectively, the "Reporting Persons"). Weichai America Corp. is the direct owner of the Common Stock referenced in this report and shares the power to vote and the power to dispose of all of such shares of Common Stock with the other Reporting Persons. No individual has beneficial ownership over the Common Stock beneficially owned by the Reporting Persons.

Exhibit List:
Exhibit 24.1 - Power of Attorney (Weichai Power Co., Ltd.), incorporated by reference to Exhibit 24.1 to the Form 4 filed by Reporting Persons with the Securities and Exchange Commission on August 14, 2025
Exhibit 24.2 - Power of Attorney (Shandong Heavy Industry Group Co., Ltd.), incorporated by reference to Exhibit 24.2 to the Form 4 filed by Reporting Persons with the Securities and Exchange Commission on August 14, 2025


Shares sold in multiple transactions at prices ranging from $2.20 to $2.28, inclusive. The price reported in Column 4 is a weighted average sale price. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each price within the ranges set forth in this footnote.

/s/ James W. Sytsma, Attorney-in-Fact for Andrew J. Littlefair


This represents a bona fide gift. Mrs. Diddell disclaims all beneficial and pecuniary interests.

/s/ Robert J. Ben, attorney-in-fact for Wendy Diddell


Common Stock

Common Stock

Includes 600 shares granted pursuant to the Issuer's 2023 Stock Incentive Plan which reflect the unvested portion of a grant amount originally covering 1,000 shares that commenced vesting ratably over five years at 20% per year on May 10, 2024 and includes 33,900 shares held jointly with the reporting person's spouse.

The options vested at a rate of 20% per year commencing on May 9, 2019 and were fully vested as of May 9, 2023.

The options are vesting at a rate of 20% per year commencing on May 10, 2024.

/s/ John J. Augustine by P.O.A for James J. Clarke


Common Stock

Each share of phantom stock is the economic equivalent of a portion of one share of common stock and is settled in cash.  The shares of phantom stock become payable upon events established by the reporting person in accordance with the deferred compensation plan.

Includes phantom stock acquired through dividend reinvestment.

Evgeniya Berezkina, Attorney-in-fact for Vandana Venkatesh


Amtech Systems, Inc. Employee Stock Option

Amtech Systems, Inc. $0.01 par value common stock

Price omitted because the transaction is a grant of a stock option.

/s/ Robert C. Daigle, Chief Executive Officer


Common Stock

Evgeniya Berezkina,  Attorney-in-fact for Mary-Lee Stillwell


Common Stock

Evgeniya Berezkina, Attorney-in-fact for Anthony T. Skiadas


Common Stock

Evgeniya Berezkina, Attorney-in-fact for Sowmyanarayan Sampath


Common Stock

Each share of phantom stock is the economic equivalent of a portion of one share of common stock and is settled in cash. The shares of phantom stock become payable upon events established by the reporting person in accordance with the deferred compensation plan.

Evgeniya Berezkina, Attorney-in-fact for Joseph J. Russo


Common Stock

Evgeniya Berezkina, Attorney-in-fact for Kyle Malady


Common Stock

Evgeniya Berezkina, Attorney-in-fact for Samantha Hammock


Common Stock

Evgeniya Berezkina, Attorney-in-fact for Hans Erik Vestberg


Common

Includes 186.1849 dividend equivalent shares credited under the Cummins Inc. Deferred Compensation Plan for Non-Employee Directors since the most recently filed Form 4.

These securities generally do not carry a conversion price, exercise date or expiration date.

/s/ Nicole Y. Lamb-Hale, Attorney-in-Fact


This transaction was executed in multiple trades at prices ranging from $47.51 to $47.84. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.


Common Stock

Represents the exercise of this option award ahead of its expiration in July 2026

This transaction was executed in multiple trades at prices ranging from $47.52 to $47.74. The price reported above reflects the weighted average price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

Became exercisable in four equal installments beginning July 1, 2017.


Sarah Madsen, as attorney in fact for Martin Eric J


Issued as deferred stock units (DSUs) in connection with reporting person's retainer, as a director, under the Company's 2023 Equity Incentive Plan and exempt from Section 16(b) by virtue of Rule 16b-3(d)(1) and (3). These DSUs are reportable, however, as directly owned shares of common stock, rather than as derivative security in Table II, because any and all underlying DSUs are payable, at such time as they are to be settled, solely in common stock. (See Lincoln National Corp. (March 20, 1992) (Q.3)

/s/ Theresa E. Wagler by Power of Attorney


/s/ Saria Tseng, attorney-in-fact for Mr. Jeff Zhou