Transaction reported relates solely to an award of Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of common stock. The RSUs will vest on the date of the next annual meeting following the grant date.

/s/ Raymond Myer, Attorney-in-Fact for Mary G. Puma


Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Represents options to purchase shares of common stock of the Issuer received on December 21, 2023, pursuant to that certain Merger Agreement, dated as of June 27, 2023 (as amended on September 22, 2023 and as may be further amended and/or restated from time to time, the "Merger Agreement"), by and among Airship AI Holdings, Inc., a Delaware corporation (the "Issuer") (formerly known as BYTE Acquisition Corp., a Cayman Island exempted company limited by shares, prior to its domestication as a Delaware corporation), BYTE Merger Sub, Inc., a Washington corporation and a direct, wholly-owned subsidiary of the Issuer, and Airship AI, Inc., a Washington company (formerly known as Airship AI Holdings, Inc., "Airship AI"). The Reporting Person received the reported options upon the conversion of options to purchase shares of common stock of Airship AI at the Conversion Ratio, as defined in the Merger Agreement, as of the Effective Time of the Merger.

Held by various entities controlled by the Reporting Person. The Reporting Person has voting and dispositive power over the securities held by such entities. The Reporting Person disclaims beneficial ownership of such securities, except to the extent of his pecuniary interest therein.

Pursuant to earnout provisions in the Merger Agreement and subject to the Reporting Person's continued service to the Issuer, the holder of such Earnout Rights is entitled to receive shares of common stock of the Issuer upon the occurrence of certain operating performance and share price performance milestones during the applicable earnout periods set forth in the Merger Agreement.

Options vest quarterly over 4 years.


/s/ Raymond Myer, Attorney-in-Fact for Joseph R. Martin


Common Stock

Option granted automatically on Ms. Wei's reelection to NVE's Board of Directors.


/s/ Raymond Myer, Attorney-in-Fact for Yoshihiro Suzuki


/s/ Raymond Myer, Attorney-in-Fact for Krishna G. Palepu


/s/ Raymond Myer, Attorney-in-Fact for Jennie M. Raubacher


/s/ Raymond Myer, Attorney-in-Fact for Susan D. Lynch


/s/ Raymond Myer, Attorney-in-Fact for Richard R. Lury


Common Stock

Common Stock

The options vest as follows: 875,000 shares on February 7, 2026, the remaining 6,125,000 shares in a series of 42 equal monthly installments commencing February 7, 2026, provided the optionee continues to provide services to the Company.

The options vest as follows: 1,000,000 shares on August 7, 2026, the remaining 3,000,000 shares in a series of 36 equal monthly installments commencing August 7, 2026, provided the optionee continues to provide services to the Company.

/s/ Scott A. Samuels for Harout Semerjian


Common Stock

Common Stock

Common Stock

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $65.14 to $65.48, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, to any security holder of Taylor Morrison Home Corporation ("TMHC"), or to TMHC, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

These options vested on February 10, 2024.

These options vested in two equal installments on each of February 16, 2024 and February 16, 2025.


Common Stock

Stock options granted under the Ethan Allen Interiors Inc. Stock Incentive Plan; these options vest ratably over three years, whereby one-third of the total number of options granted vest each year on the anniversary of the grant date, commencing on August 6, 2026.

/s/ Matthew J. McNulty as attorney-in-fact for John J. Dooner Jr.


For 2025, the reporting person agreed to take 50% of her cash bonus in shares of restricted stock with a three-year restriction period. Because the reporting person elected to take 50% of her bonus for 2025 in shares of restricted stock with a three-year restriction period, the Company awarded Ms. Stach additional compensation, in restricted stock, equal to 15% of her cash bonus. The price of the securities acquired by the reporting person is based on the average price of the Company's common stock for the 10 trading days immediately preceding August 7, 2025, which was $15.85.

/s/ Nathanael P. Kibler, Attorney-in-fact


Ordinary Shares

The restricted stock units were granted to the reporting person as compensation for the reporting person's service as a member of the Issuer's Board of Directors. These restricted stock units will vest in their entirety on May 6, 2026. Each restricted stock unit represents a contingent right to receive one ordinary share of the Issuer.

This field is not applicable.


Common Stock

The sales reported on this Form 4 were made by the reporting person for tax and estate planning purposes.

Following all the transactions reported on this Form 4, the reporting person holds 48,663 shares directly.

The stock option was automatically granted under the Amended and Restated 2007 Director Stock Plan on the third business day following the reporting person's election to the Board.  The stock option vested in two equal annual installments beginning September 20, 2017, and became fully vested and exerciseable on September 20, 2018.


Represents an acquisition of stock under the Company's Non-Employee Director Stock Election Program. Shares acquired are self-funded through deferred compensation and are not representative of a restricted stock award.


Class A Ordinary Shares without par value

The proceeds from the reported transaction are intended to satisfy tax liabilities arising from the vesting of share awards.


See Exhibit 99.1 for text of footnote (1).

See Exhibit 99.1 for text of footnote (2).

See Exhibit 99.1 for text of footnote (3).

See Exhibit 99.1 for text of footnote (4).

See Exhibit 99.1 for text of footnote (5).

Exhibit 99.1 (Footnotes to Form 4) is incorporated by reference.


These shares were purchased under the Issuer's Nonqualified 2022 Stock Purchase Plan and includes a 25% match.

Shares held jointly with spouse.


Eric Wei, a Managing Director of Advent, and Lauren Young, a Managing Director of Advent (collectively, the "Advent Directors"), each serve on the board of directors of the Issuer, and have been deputized to represent the Reporting Persons on the board of directors. By virtue of the Advent Directors' representation, for purposes of Section 16 of the Securities Exchange Act of 1934, each of the Reporting Persons may be deemed directors by deputization of the Issuer. The Advent Directors have filed separate Section 16 reports disclosing securities of the Issuer that they may be deemed to beneficially own for Section 16 purposes. Exhibit 99.1 (Footnotes to Form 4) and Exhibit 99.2 (Signatures and Joint Filer Information) are incorporated by reference.

ADVENT INTERNATIONAL, L.P., By: Advent International GP, LLC, its General Partner, By: /s/ Neil Crawford, Name: Neil Crawford, Title: Vice President of Finance


The price represents the weighted average price of the multiple transactions reported on this line.  The shares were sold at prices ranging from $22.76 to $22.90.  Upon request by the SEC staff, the issuer or any securityholder of the issuer, the reporting person will provide full information regarding the number of shares sold at each separate price.

/s/ Brett L. Eilander, Attorney-in-fact for Jerome J. Dorlack


EXPEDITORS INTERNATIONAL OF WASHINGTON INC

Common Stock

The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $117.85 to $118.03, inclusive. The reporting person undertakes to provide to any security holder of Expeditors or to the SEC, upon request, full information regarding the number of shares sold at each separate price within the range stated.

Balance of Common Stock beneficially owned includes 197.6597 shares purchased on July 31, 2025 under Expeditors International of Washington, Inc.'s 2002 Employee Stock Purchase Plan.

Diane Heffner, Stock Plan Administrator, attorney-in-fact


Adoption date of referenced 10b5-1(c) plan is: 02-22-2024

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $20.00 to $20.45 per share, 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.

/s/ Katayoun "Katy" Motiey, Power of Attorney for Ed Meyercord


Class A common stock, par value $0.001

The reported option is fully vested and exercisable.

/s/ Stacy S. Ingram, by Power of Attorney


/s/ Christina Banthin, by POA from John C. Inglis


The price reported in Column 4 is a weighted average 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 separate price.


The Issuer awarded the Reporting Person 2,015 time-based RSUs, each of which represents a contingent right to receive one share of the Issuer's common stock, and will vest 50% on each of August 6, 2026 and August 6, 2027, provided that the Reporting Person remains continuously employed by the Issuer on each such date.

The information in this report is based on a plan statement dated as of June 30, 2025.

/s/ Jennifer Guckert Griffin, pursuant to a power of attorney


The reporting person disclaims beneficial ownership of these securities, except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or any other purpose.

The price reported in Column 4 is a weighted average price. These shares were disposed of in multiple transactions at prices ranging from $1.601 to $1.620, inclusive. The reporting person undertakes to provide to New Horizon Aircraft Ltd. (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 disposed of at each separate price within the range.


Class A Common Stock

Class A Common Stock

Class A Common Stock

The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $2.16 to $2.32, inclusive. The Reporting Person undertakes to provide to 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 bought at each separate price within the range set forth in this Footnote 1 to this Form 4.

The price reported in Column 4 is a weighted average price. These shares were bought in multiple transactions at prices ranging from $2.15 to $2.21, inclusive. The Reporting Person undertakes to provide to 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 bought at each separate price within the range set forth in this Footnote 2 to this Form 4.

The Issuer's Class B Common Stock is convertible into shares of the Issuer's Class A Common Stock on a one-to-one basis at the option of the holders of the Issuer's Class B Common Stock at any time upon written notice to the Issuer, and automatically in the event of certain transfers, including, but not limited to, a transfer of shares to the Issuer.

The Reporting Person serves as the sole manager of each of NJ Healthcare Investments, LLC and Caesar Clover, LLC.

/s/Peter J. Rivas as attorney-in-fact for Vivek Garipalli


On November 2, 2021, the reporting person transferred 5,000 shares of Issuer's common stock to The Bradley-Richards Family Trust for no consideration. The reporting person and his spouse are co-trustees and are the beneficiaries of the trust. The reporting person and his spouse remain the beneficial owners of the securities held by the trust.


By Versant Venture Capital V (Canada) LP

By Versant Ophthalmic Affiliates Fund I, L.P.

Disposed of pursuant to the terms of the Agreement and Plan of Merger, dated June 26, 2025, by and among the Issuer, XOMA Royalty Corporation ("Purchaser") and XRA 3 Corp., a wholly-owned subsidiary of Purchaser, pursuant to which Purchaser completed a cash tender offer for all outstanding shares of common stock of the Issuer for (i) $0.34 per share in cash, payable subject to any applicable tax withholding and without interest, plus (ii) one non-transferable contractual contingent value right per share, payable subject to any applicable tax withholding and without interest.

Shares held by Versant Vantage II, L.P. ("Vantage II"). Versant Vantage II GP, L.P. ("Vantage II GP") is the sole general partner of Vantage II and Versant Vantage II GP-GP, LLC (Vantage II GP-GP") is the sole general partner of Vantage II GP. The Reporting Person, a member of the Issuer's board of directors, is a managing director of Vantage II GP-GP and may be deemed to share voting and dispositive power over the shares held by Vantage II. The Reporting Person disclaims beneficial ownership of the shares held by Canada V, except to the extent of his respective pecuniary interest therein.

Shares are held by Versant Venture Capital V, L.P. ("Versant V"). Versant Ventures V, LLC ("Versant V GP") is the sole general partner of Versant V. The Reporting Person, a member of the Issuer's board of directors, is a managing director of Versant V GP and may be deemed to share voting and dispositive power over the shares held by Versant V. The Reporting Persons disclaims beneficial ownership of the shares held by Versant V, except to the extent of his respective pecuniary interest therein.

Shares are held by Versant Venture Capital V (Canada) LP ("Canada V"). Versant Ventures V (Canada), L.P. ("Canada V GP") is the general partner of Canada V and Versant Ventures V GP-GP (Canada), Inc. ("Canada V GP-GP") is the sole general partner of Canada V GP. The Reporting Person, a member of the Issuer's board of directors, is a director of Canada V GP-GP and may be deemed to share voting and dispositive power over the shares held by Canada V. The Reporting Person disclaims beneficial ownership of the shares held by Canada V, except to the extent of his respective pecuniary interest therein.

Shares are held by Versant Ophthalmic Affiliates Fund I, L.P. ("Ophthalmic"). Versant V GP is the sole general partner of Ophthalmic. The Reporting Person, a member of the Issuer's board of directors, is a managing director of Versant V GP and may be deemed to share voting and dispositive power over the shares held by Ophthalmic. The Reporting Person disclaims beneficial ownership of the shares held by Ophthalmic, except to the extent of his respective pecuniary interest therein.

Shares are held by Versant Affiliates Fund V, L.P. ("Affiliates V"). Versant V GP is the sole general partner of Affiliates V. The Reporting Person, a member of the Issuer's board of directors, is a managing director of Versant V GP and may be deemed to share voting and dispositive power over the shares held by Affiliates V. The Reporting Person disclaims beneficial ownership of the shares held by Affiliates, except to the extent of his respective pecuniary interest therein.


Open market purchase of shares in accordance with Issuer's trading policies.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $56.92 to $57.16, 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.

/s/ Elizabeth Ryland Waldinger, attorney-in-fact


Common stock

Common stock

Provided the Reporting Person is still employed with the Issuer on the following dates, the restricted stock units ("RSUs") and options are each exercisable as follows: (i) RSUs and options for the purchase of one-third of such shares shall vest on the one-year anniversary of the date of grant; and (ii) the remaining RSUs and options shall vest in eight equal quarterly installments over the next two years, commencing with the first quarter following the first anniversary of the date of grant.

Each RSU represents a contingent right to receive one share of the Issuer's common stock.


On February 18, 2026, the reporting person filed a Form 4, which inadvertently reported that the reporting person directly purchased 3,000 shares of Issuer's common stock (the "Reported Shares").  In fact, as reported in this amendment, The Bradley-Richards Family Trust purchased the Reported Shares.


These securities are held of record by OrbiMed Private Investments VI, LP ("OPI VI"). OrbiMed Capital GP VI LLC ("GP VI") is the general partner of OPI VI, and OrbiMed Advisors LLC ("OrbiMed Advisors") is the managing member of GP VI. The Reporting Person is an employee of OrbiMed Advisors. By virtue of such relationships, GP VI and OrbiMed Advisors may be deemed to have voting power and investment power over the securities held by OPI VI and, as a result, may be deemed to have beneficial ownership over such securities. OrbiMed Advisors exercises voting and investment power through a management committee comprised of Carl L. Gordon, Sven H. Borho, and W. Carter Neild, each of whom disclaims beneficial ownership of the securities held by OPI VI.

Each of the Reporting Person, OrbiMed Advisors and GP VI, disclaims beneficial ownership of the securities reported herein for purposes of Rule 16a-1(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), except to the extent of his or its pecuniary interest therein, if any. This report shall not be deemed an admission that any of the Reporting Person, GP VI or OrbiMed Advisors, 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 represents the weighted average sale price of the shares disposed of. The actual sale prices ranged from $26.535 to $26.545. The reporting person has provided to the Issuer, and hereby undertakes to provide upon request by the U.S. Securities and Exchange Commission staff or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

/s/ Steven F. Siegel, by power of attorney


Common Stock

The sales reported in this Form 4 were effected by an automatic sale pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 11, 2024.

These options, representing the right to purchase a total of 15,000 shares, were originally granted on May 4, 2016, and became exercisable in equal monthly installments over the course of one year, contingent upon continued service to the Company.

/s/ Sean Flynn, as Attorney-in-Fact for Kevin McLaughlin


Class A Common Stock, par value $0.000001 per share

On November 11 and November 14, 2022, FTX Trading Ltd. and certain of its subsidiaries (together with FTX Trading Ltd., the "Debtors") filed voluntary petitions for relief under chapter 11 of title 11 of the U.S. Bankruptcy Code in the Bankruptcy Court for the District of Delaware (the "Bankruptcy Court"). On October 8, 2024, the Bankruptcy Court entered an order confirming the "Second Amended Joint Chapter 11 Plan of Reorganization of FTX Trading Ltd. and its Debtor Affiliates" (as amended, modified, or supplemented from time to time, the "Plan").

On January 3, 2025 (the "Effective Date"), all conditions precedent to the occurrence of the effective date as set forth in the Plan were satisfied or waived and the Plan became effective. On the Effective Date, in accordance with the Plan, all shares of the Issuer owned by the Debtors were deemed to be transferred to FTX Recovery Trust.


On August 4, 2022, in addition to the RSUs granted that were subject to only service-based vesting conditions, the Reporting Person was also granted RSUs with both performance-based and service-based vesting conditions ("PRSUs") for a target number of shares equal to 2,385.000 shares of KLA common stock. The maximum number of shares issuable under these PRSUs is 150% of the target shares if KLA's free cash flow relative to its peers was at the 75th percentile or greater for the three years in the period ended June 30, 2025. On August 7, 2025, KLA's Board of Directors and Compensation and Talent Committee determined that the performance conditions applicable to these PRSUs were satisfied at the maximum level. Fifty percent (50%) of the PRSUs will vest today, August 7, 2025, and the remaining fifty percent (50%) of the PRSUs will vest on August 4, 2026, subject to continued service of the Reporting Person.

The number of shares of KLA common stock includes 5,974.194 shares issuable upon vesting of restricted stock units ("RSUs").

On August 7, 2025, fifty percent (50%) of the performance-based restricted stock units granted on August 4, 2022 vested. Pursuant to the terms of the grant, shares of KLA common stock were automatically withheld at vesting to cover required tax withholding. The fair market value of KLA common stock used for purposes of calculating the number of shares to be withheld was the closing price of KLA common stock as reported on August 6, 2025.

The number of shares of KLA common stock includes 4,184.694 shares issuable upon vesting of RSUs.

On August 4, 2022, in addition to the RSUs granted that were subject to only service-based vesting conditions, the Reporting Person was also granted RSUs with both performance-based and service-based vesting conditions ("PRSUs") divided into three tranches. The second tranche was for a target number of shares equal to 1,677.000 shares of KLA common stock. The maximum number of shares issuable under the second tranche of these PRSUs is 250% of the target shares if the sum of KLA's non-GAAP earnings per diluted share for fiscal years 2023, 2024 and 2025 equaled or exceeded $93.00. On August 7, 2025, KLA's Board of Directors and Compensation and Talent Committee determined that the performance conditions applicable to the second tranche of these PRSUs were satisfied at 147% of target shares. The second tranche of these PRSUs will vest on June 30, 2026, subject to continue service of the Reporting Person.

The number of shares of KLA common stock includes 6,649.884 shares issuable upon vesting of RSUs.

On August 7, 2025, the Reporting Person received a grant of restricted stock units ("RSUs"). The RSUs vest 25% annually from the date of grant.

The number of shares of KLA common stock includes 7,794.972 shares issuable upon vesting of RSUs.

/s/ Jeffrey S. Cannon, as attorney-in-fact for Mary Beth Wilkinson


Common Stock

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


On August 4, 2022, in addition to the RSUs granted that were subject to only service-based vesting conditions, the Reporting Person was also granted RSUs with both performance-based and service-based vesting conditions ("PRSUs") for a target number of shares equal to 24,146.000 shares of KLA common stock. The maximum number of shares issuable under these PRSUs is 150% of the target shares if KLA's free cash flow relative to its peers was at the 75th percentile or greater for the three years in the period ended June 30, 2025. On August 7, 2025, KLA's Board of Directors and Compensation and Talent Committee determined that the performance conditions applicable to these PRSUs were satisfied at the maximum level. Fifty percent (50%) of the PRSUs will vest today, August 7, 2025, and the remaining fifty percent (50%) of the PRSUs will vest on August 4, 2026, subject to continued service of the Reporting Person.

The number of shares of KLA common stock includes 56,078.011 shares issuable upon vesting of restricted stock units ("RSUs").

The number of shares of KLA common stock includes 37,968.511 shares issuable upon vesting of RSUs.

On August 4, 2022, in addition to the RSUs granted that were subject to only service-based vesting conditions, the Reporting Person was also granted RSUs with both performance-based and service-based vesting conditions ("PRSUs") divided into three tranches. The second tranche was for a target number of shares equal to 6,291.000 shares of KLA common stock. The maximum number of shares issuable under the second tranche of these PRSUs is 250% of the target shares if the sum of KLA's non-GAAP earnings per diluted share for fiscal years 2023, 2024 and 2025 equaled or exceeded $93.00. On August 7, 2025, KLA's Board of Directors and Compensation and Talent Committee determined that the performance conditions applicable to the second tranche of these PRSUs were satisfied at 147% of target shares. The second tranche of these PRSUs will vest on June 30, 2026, subject to continue service of the Reporting Person.

The number of shares of KLA common stock includes 47,216.281 shares issuable upon vesting of RSUs.

The number of shares of KLA common stock includes 57,511.168 shares issuable upon vesting of RSUs.

/s/ Jeffrey S. Cannon, as attorney-in-fact for Richard P. Wallace


On August 4, 2022, in addition to the RSUs granted that were subject to only service-based vesting conditions, the Reporting Person was also granted RSUs with both performance-based and service-based vesting conditions ("PRSUs") for a target number of shares equal to 2,981.000 shares of KLA common stock. The maximum number of shares issuable under these PRSUs is 150% of the target shares if KLA's free cash flow relative to its peers was at the 75th percentile or greater for the three years in the period ended June 30, 2025. On August 7, 2025, KLA's Board of Directors and Compensation and Talent Committee determined that the performance conditions applicable to these PRSUs were satisfied at the maximum level. Fifty percent (50%) of the PRSUs will vest today, August 7, 2025, and the remaining fifty percent (50%) of the PRSUs will vest on August 4, 2026, subject to continued service of the Reporting Person.

The number of shares of KLA common stock includes 8,356.775 shares issuable upon vesting of restricted stock units ("RSUs").

On August 7, 2025, fifty percent (50%) of the performance-based restricted stock units granted on August 4, 2022 vested. Pursuant to the terms of the grant, shares of KLA common stock were automatically withheld at vesting to cover required tax withholding. The fair market value of KLA common stock used for purposes of calculating the number of shares to be withheld was the closing price of KLA common stock as reported on August 6, 2025

The number of shares of KLA common stock includes 6,120.275 shares issuable upon vesting of RSUs.

The number of shares of KLA common stock includes 8,585.465 shares issuable upon vesting of RSUs.

The number of shares of KLA common stock includes 10,902.905 shares issuable upon vesting of RSUs.

/s/ Jeffrey S. Cannon, as attorney-in-fact for Brian Lorig


On August 4, 2022, in addition to the RSUs granted that were subject to only service-based vesting conditions, the Reporting Person was also granted RSUs with both performance-based and service-based vesting conditions ("PRSUs") for a target number of shares equal to 894.000 shares of KLA common stock. The maximum number of shares issuable under these PRSUs is 150% of the target shares if KLA's free cash flow relative to its peers was at the 75th percentile or greater for the three years in the period ended June 30, 2025. On August 7, 2025, KLA's Board of Directors and Compensation and Talent Committee determined that the performance conditions applicable to these PRSUs were satisfied at the maximum level. Fifty percent (50%) of the PRSUs will vest today, August 7, 2025, and the remaining fifty percent (50%) of the PRSUs will vest on August 4, 2026, subject to continued service of the Reporting Person.

The number of shares of KLA common stock includes 2,205.000 shares issuable upon vesting of restricted stock units ("RSUs").

On August 7, 2025, fifty percent (50%) of the performance-based restricted stock units granted on August 4, 2022 vested. Pursuant to the terms of the grant, shares of KLA common stock were automatically withheld at vesting to cover required tax withholding. The fair market value of KLA common stock used for purposes of calculating the number of shares to be withheld was the closing price of KLA common stock as reported on August 6, 2025.

The number of shares of KLA common stock includes 1,534.500 shares issuable upon vesting of RSUs.

On August 7, 2025, the Reporting Person received a grant of restricted stock units ("RSUs"). The RSUs vest 25% annually from the date of grant.

The number of shares of KLA common stock includes 1,951.639 shares issuable upon vesting of RSUs.

/s/ Jeffrey S. Cannon, as attorney-in-fact for Virendra A. Kirloskar


On August 4, 2022, in addition to the RSUs granted that were subject to only service-based vesting conditions, the Reporting Person was also granted RSUs with both performance-based and service-based vesting conditions ("PRSUs") for a target number of shares equal to 6,260.00 shares of KLA common stock. The maximum number of shares issuable under these PRSUs is 150% of the target shares if KLA's free cash flow relative to its peers was at the 75th percentile or greater for the three years in the period ended June 30, 2025. On August 7, 2025, KLA's Board of Directors and Compensation and Talent Committee determined that the performance conditions applicable to these PRSUs were satisfied at the maximum level. Fifty percent (50%) of the PRSUs will vest today, August 7, 2025, and the remaining fifty percent (50%) of the PRSUs will vest on August 4, 2026, subject to continued service of the Reporting Person.

The number of shares of KLA common stock includes 16,593.412 shares issuable upon vesting of restricted stock units ("RSUs").

The number of shares of KLA common stock includes 11,898.412 shares issuable upon vesting of RSUs.

On August 4, 2022, in addition to the RSUs granted that were subject to only service-based vesting conditions, the Reporting Person was also granted RSUs with both performance-based and service-based vesting conditions ("PRSUs") divided into three tranches. The second tranche was for a target number of shares equal to 4,194.000 shares of KLA common stock. The maximum number of shares issuable under the second tranche of these PRSUs is 250% of the target shares if the sum of KLA's non-GAAP earnings per diluted share for fiscal years 2023, 2024 and 2025 equaled or exceeded $93.00. On August 7, 2025, KLA's Board of Directors and Compensation and Talent Committee determined that the performance conditions applicable to the second tranche of these PRSUs were satisfied at 147% of target shares. The second tranche of these PRSUs will vest on June 30, 2026, subject to continue service of the Reporting Person.

The number of shares of KLA common stock includes 18,063.592 shares issuable upon vesting of RSUs.

The number of shares of KLA common stock includes 21,716.968 shares issuable upon vesting of RSUs.

/s/ Jeffrey S. Cannon, as attorney-in-fact for Ahmad A. Khan


On August 4, 2022, in addition to the RSUs granted that were subject to only service-based vesting conditions, the Reporting Person was also granted RSUs with both performance-based and service-based vesting conditions ("PRSUs") for a target number of shares equal to 5,962.000 shares of KLA common stock. The maximum number of shares issuable under these PRSUs is 150% of the target shares if KLA's free cash flow relative to its peers was at the 75th percentile or greater for the three years in the period ended June 30, 2025. On August 7, 2025, KLA's Board of Directors and Compensation and Talent Committee determined that the performance conditions applicable to these PRSUs were satisfied at the maximum level. Fifty percent (50%) of the PRSUs will vest today, August 7, 2025, and the remaining fifty percent (50%) of the PRSUs will vest on August 4, 2026, subject to continued service of the Reporting Person.

The number of shares of KLA common stock includes 16,071.412 shares issuable upon vesting of restricted stock units ("RSUs").

The number of shares of KLA common stock includes 11,599.912 shares issuable upon vesting of RSUs.

The number of shares of KLA common stock includes 17,765.092 shares issuable upon vesting of RSUs.

The number of shares of KLA common stock includes 21,418.468 shares issuable upon vesting of RSUs.

/s/ Jeffrey S. Cannon, as attorney-in-fact for Bren D. Higgins


Solaris Energy Infrastructure, LLC Units

Class A Common Stock

Each share of Class B common stock, par value $0.00 per share ("Class B common stock") of Solaris Energy Infrastructure, Inc. (the "Issuer") has no economic rights but entitles the holder to one vote on all matters to be voted on by the stockholders generally.

Subject to the terms of the Second Amended and Restated Limited Liability Company Agreement of Solaris Energy Infrastructure, LLC ("Solaris LLC"), dated as of May 11, 2017, as amended from time to time, included as Exhibit 10.1 to the Issuer's Current Report on Form 8-K filed with the U.S. Securities and Exchange Commission (the "SEC") on May 17, 2017, units of Solaris LLC ("Solaris LLC Units") (together with a corresponding number of shares of the Issuer's Class B common stock) are exchangeable from time to time for shares of the Issuer's Class A common stock, par value $0.01 per share ("Class A common stock"). The shares of Class B common stock reported herein were cancelled for no consideration on a one-for-one basis upon the redemption by the reporting persons of its Solaris LLC Units (together with a corresponding number of shares of Class B common stock) for the shares of Class A common stock reported herein.

Includes securities received in connection with transactions contemplated by the Contribution Agreement, dated July 9, 2024, by and among the Issuer, Solaris LLC, John A. Johnson, John Tuma, J Turbines and KTR Management Company, LLC ("KTR"), a Texas limited liability company. On September 11, 2024, J Turbines and KTR each received, among other things, 8,114,783 shares of the Issuer's Class B common stock, together with a corresponding number of Solaris LLC Units in exchange for all of the issued and outstanding equity interests of Mobile Energy Rentals LLC, a Texas limited liability company, as more fully described in the Schedule 13D filed by the reporting persons with the SEC on September 13, 2024.

Represents securities held directly by KTR. John Tuma owns all of the issued and outstanding equity interests of KTR and has the sole authority to vote or dispose of the shares held by KTR in his sole discretion. Mr. Tuma may therefore be deemed to beneficially own the securities of the Issuer held directly by KTR.


The price reported in column 4 is a weighted average price.  These shares were sold in multiple transactions at prices ranging from $22.46 to $22.685. 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, with full information regarding the number of shares sold at each separate price within this range

The price reported in column 4 is a weighted average price.  These shares were sold in multiple transactions at prices ranging from $22.24 to $22.59. 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, with full information regarding the number of shares sold at each separate price within this range

/s/ Jennifer Daubenspeck, 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 $65.02 to $65.38, inclusive.  The reporting person undertakes to provide to Corning Incorporated, any security holder of Corning Incorporated, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth previously in this footnote.

The reporting person disclaims beneficial ownership of all securities held by spouse.

Ownership is represented by units held in a unitized stock fund through the issuer's 401(k) retirement plan as of July 31, 2025.


Common Stock

Common Stock

Includes 12,798 shares of restricted stock, which vest according to the following schedule; 3,516 shares that vest on 6/1/2026; 4,491 shares 1/2 of which vest on 5/23/2026 and 1/2 vest on 5/23/2027; and 4,791 shares 1/3 of which vest on 5/28/2026, 1/3 vest on 5/28/2027 and 1/3 vest on 5/28/2028.

All these options to purchase Common Stock are exerciseable except for 7,000 options that vest on 6/3/2026.


Class A Common Stock

Each restricted stock unit represents a contingent right to receive one share of Verra Mobility Corporation Class A Common Stock.

On August 7, 2025, the reporting person was granted restricted stock units, vesting in two (2) equal annual installments beginning on August 7, 2026. Vested shares will be delivered to the reporting person on each settlement date.

/s/ Stacey Moser, by Raphael Avraham, as Attorney-in-Fact


Common Stock

Common Stock

The transactions reported in this Form 4 were effected pursuant to an existing Rule 10b5-1 trading plan.

Annual Non-Qualified Stock Option ("Option") Award.  The Options become exercisable in substantially equal installments on each of the first, second, third and fourth anniversaries of the grant date.


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 $63.10 to $64.09. 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) - (4) 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 $63.24 to $64.23.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $64.24 to $64.40.

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


This transaction was effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person.


The securities are held by a family trust, of which the reporting person's spouse is the trustee.


The price reported in Column 4 is a weighted average price.  These shares were sold in multiple transactions at prices ranging from $65.68 to $66.00, inclusive.  The reporting person undertakes to provide to Corning Incorporated, any security holder of Corning Incorporated, or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth previously in this footnote.


CSCP III Cayman GP Ltd. ("CSCP III Cayman GP") is the general partner of Centerbridge Special Credit Partners General Partner III, L.P., which is the general partner of Centerbridge Special Credit Partners III-Flex, L.P. ('SC III-Flex"), and may be deemed to share beneficial ownership over the shares of Common Stock held of record by SC III-Flex. As the director of CSCP III Cayman GP, Jeffrey H. Aronson may be deemed to share beneficial ownership with respect to the shares held of record by SC III-Flex. Such persons and entities expressly disclaim beneficial ownership of the shares held of record by SC III-Flex, except to the extent of any proportionate pecuniary interest therein.

Centerbridge Credit GP Investors, L.L.C. ("Credit GP Investors") is the sole director of Centerbridge Credit Cayman GP, Ltd., which is the general partner of Centerbridge Credit Partners Offshore General Partner, L.P., which is the general partner of Centerbridge Credit Partners Master, L.P. ("Credit Partners Master"), and may be deemed to share beneficial ownership over the shares of Common Stock held of record by Credit Partners Master. As the managing member of Credit GP Investors, Jeffrey H. Aronson may be deemed to share beneficial ownership with respect to the shares held of record by Credit Partners Master. Such persons and entities expressly disclaim beneficial ownership of the shares held of record by Credit Partners Master, except to the extent of any proportionate pecuniary interest therein.

The Reporting Persons are jointly filing this Form 4. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of any or all of the reported securities for purposes of Section 16 or for any other purpose.


On August 6, 2025, the reporting person transferred 5,469 shares of State Street Corporation common stock to a trust. The reporting person continues to report beneficial ownership of STT common stock held by the trust but disclaims ownership except to the extent of her pecuniary interest therein.

Includes Director's stock compensation dividend equivalents acquired through the date of this report.

By a trust. The reporting person continues to report beneficial ownership of STT common stock held by the trust but disclaims ownership except to the extent of her pecuniary interest therein.

/s/ Shannon C. Stanley, Attorney-in-fact


Common Stock

Common Stock

Common Stock

130,000 of the reporting person's long-term incentive plan units ("LTIP Units") in Global Medical REIT L.P. (the "OP"), the operating partnership of Global Medical REIT Inc. (the "Issuer"), were converted into common units of limited partnership interest ("OP Units") in the OP by the reporting person and the OP Units were redeemed for an equal number of shares of the Issuer's Common Stock in accordance with the OP's partnership agreement.

Represents LTIP Units in the OP. The LTIP Units were issued pursuant to the Issuer's 2016 Equity Incentive Plan (as amended from time to time) and have no expiration date.

As described in the OP's partnership agreement, vested LTIP Units that have achieved capital account parity may be exchanged at any time after vesting for an equivalent number of OP Units. OP Units may be redeemed for cash or, at the election of the Issuer, for shares of Common Stock of the Issuer on a one-for-one basis. LTIP Units have no expiration date.

Represents OP Units in the OP. Each OP Unit may be redeemed for cash or, at the election of the Issuer, for shares of Common Stock of the Issuer on a one-for-one basis. OP Units have no expiration date.


Includes 28,606 restricted stock units ("RSUs") granted on December 27, 2024 to non-employee directors for board service. The RSUs represent a contingent right to receive shares of common stock of Applied Digital Corporation on a one-for-one basis, have no expiration date, and vest in full on November 20, 2025, subject to the Reporting Person's continued service through such date.


Common Stock

Common Stock

Common Stock

Each restricted stock unit represents a contingent right to receive one share of SPGI common stock.

As previously reported, the reporting person was granted 1,421 restricted stock units on 03/01/2023, subject to 3-year vesting. The restricted stock units vested 33% on 12/31/2023 and 33% on 12/31/2024 and the remaining 34% will vest on 12/31/2025. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.

As previously reported, the reporting person was granted 1,484 restricted stock units on 03/01/2024, subject to 3-year vesting. The restricted stock units vested 33% on 12/31/2024 and will vest 33% on 12/31/2025 and 34% on 12/31/2026. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.

As previously reported, the reporting person was granted 1,191 restricted stock units on 03/01/2025, subject to 3-year vesting. The restricted stock units will vest 33% on 12/31/2025, 33% on 12/31/2026 and 34% on 12/31/2027. Vested shares will be delivered to the reporting person no later than January 31 following the respective vesting date.


These shares were purchased under the Issuer's Nonqualified 2022 Stock Purchase Plan and includes a 25% match.


45,441,203 shares were owned following the reported transaction by the W.K. Kellogg Foundation Trust (the "Trust") of which LaJune Montgomery Tabron, Steve Cahillane, Richard M. Tsoumas and The Northern Trust Company are Trustees and the W.K. Kellogg Foundation (the "Foundation") is the sole beneficiary.

The sales reported on this Form 4 were made pursuant to trading instructions given by the W.K. Kellogg Foundation Trust on May 7, 2024 that are intended to comply with Rule 10b5-1(c) under the Securities and Exchange Act of 1934.

Craig R. Carberry, Deputy General Counsel, The Northern Trust Company, as Corporate Trustee of the W.K. Kellogg Foundation Trust and signing for the W.K. Kellogg Foundation pursuant to a Power of Attorney dated August 30, 2017


Reflects the weighted average sale price for the entire amount of shares sold. These shares were sold in multiple transactions at prices ranging from $125.540 to $125.567, inclusive. The reporting person undertakes to provide to the registrant, any security holder of the registrant, or the staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges

Represents interests in an issuer stock fund.

David S. Maltz, attorney-in-fact for Louis E. Renjel


David S. Maltz, attorney-in-fact for E. Marie McKee


This amendment is being filed to address an error in reporting the transaction code in the original Form 4 filed on August 6, 2025, which contains a transaction code error on line 6 in the Table I. The transaction code should have been reported as F, which reported as S by error.

Andrew Potter By Power of Attorney For David B. Foss


The price reported is a weighted average price. These shares were purchased in multiple transactions at prices from $89.68 to $90.5. The reporting person undertakes to provide Pinnacle Financial Partners, Inc., any security holder of Pinnacle Financial Partners, Inc., 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.

Each depositary share represents a 1/40th interest in a share of the Issuer's 6.75% Fixed-Rate Non-Cumulative Perpetual Preferred Stock, Series B, no par value per share. Depositary shares purchased in an underwritten public offering.


Represents a charitable gift of shares.


/s/ Thomas Fistek for Todd W. Garner by Power of Attorney


Common Stock

Acquired through the exercise of stock options.

Reflects the weighted average sale price. The shares were sold in multiple transactions at prices ranging from a low of $616.39 to a high of $616.88 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth with respect to this transaction.

Includes 4,002 shares owned indirectly by the reporting person, which are held by a family limited partnership in which the reporting person and her husband each own a 44% limited partner interest, and each have 50% ownership and control of the sole general partner with a 2% general partner interest. The remaining limited partner interests are owned by the reporting person's sons. The reporting person disclaims beneficial ownership of the shares except to the extent of her pecuniary interest therein.

Option has graded vesting. Dates exercisable will vary with each vesting tranche.


Common Stock

Restricted stock units which vest at a rate of 33% per year commencing on August 7, 2026.

Includes restricted stock units which vest at a rate of 33% per year commencing on August 7, 2025.

Includes restricted stock units which vest at a rate of 33% per year commencing on August 7, 2024.

Includes restricted stock units which vest at a rate of 33% per year commencing on August 7, 2023.

Reflects transactions not required to be reported pursuant to Section 16 of the Securities Exchange Act of 1934, as amended.

/s/ Gail Corrigan, pursuant to power of attorney


Includes (i) 13,525 shares of fully vested stock; (ii) 2,333 shares of restricted stock for which risks of forfeiture lapse on 1/26/2026; (iii) 6,666 shares of restricted stock for which risks of forfeiture lapse as to 3,333 shares on each of 2/7/2026 and 2/7/2027; and (iv) 10,000 shares of restricted stock for which risks of forfeiture lapse as to 3,334 shares on 1/24/2026 and as to 3,333 shares on each of 1/24/2027 and 1/24/2028

Includes (i) 8,000 shares of fully vested stock; (ii) 2,333 shares of restricted stock for which risks of forfeiture lapse on 1/26/2026; (iii) 6,666 shares of restricted stock for which risks of forfeiture lapse as to 3,333 shares on each of 2/7/2026 and 2/7/2027; and (iv) 10,000 shares of restricted stock for which risks of forfeiture lapse as to 3,334 shares on 1/24/2026 and as to 3,333 shares on each of 1/24/2027 and 1/24/2028


COMMON STOCK

Adjusted for 2/28/2023 two-for-one stock split

The options vest 25% at the date of each grant and then in three equal annual installments beginning on the 1 year anniversary of each grant.

/s/ Gregory Gaughan, By Power of Attorney


Common Stock

Each unit represents a contingent right to receive one share of Pitney Bowes common stock.

The Restricted Stock Units are scheduled to cliff vest after one year on 06 August 2026, the anniversary of the grant date.

/s/ Elisabeth Weinberg, as attorney-in-fact for Peter C Brimm


Common Stock

Common Stock


Class A Common Stock

On January 27, 2025, the issuer effected a 25 to 1 reverse stock split of its Class A Common Stock. The number of shares of Class A Common Stock reported on this Form 4 has been adjusted to reflect the reverse stock split.

This Form 4 is being filed late due to inadvertent administrative error.


Class A Common Stock


Common Stock


Class A Common Stock

Chief Executive Officer, President and Chair of Board. This Form 4 is being filed late due to inadvertent administrative error.


Smith Chad M.

1 WORLD TRADE CENTER, 80TH FLOOR SUITE A

Class A Common Stock

Each Restricted Stock Unit (RSU) represents a contingent right to receive one share of the Issuer's Class A Common Stock.

The RSUs were granted on May 8, 2024. 25% of the RSUs will vest, subject to the Reporting Person's continued employment, on the 12-month anniversary of the grant date, and the
remaining balance of the RSUs will vest in equal quarterly installments over the following 36 months, subject to the Reporting Person's continued employment on each such scheduled vesting date.


The restricted stock award was granted pursuant to the Greenlight Capital Re, Ltd. 2023 Omnibus Incentive Plan. This award will vest on the earlier of the first anniversary of the grant date and the 2026 annual general meeting of shareholders.


These shares were pu1chased under the Issuer's Nonqualified 2022 Stock Purchase Plan and includes a 25% match.


COMMON STOCK


Represents director's fees paid in stock pursuant to Regency's Omnibus Incentive Plan.

/s/ Michael R. Herman, Attorney-in-Fact for C. Ronald Blankenship


These shares are held for the account of a trust for which the Reporting Person retains beneficial ownership.

These shares are held for the account of a trust for the behalf of the Reporting Person's immediate family members. The Reporting Person's spouse is trustee of the trust.


/s/ Michael R. Herman, Attorney-in-Fact for Peter Linneman


/s/ Michael R. Herman, Attorney-in-Fact for Karin Klein


These shares are held for the account of a partnership of which Mr. Platt is the general partner.


As Custodian for child under the UTMA/PA

This amount includes 96.699 shares acquired on March 14, 2025 and 93.378 shares acquired on June 13, 2025 under the Issuer's Dividend Reinvestment and Stock Purchase Plan (DRP) jointly with his spouse.

This amount includes 2.148 shares acquired on March 14, 2025 and 2.074 shares acquired on June 13, 2025 under the DRP.

/s/ James M. Bone, Jr., CPA, As Attorney-in-Fact for Richard S. Lochen, Jr.


Com Stk

Security converts to common stock on a one-for-one basis.

The Common Stock Units were accrued under the Deferred Compensation Plan of OGE Energy Corp. and are to be settled 100% in cash at a specified future date or following termination of service.

The total includes shares acquired through the reinvestment of dividends that were exempt from reporting pursuant to Rule 16a-11.

/s/ William Sultemeier, By Power of Attorney


This figure does not include 101,038 shares held directly by Mr. Stahl.

For each indirect account, Mr. Stahl disclaims beneficial ownership except to the extent of his pecuniary interest, if any.


Represents the average price of shares sold; full information regarding the number of shares sold and specific prices will be made available upon request to the Company's Office of the General Counsel.

/s/ Rachel R. Eslicker, Attorney-in-Fact


Common stock

The company settles such RSUs by making an appropriate book entry in the reporting person's name for a number of shares equal to the number of RSU's that have vested.

These are restricted stock units (RSUs) granted to the reporting person on August 7, 2023, under Cooper-Standard Holdings Inc. 2021 Omnibus Incentive Plan, as amended and restated.

Subject to the reporting person's continued employment with the company or its affiliates through the applicable vesting date, one third of these RSUs shall vest and no longer be subject to forfeiture on each of the first three anniversaries of the date of the grant.

Senior Vice President, Chief Legal Officer and Secretary

/s/ Denise Balog, on behalf of MaryAnn Peterson Kanary under power of attorney


The Chloe Liliane Sciammas 2020 Irrevocable Trust

The Patrick Francis Sciammas 2020 Irrevocable Trust

Peter Rafferty and Eric Toothill 2021Trust

The Joseph Roger Sciammas 2020 Irrevocable Trust

Clement Sciammas (Sibling) Brokerage Account

4,836 shares were transferred to the Sciammas Family Trust, on which the reporting person is a Trustee, from two Sciammas 2022 GRATs, and two Sciammas 2022 Siblings GRATs, and two Sciammas 2022 Trusts for Oski Crew, on which the reporting person is a Trustee. No funds were exchanged and no sale of shares occurred in the transfer.

2,000 shares were transferred out of two Sciammas 2022 GRATs and two Sciammas 2022 Siblings GRATs, on which the reporting person is a Trustee, to the Sciammas Family Trust, on which the reporting person is a Trustee. No funds were exchanged and no sale of shares occurred in the transfer.

1,418 shares were transferred out of the Maurice Sciammas 2022 Trust for Oski Crew, on which the reporting person is a Trustee, to the Sciammas Family Trust, on which the reporting person is a Trustee. No funds were exchanged and no sale of shares occurred in the transfer.

1,418 shares were transferred out of the Christina Sciammas 2022 Trust for Oski Crew, on which the reporting person is a Trustee, to the Sciammas Family Trust, on which the reporting person is a Trustee. No funds were exchanged and no sale of shares occurred in the transfer.

/s/ Saria Tseng, attorney-in-fact for Mr. Maurice Sciammas


Common Stock

Common Stock

Common Stock

The stock options will vest, subject to continued employment, in approximate equal thirds on 2/24/2023, 2/24/2024 and 2/24/2025.

The stock options will vest, subject to continued employment, in approximate equal thirds on 2/25/2022, 2/25/2023 and 2/25/2024.

The stock options will vest, subject to continued employment, in approximate equal thirds on 2/27/2021, 2/27/2022 and 2/27/2023.

Angela P. Botkin, attorney-in-fact of Eric A. Vaillancourt


Common Stock


Common Shares

Common Shares

Common Shares

Reflects the most recent ESOP and 401(k) balance.

The restricted stock units will vest 1/3 on each of March 15, 2025, 2026 and 2027.

The restricted stock units will vest 1/3 on each of March 15, 2026, 2027 and 2028.

The options will vest 50% on each of February 28, 2024 and February 28, 2025.

/s/ Russell E. Ryba, Attorney-in-Fact for Jagadeesh A. Reddy


Common Shares ("Shares of Beneficial Interest")

Exercisable only upon termination, retirement, or other plan permitted event. Plan holdings may be "liquidated" and reallocated into other plan investment options by the plan participant. The derivative has no actual securities underlying the plan agreement, which is entirely notional.

Barings LLC (fka Babson Capital Management LLC) and Massachusetts Mutual Life Insurance Company each offer a non-qualified compensation deferral plan where certain officers are permitted to defer a portion of their compensation into the plans. Deferred compensation into a plan is allocated among one or more investment options at the election of the plan participant. Each plan has an investment option that derives its value from the market value of Barings Corporate Investors' common shares (and includes the value of reinvested dividends). However, pursuant to the terms of the plans, neither the plans nor the participants have an actual ownership interest in the common shares. The shares beneficially owned include the number of shares of Barings Corporate Investors represented by the value of the Barings Corporate Investors investment option under the plan held by the plan participant.


Price indicated is the weighted average purchase price as a result of a series of broker-assisted transactions ranging in price from $31.43 to $31.495 per share. The reporting person undertakes to provide full information regarding the number of shares purchased at each separate price within the range upon request by the SEC staff, the issuer, or any security holder of the issuer.


/s/ Diana Witt, attorney-in-fact for Mr. Patrick Lockwood-Taylor


On December 18, 2024, Horizon Kinetics Asset Management LLC (HKAM) filed an amendment to its Schedule 13D, in which it noted beneficial ownership of 3,578,173 shares and Murray Stahl's direct interest in 7,848 shares and his indirect interest in approximately 156,083 shares. The extent of HKAM's pecuniary interest in the shares beneficially owned is disclosed herein. Mr. Stahl does not exercise investment discretion with respect to the securities of the Issuer.


Consists of (a) 8,493 Registered Shares and (b) unvested restricted stock units (RSUs) awarded to the reporting person under the Garmin Ltd. Non-Employee Directors' Equity Incentive Plan that can be settled only in Registered Shares, which RSUs vest as to 858 shares on June 6, 2026.

The reporting person is a co-trustee of multiple grantor retained annuity trusts (GRATs) established by him, and his children hold the remainder interests therein. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interests therein.

The reporting person is a co-trustee of several grantor retained annuity trusts (GRATs) established by his mother, and he holds a remainder interest therein. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.

The reporting person is the manager of several limited liability companies that are wholly-owned by a GRAT remainder trust established for the reporting person's benefit.

The reporting person is a co-trustee of a GRAT remainder trust established for his benefit.

The reporting person is a co-trustee of his mother's revocable trust and his mother's attorney-in-fact and also holds a remainder interest in the securities held in such trust. The reporting person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.


Represents shares deducted to satisfy federal tax withholding obligations on the vesting of a previously disclosed award.

Julie D. Masino by Richard M. Wolfson, Attorney-in-Fact


Pursuant to Exchange Act Rule 16a-1(a)(1), the reporting person may be deemed, solely for purposes of determining whether he is a beneficial owner of more than 10% of the common shares of the Issuer ("Common Shares"), to be the beneficial owner of the securities of the Issuer that are held by Hagedorn Partnership, L.P., a Delaware limited partnership in which the reporting person is a general partner (the "Partnership").  Represents the aggregate proportionate interest of the reporting person and those family members in whose holdings he may be deemed to have a pecuniary interest, in Common Shares held by the Partnership.

/s/ Kathy L. Uttley as attorney-in-fact for James Hagedorn


/s/ Kathy L. Uttley as attorney-in-fact for Christopher J. Hagedorn


/s/ Kathy L. Uttley as attorney-in-fact for Mark J. Scheiwer


Pursuant to Exchange Act Rule 16a-1(a)(1), the reporting person may be deemed, solely for purposes of determining whether he is a beneficial owner of more than 10% of the common shares of the Issuer ("Common Shares"), to be the beneficial owner of the securities of the Issuer that are held by Hagedorn Partnership, L.P., a Delaware limited partnership in which the reporting person is a general partner (the "Partnership"). Represents the aggregate proportionate interest of the reporting person and those family members in whose holdings he may be deemed to have a pecuniary interest, in Common Shares held by the Partnership.

/s/ Kathy L. Uttley as attorney-in-fact for Nathan E. Baxter


/s/ Victor L. Cangelosi, pursuant to power of attorney


Reflects a weighted average sale price of $25.60. The shares were sold in multiple transactions at prices ranging from $25.52 to $25.70 per share, inclusive. The reporting person will provide to Interface, Inc., any security holder of Interface, 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 range set forth herein.

A substantial number of such shares are unvested performance shares and restricted stock units subject to a risk of forfeiture under certain circumstances.


Reflects the settlement date, which is the date the price per share of the purchased shares and the number of shares being purchased was determined.

/s/Darren Thayer, Attorney-in-Fact for Bjorn J. Hall


Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Reflects shares acquired through 401(k) contributions since December 31, 2025.


Includes restricted stock units scheduled to vest in the future.

/s/ John A. Mikowski, Deputy General Counsel and Assistant Corporate Secretary, as Attorney-in-Fact


Common Units

Common Units

Each Phantom Unit is the economic equivalent of one Common Unit of the Issuer.

Mr. Woelfel is a Director of Westlake Chemical Partners GP LLC, the general partner of Westlake Chemical Partners LP.


Common Units

Common Units

Ms. Friel is a Director of Westlake Chemical Partners GP LLC, the general partner of Westlake Chemical Partners LP.


Common Units

Common Units

Mr. Finley is a Director of Westlake Chemical Partners GP LLC, the general partner of Westlake Chemical Partners LP.


Represents shares purchased in the Issuer's initial public offering.


Ordinary Shares

Represents restricted stock units ("RSUs") granted pursuant to the 2025 Omnibus Equity Incentive Plan of WhiteFiber, Inc. (the "Issuer"). Each RSU represents the right to receive one Ordinary Share of the Issuer.

These RSUs were granted upon the commencement of trading of the Issuer's Ordinary Shares on the Nasdaq Capital Market in connection with the Issuer's initial public offering. The RSUs immediately vested at the time of grant.


The reported sale of a total of 2,000 shares occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 8, 2025.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $126.60 - $127.58 for the sale of 208 shares; a range of $127.63 - $128.62 for the sale of 448 shares; a range of $128.64 - $129.63 for the sale of 817 shares; and a range of $129.64 - $130.37 for the sale of 527 shares for a total of 2,000 shares. The undersigned undertakes to provide Huron Consulting Group Inc. ("Huron"), any security holder of Huron 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 (2) to this Form 4.

/s/ Hope Katz, Attorney-in-fact for James H. Roth


Richard Whitaker Booth is a member of the Investment Committee of Fundrise Advisors LLC, the investment adviser of the Issuer.

/s/Darren Thayer, Attorney-in-Fact for Richard Whitaker Booth


The information provided reflects 10 shares acquired under the Company's DRIP, 229 shares acquired through the company's ESPP, and 238 shares acquired through the company's ESOP since January 29, 2025, which were not required to be reported on a Form 4.  This information is being furnished to disclose the total holdings of the insider as of the date of this Form 4.


Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

The price reported is the weighted average sale price for the transaction reported. The prices received ranged from $56.09 to $56.275. The reporting person will provide to the issuer, a security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each price within the range.

This option is 100% vested.

This option vests in three annual installments (33%, 33%, and 34%) beginning on the date shown.

These restricted stock units convert into shares of common stock on a 1-for-1 basis.

These restricted stock units vest in three annual installments (33%, 33%, and 34%) beginning on the date shown.

Amount includes restricted stock units acquired pursuant to a dividend equivalent reinvestment feature.


This transaction was executed in multiple trades at prices ranging from $36.75 to $36.84 per share. The price reported above reflects the weighted average sales 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.


Non-qualified Stock Option (Right to Buy)

Common Stock

Includes shares acquired under 3M's General Employee Stock Purchase Plan.

Includes shares acquired pursuant to 3M's Dividend Reinvestment Plan.

/s/ Patricia L. Meagher, attorney-in-fact for Christian T. Goralski, Jr.


Common Stock

This option was granted July 18, 2025, subject to shareholder approval of the stock option award. Orion Energy Systems, Inc.'s stockholders approved the stock option award on August 7, 2025.

This option becomes exercisable as follows: (i) the portion of the stock option exercisable for one-half of the option shares (250,000 shares) will vest in three equal increments on each of the first three anniversaries of the grant date, provided Ms. Washlow remains in Orion Energy Systems, Inc.'s employment until the applicable vesting date, and (ii) the second one-half of the grant (250,000 shares) will vest, if at all, in three equal increments if the average closing sale price of Orion Energy Systems, Inc.'s common stock, for five consecutive trading days during the three calendar years immediately following the date of the grant, equals or exceeds $3.00, $4.00 and $5.00, respectively, provided Ms. Washlow remains in Orion Energy Systems, Inc.'s employment until the applicable vesting date.

/s/ Steven R. Barth, Attorney-in-Fact for Sally A. Washlow


The price reported in Column 4 is a weighted average price resulting from shares sold in multiple transactions on August 7, 2025, pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 12, 2024, at prices ranging from $52.17 to $54.37, inclusive. The reporting person undertakes to provide to Blue Bird Corporation, any security holder of Blue Bird Corporation, 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.


Includes 121,296.5261 shares held jointly with spouse.


Common Stock

Represents the number of shares of common stock attributable to the Reporting Person's participation in The Sherwin-Williams Company 401(k) Plan per the trustee's 6/30/2025 statement.

These options were granted on October 16, 2019, and vested in three equal installments on each of the first three anniversaries of the date of grant, subject to vesting conditions.


Common Stock, par value $0.001 per share

Common Stock, par value $.001 per share

Common Stock, par value $.001 per share

Common Stock, par value $.001 per share

Common Stock, par value $.001 per share

Common Stock, par value $.001 per share

Sale price reflects the weighted average price of multiple trades executed at prices ranging from $1.96 to $2.03, on August 5, 2025. The reporting person undertakes to provide to the SEC staff, upon request, full information regarding the number of shares and prices at which the transaction was effected.

The options vest upon the achievement of specified revenue milestones as follows: with respect to 170,000 Shares, upon achievement of gross revenues of $10 million; with respect to an additional 330,000 Shares, upon achievement of gross revenues of $25 million; and with respect to the remaining 500,000 Shares, upon achievement of gross revenues of $50 million. They were issued in exchange for services pursuant to an Incentive Stock Option Agreement under the 2018 Incentive Stock Plan and expire ten years from the date of grant.

These options vested in instalments of 37,500 shares on each of 9/29/2019, 4/29/2020, 9/29/2020 and 4/29/2021. They were issued in exchange for services pursuant to an Incentive Stock Option Agreement under the 2018 Incentive Stock Plan.

These options vested on May 12, 2022. They were issued in exchange for services pursuant to an Incentive Stock Option Agreement under the 2018 Incentive Stock Plan.

These options vest over four years, in equal annual instalments of 250,000 shares, commencing on July 12, 2023, having currently vested as to 500,000 shares. They were issued in exchange for services pursuant to an Incentive Stock Option Agreement under the 2018 Incentive Stock Plan.

These RSUs vest in equal annual instalments of 100,000 shares, commencing on July 12, 2023 and have no expiration date or exercise price.


The Reporting Person received the shares as contingent merger consideration.


Common Stock

Options are fully vested and can be exercised at any time.


On July 22, 2025 and August 6, 2025, the Reporting Person transferred and pledged a total of 2,000,000 shares to Stock Loan Solutions, LLC ("Lender") as collateral for a non-recourse loan. The term of the loan is 3 years. The Reporting Person intends to use a portion of the proceeds from the term loan to liquidate some personal obligations. As beneficial owner of the shares pledged to it as collateral, Lender may take any and all actions with respect to such shares, including selling, assigning, transferring, pledging, hypothecating, lending, or encumbering the same, or enter into hedging arrangements, or create and trade derivative instruments backed by such shares as called for in the loan agreements.

Absent a default, the Reporting Person retains a conditional right to exercise the voting rights applicable to such shares. Within five business days of the Reporting Person's repayment of the loan, the Lender must transfer the Shares to the Reporting Person, subject to the Lender's right to withhold and set off against the Shares any sums owed to the Lender by the Reporting Person under the loan agreement. Despite the parties' intention for the Lender to transfer the Shares to the Reporting Person after the Loan is repaid, the Lender may be deemed to beneficially own the Shares during the Loan term.

Includes 1,000,000 shares issuable upon the exercise of incentive options.


Common Stock

Shares resulting from contingent merger consideration.

The Reporting Person is the beneficial owner of the shares which are owned by the Jon W. McGarity and Susan A. McGarity Revocable Trust.


Common Stock

The Reporting Person is the beneficial owner of the shares which are owned by The Samuel Zentman 2012 Irrevocable Trust.


The sale reported on this Form 4 represents an Issuer mandated sale by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of Restricted Stock Units, and it does not represent a discretionary trade by the Reporting Person. Pursuant to the Issuer's equity incentive plan, an award recipient's tax withholding obligations must be funded by a "sell to cover" transaction.

Certain of the shares are subject to forfeiture to the Issuer if underlying vesting conditions are not met.


Class B Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

The sale was effected pursuant to the Reporting Person's Rule 10b5-1 trading plan adopted on September 11, 2024.

The price reported in Column 4 is a weighted average sale price calculated by the broker executing the sales. These shares were sold in multiple transactions at prices ranging from $338.80 to $339.57, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average sale price calculated by the broker executing the sales. These shares were sold in multiple transactions at prices ranging from $339.81 to $340.77, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average sale price calculated by the broker executing the sales. These shares were sold in multiple transactions at prices ranging from $341.06 to $341.93, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average sale price calculated by the broker executing the sales. These shares were sold in multiple transactions at prices ranging from $342.08 to $342.91, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average sale price calculated by the broker executing the sales. These shares were sold in multiple transactions at prices ranging from $343.22 to $343.72, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average sale price calculated by the broker executing the sales. These shares were sold in multiple transactions at prices ranging from $344.47 to $345.31, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average sale price calculated by the broker executing the sales. These shares were sold in multiple transactions at prices ranging from $346.71 to $346.75, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average sale price calculated by the broker executing the sales. These shares were sold in multiple transactions at prices ranging from $348.76 to $349.49, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average sale price calculated by the broker executing the sales. These shares were sold in multiple transactions at prices ranging from $351.05 to $351.10, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average sale price calculated by the broker executing the sales. These shares were sold in multiple transactions at prices ranging from $352.50 to $352.99, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average sale price calculated by the broker executing the sales. These shares were sold in multiple transactions at prices ranging from $353.94 to $354.82, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average sale price calculated by the broker executing the sales. These shares were sold in multiple transactions at prices ranging from $355.01 to $355.15, inclusive. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

The shares subject to the option are fully vested and exercisable.

Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Each share of Class B Common Stock will convert automatically into one share of Class A Common Stock in connection with: (i) any transfer, whether or not for value, except for certain permitted transfers further described in the Issuer's amended and restated certificate of incorporation, (ii) such time as the aggregate number of shares of Class B Common Stock outstanding ceases to represent 5% of the aggregate number of shares of Common Stock outstanding, and (iii) the death of the Reporting Person.

Shares held by SBH Trust dated March 10, 2020, of which Reporting Person is Trustee.

/s/ Stephen Chen, as Attorney-in-Fact for Severin Hacker


CLASS A COMMON STOCK

CLASS A COMMON STOCK

CLASS A COMMON STOCK

Class B Common Stock is convertible into Class A Common Stock on a one-for-one basis at the option of the holder, upon any transfer and automatically upon the Final Conversion Dates (as defined
in the Issuer's Registration Statement on Form S-1, as amended (No. 333-205610) concerning the Issuer's initial public offering). The Class B Common Stock has no expiration date.

On August 5, 2025, the reporting person transferred 57,200 shares of Class B common stock to a revocable trust for the benefit of a family member for which the reporting person is a co-trustee and continues to beneficially own the shares held in the revocable trust. No value was received for the transferred shares. The shares remained subject to the HL Voting Trust (the "Voting Trust").

The reporting person is a trustee of the HL Voting Trust.  The trustees of the Voting Trust have shared voting control over the shares deposited into the Voting Trust.  The reporting person has a direct and indirect pecuniary interest in and investment control over the shares reported herein. All reported direct and indirect shares are held indirectly by the Voting Trust

/s/ J. Lindsey Alley, Attorney-in-Fact for Scott J. Adelson


The reported transaction involves a transfer of securities by bona fide gift for which no payment of consideration was received by the Reporting Person.


Includes 374 of Class A Common Stock acquired by the reporting person in one or more transactions with issuer pursuant to its Employee Stock Purchase Plan, which transactions are exempt pursuant to Rules 16a3(f)(1)(i)(B) and 16b3(c).


Represents shares that have been withheld by the Company to satisfy tax withholding and remittance obligations in connection with the net settlement of restricted stock units and does not represent a sale by the reporting person.


These shares were withheld for payment of the withholding taxes upon the vesting of the last installment of restricted stock units granted to the Reporting Person on August 5, 2022 pursuant to her employment agreement.

/s/ Jordan Frankel, Attorney-in-Fact for Nancy Disman


On August 6, 2025, the Reporting Person was awarded a total of 4,713 restricted share units ("RSUs") pursuant to the terms of the annual equity award to Non-Employee Directors under the Issuer's Amended and Restated 2017 Equity Incentive Plan as more fully described in the section titled "Fiscal Year 2025 Non-Employee Directors' Compensation" beginning on page 24 of the Issuer's Proxy Statement filed with the SEC on June 24, 2025. Each RSU represents a contingent right to receive one unrestricted, fully transferable share for each vested RSU which has not previously forfeited. The award shall vest in full on the date immediately prior to the date of Issuer's 2026 annual general meeting.

On August 6, 2025, the Reporting Person was awarded a total of 2,005 RSUs pursuant to the terms of the additional annual equity award to the Chairman of the Board under the Issuer's Amended and Restated 2017 Equity Incentive Plan as more fully described in the section titled "Fiscal Year 2025 Non-Employee Directors' Compensation" beginning on page 24 of the Issuer's Proxy Statement filed with the SEC on June 24, 2025. Each RSU represents a contingent right to receive one unrestricted, fully transferable share for each vested RSU which has not previously forfeited. The award shall vest in full on the date immediately prior to the date of Issuer's 2026 annual general meeting.

Consists of 6,718 unvested RSUs which vest in full on the date immediately prior to the date of Issuer's 2026 annual general meeting. Each unvested RSU represents a contingent right to receive one unrestricted, fully transferrable share for each vested RSU which has not been previously forfeited.

Shares held by the Denise P. Watkins u/a/d 01-0701994 William D. Watkins Trustee of Watkins Family Trust, of which the Reporting Person and his spouse are co-trustees and co-beneficiaries.

/s/ William D. Watkins, by Kristine Murphy as attorney-in-fact


Includes 4,713 unvested RSUs, which vest in full on the date immediately prior to the date of Issuer's 2026 annual general meeting. Each unvested RSU represents a contingent right to receive one unrestricted, fully transferrable share for each vested RSU which has not been previously forfeited.

/s/ Pat Ward, by Kristine Murphy as attorney-in-fact


/s/ Tan Lay Koon, by Kristine Murphy as attorney-in-fact


/s/ Maryrose Sylvester, by Kristine Murphy as attorney-in-fact


/s/ Charles K. Stevens III, by Kristine Murphy as attorney-in-fact


/s/ Erin L. McSweeney, by Kristine Murphy as attorney-in-fact


/s/ Michael E. Hurlston, by Kristine Murphy as attorney-in-fact


Common Stock, par value $0.01 per share

Common Stock, par value $0.01 per share

Each Restricted Stock Unit is the economic equivalent of one share of Calumet, Inc. common stock, par value $0.01 per share.

Each Restricted Stock Unit will become settled upon the earlier of the date specified by the reporting person or the reporting person's termination date. Restricted Stock Units are 100% vested.

Each Restricted Stock Unit will be settled upon the earlier of the date specified by the reporting person or the reporting person's termination date pursuant to the Deferred Compensation Plan. 25% of the Restricted Stock Units vest on July 1 of each year beginning on July 1, 2026.


/s/ John D. Harris II, by Kristine Murphy as attorney-in-fact


Common Stock, par value $0.01 per share

Common Stock, par value $0.01 per share


Represents shares of common stock withheld by the Issuer to satisfy tax withholding obligations of the Reporting Person in connection with the vesting of a portion of restricted stock units previously granted to the Reporting Person.


Common Stock

Common Stock

Common Stock

Common Stock

The acquisition represents the vesting of restricted stock granted to the reporting person on August 6, 2024. The shares vested on the first anniversary of the grant date.

Includes shares acquired under MBCN Dividend Reinvestment Plan

The award represents a grant of restricted stock which vests ratably over a three-year period provided that Mr. Zimmerly remains continuously employed by Middlefield as of each vesting date. Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. The details of the vesting conditions may be found in a Form 8K filing dated September 4, 2024.

Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. Vesting is subject to a time-based or service condition and a performance-based condition. The details of the vesting conditions may be found in a Form 8K filing dated March 17, 2023.

The award represents a grant of restricted stock which vests ratably over a three-year period provided that Mr. Zimmerly remains continuously employed by Middlefield as of each vesting date. Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. The details of the vesting conditions may be found in a Form 8K filing dated January 17, 2025.

/s/ Ronald L. Zimmerly, Jr. by Julie E. Shaw Power of Attorney


Non-voting common units of Alclear Holdings, LLC

Class A Common Stock

This transaction was automatically effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person on September 12, 2024.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $32 to $32.95, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, and 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.

Pursuant to the terms of the Exchange Agreement, dated June 29, 2021, by and among the Issuer, Alclear and the equityholders of Alclear (the "Exchange Agreement"), Common Units, together with a corresponding number of shares of Class C Common Stock, were exchanged for shares of Class A common stock of the Issuer ("Class A Common Stock") on a one-for-one basis. The exchange rights under the Exchange Agreement do not expire. The resulting shares of Class A Common Stock were used to settle the sale transactions described in footnotes 2 and 4, and so after the transactions reported in this Form 4, 12,725 shares of Class A Common Stock were held.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $33.04 to $34.03, inclusive. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, and 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.

Shares of Class C common stock of the Issuer ("Class C Common Stock") have one vote per share but no economic rights (including rights to dividends and distributions upon liquidation) and are issued in an equal amount to the number of non-voting common interest units ("Common Units") of Alclear Holdings, LLC ("Alclear") held.


This transaction was automatically effected pursuant to a Rule 10b5-1 trading plan previously adopted by the reporting person on November 22, 2024.


Represents an equal number of restricted stock units ("RSUs"). Each RSU represents the right to receive a share of the Issuer's common stock on the date it vests. These RSUs were granted subject to performance- and service-based vesting requirements. On August 5, 2025, the Compensation Committee of the Issuer's Board of Directors certified the level of achievement of the performance-based conditions. As a result, one hundred percent (100%) of the RSUs will vest on August 14, 2025, subject to continued service with the Issuer through such date.

Includes common stock owned and unvested restricted stock units.


Common Stock

Common Stock

The award represents a grant of restricted stock which vests ratably over a three-year period provided that Ms. Noblit remains continuously employed by Middlefield as of each vesting date. Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. The details of the vesting conditions may be found in a Form 8-K filing dated January 17, 2025.

The award represents a grant of restricted stock which vests ratably over a three-year period provided that Ms. Noblit remains continuously employed by Middlefield as of each vesting date. Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. The details of the vesting conditions may be found in a Form 8-K filing dated September 4, 2024.

/s/ Rebecca A. Noblit by Julie E. Shaw Power of Attorney


Weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.640 to $1.700 per share 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 purchased at each separate price within the range set forth above.


Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Shares withheld for payment of tax liability upon vesting of restricted stock units.

Each restricted stock unit represents the contingent right to receive, at settlement, one share of common stock.

Represents unvested restricted stock units ("RSUs") awarded prior to the Reporting Person becoming a Section 16 officer on June 2, 2025, which were inadvertently omitted from the Reporting Person's Form 3 filed with the Commission on June 12, 2025.

Includes 62,500 unvested RSUs from a previous grant of 250,000 RSUs granted on August 3, 2021; the RSUs vest in four equal annual installments, beginning on the first anniversary of the date of the grant.

Includes 176,186 unvested RSUs from a previous grant of 352,372 RSUs granted on September 20, 2022; the RSUs vest in four equal annual installments, beginning on the first anniversary of the date of the grant.

Includes 184,357 unvested RSUs from a previous grant of 245,809 RSUs granted on September 15, 2023; the RSUs vest in four equal annual installments, beginning on the first anniversary of the date of the grant.

Includes 167,075 unvested RSUs from a previous grant of 167,075 RSUs granted on September 19, 2024; the RSUs vest in four equal annual installments, beginning on the first anniversary of the date of the grant.

/s/ Aimee Weast by Aimee Weast, Attorney in Fact for Clayton M. Magouyrk (POA filed 6/12/2025)


Class A Common Stock

Class A Common Stock

Class A Common Stock

No shares of Class A Common Stock were transferred or sold upon the vesting of the restricted stock units ("RSUs").

Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock.

Represents RSU grant that is being issued in lieu of a quarterly cash retainer.

The RSUs were granted and became fully vested on August 5, 2025.

Represents annual equity grant.

The RSUs were granted on August 5, 2025 and shall vest in full on the earlier of the Issuer's annual meeting of shareholders in 2026 and the first anniversary of the grant date.


Class A Common Stock

This transaction is part of a related series of transactions undertaken on August 5, 2025 pursuant to a preexisting Rule 10b5-1 trading plan, intended to satisfy the affirmative defense conditions of Rule 10b5-1(c), entered into on March 12, 2025. The Reporting Person converted 30,000 shares of Class B Common Stock to Class A Common Stock and immediately sold the resulting shares of Class A Common Stock in the open market.

The Class B Common Stock is convertible into the Issuer's Class A Common Stock on a 1-for-1 basis and has no expiration date.

Officer title: Chief Revenue Officer and Chief Legal Officer. This Form 4 has been compiled based on applicable requirements to reflect the specific transactions described herein and is not intended to disclose or describe all shares and/or other equity securities owned or beneficially held by the Reporting Person. For additional details regarding the Reporting Person's overall stock and equity holdings, please see the Issuer's Proxy Statement filed with the Securities and Exchange Commission on April 25, 2025, including under the heading "Security Ownership Of Certain Beneficial Owners And Management" (subject to the definitions, explanations, and time periods described therein).

/s/ Justin V. Laubach, under power of attorney


Held by Levin Family 2015 Irrevocable Trust

Class A Common Stock

Class A Common Stock

Class A Common Stock

Represents annual equity grant.


Class A Common Stock

Class A Common Stock

Class A Common Stock

Represents annual equity grant.


Common Stock

Common Stock

Common Stock

The acquisition represents the vesting of restricted stock granted to the reporting person on August 6, 2024. The shares vested on the first anniversary of the grant date.

Includes shares acquired under MBCN Dividend Reinvestment Plan

Includes shares held jointly with spouse.

Each restricted stock unit represents the right to receive, at settlement, one share of common stock.

Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. Vesting is subject to a time-based or service condition and a performance-based condition. The details of the vesting conditions may be found in a Form 8K filing dated March 17, 2023.

The award represents a grant of restricted stock which vests ratably over a three-year period provided that Mrs. Erminio remains continuously employed by Middlefield as of each vesting date. Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. The details of the vesting conditions may be found in a Form 8-K dated September 4, 2024.

The award represents a grant of restricted stock which vests ratably over a three-year period provided that Mrs. Erminio remains continuously employed by Middlefield as of each vesting date. Until the award vests, the award confers no right to vote, no right to dividends, and no other shareholder rights to the recipient. the details of the vesting conditions may be found in a Form 8-K dated January 17, 2025.

/s/ Courtney M. Erminio by Julie E. Shaw Power of Attorney