Held by The John Philip Coghlan 2025 Grantor Retained Annuity Trust

The transaction reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 6, 2024. The Rule 10b5-1 trading plan is a pre-arranged written trading plan pursuant to which shares of Company stock are sold automatically based on a predetermined formula that was established by the Reporting Person at a time when the Reporting Person was not aware of any material nonpublic information about the Company.

The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $73.10 to $73.80, inclusive, per share. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full details regarding the number of shares sold at each separate price within the range.

The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $74.55 to $74.95, inclusive, per share. The Reporting Person undertakes to provide to the Issuer, any securityholder of the Issuer or the Staff of the Securities and Exchange Commission, upon request, full details regarding the number of shares sold at each separate price within the range.

Reflects 3,344 restricted stock units, each of which represents a contingent right to receive one share of the Issuer's common stock upon vesting.


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


Reflects the weighted average sales price for the reported transactions. The shares were sold in multiple transactions at prices ranging from $30.68 to $30.70, inclusive.

/s/ C. Malcolm Holland, III, by power of attorney


On August 1, 2025 the 2023 Grantor Retained Annuity Trust of James J. Kim Dated 4/26/2023 distributed 438,002 shares of the Common Stock of Amkor Technology, Inc. (the "Issuer") to the Reporting Person.

The Reporting Person disclaims beneficial ownership of these securities, except to the extent of the Reporting Person's pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities, except to the extent of the Reporting Person's pecuniary interest therein, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), or for any other purpose.

On August 1, 2025 the 2023 Grantor Retained Annuity Trust of Agnes C. Kim Dated 4/26/2023 distributed 280,000 shares of the Common Stock of the Issuer to the Reporting Person.

On August 1, 2025, the 2023 Grantor Retained Annuity Trust of James J. Kim Dated 4/26/2023 distributed 438,002 shares of the Common Stock of the Issuer to John T. Kim and 438,002 shares of the Common Stock of the Issuer to the Reporting Person.

The Reporting Person is (i) a trustee of trusts for the benefit of her immediate family members (other than grantor retained annuity trusts ("GRATs")) which own 4,418,610 shares of the Common Stock of the Issuer); (ii) a trustee of GRATs for the benefit of members of her immediate family which own 3,800,000 shares of the Issuer's Common Stock; (iii) a trustee of GRATs of which the Reporting Person was the settlor and is the sole annuitant which own 3,483,000 shares of the Issuer's Common Stock; (iv) a general partner of a limited partnership (Sujochil, LP) which owns 19,484,809 shares of the Issuer's Common Stock;

(Continued from Footnote 5) (v) a manager of a limited liability company being treated as a corporation for purposes of Section 16 which owns 16,710,668 shares of the Issuer's Common Stock and (vi) as referenced in Footnote 9, below, a member of Sujoda Management, LLC, which indirectly owns 3,789,479 shares of the Issuer's Common Stock. Pursuant to the Form 4 instructions, the Reporting Person is being treated as having a pecuniary interest in all of such shares.

On August 1, 2025, the 2023 Grantor Retained Annuity Trust of Agnes C. Kim Dated 4/26/2023 distributed 280,001 shares of the Common Stock of the Issuer to John T. Kim and 280,000 shares of the Common Stock of the Issuer to the Reporting Person.

On August 1, 2025, James J. Kim distributed 441,589 shares of the Common Stock of the Issuer to Sujoda Investments, LP pursuant to the terms of a transaction between members of the Kim family group.

The sole general partner of Sujoda Investments, LP is Sujoda Management, LLC. The Reporting Person is one of three members of Sujoda Management, LLC. Sujoda Management, LLC is being treated as a limited partnership for purposes of Section 16, and, pursuant to the Form 4 instructions, the Reporting Person has elected to treat all of the shares of the Issuer's Common Stock owned by Sujoda Investments, LP as beneficially owned by the Reporting Person.

(10) The Reporting Person states that the filing of this Form 4 shall not be deemed an admission that the Reporting Person is the beneficial owner of the reported securities owned by the other members of the group, for the purpose of Section 16, or for any other purpose.

Mark N. Rogers, Attorney-in-Fact for Susan Y. Kim


These shares were acquired on August 1, 2025 through the Gran Tierra Inc. Employee Stock Purchase Plan in a transaction that was exempt under both Rule 16b-3(d) and Rule 16b-3(c).

Purchase price of security was transacted in Canadian currency and converted to U.S. currency.


On March 5, 2025, the Reporting Person filed a Form 4 (the "Initial Form 4") to report transactions effected pursuant to a Rule 10b5-1 Plan adopted by the Reporting Person on November 04, 2024. This Form 4 is being filed to report additional transactions effected pursuant to the Rule 10b5-1 Plan that were not timely reported in the Initial Form 4 due to administrative error. The share amounts in this Form 4 reflect the Reporting Person's ownership following the transactions originally reported in the Initial Form 4 and the additional transactions reported on this Form 4.

The price reported in column 4 is an average price. These shares were sold in multiple transactions at prices ranging from $64.89 to $65.17, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer,  or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

These shares are held by the 2020 Jan Baszucki Gift Trust dtd 4/3/2020 of which the Bessemer Trust Company of Delaware, N.A. serves as trustee.   The spouse of the Reporting Person may be deemed to have beneficial ownership of the securities held by the Gift Trust.

A portion of these securities are Restricted Stock Units ("RSUs"). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock.

These shares are held directly by The Freedom Revocable Trust dated February 28, 2017 as amended, and for which the Reporting Person serves as trustee.

These shares are held by The Baszucki Family Foundation. The Reporting Person may be deemed to have beneficial ownership of the securities held by the Foundation.

These shares are held by the 2020 David Baszucki Gift Trust dtd 4/3/2020 for which the Bessemer Trust of Delaware, N.A. serves as trustee.  The Reporting Person may be deemed to have beneficial ownership of the securities held by the Gift Trust.

/s/ Mark Reinstra Attorney-in-Fact for David Baszucki


Common Stock

Each deferred stock unit represents a contingent right to receive one share of WSM common stock.

The reporting person elected to receive these deferred stock units, which were granted under the Issuer's 2001 Long-Term Incentive Plan, pursuant to the Issuer's Director Compensation Policy (the "Policy"), in lieu of the cash portion of the annual retainers under the Policy.

The deferred stock units are fully vested and will be delivered to the reporting person in June 2027, the end of the deferral period, subject to earlier delivery upon the occurrence of certain events.

/s/ David R. King, Attorney-in-Fact for Anne Finucane


Common Stock

The deferred stock units are fully vested and will be delivered to the reporting person in June 2028, the end of the deferral period, subject to earlier delivery upon the occurrence of certain events.

/s/ David R. King, Attorney-in-Fact for Andrew Campion


Non-voting common interest units of Virtu Financial LLC

Class A common stock

Virtu Financial Units and corresponding shares of Class C Common Stock were distributed to electing employees and then exchanged for shares of Class A Common Stock in accordance with the terms of the Exchange Agreement (as defined in Footnote 2).

Pursuant to the terms of Virtu Financial LLC's operating agreement, Virtu Financial LLC may repurchase Virtu Financial Units held by the reporting person on behalf of an employee or director upon such person's departure from the Company.


Common Shares

Common Shares

Common Shares

Common Shares

Common Shares

Common Shares

Common Shares

This transaction represents accelerated vesting and settlement of previously granted Restricted Stock Units in connection with the completion of Array's sale of its wireless operations and select spectrum assets.

Shares withheld to pay taxes.

This transaction represents accelerated vesting and settlement of previously granted Performance Share Units in connection with the completion of Array's sale of its wireless operations and select spectrum assets.

This transaction represents accelerated vesting and cash settlement of Restricted Stock Units and Performance Share Units in connection with the completion of Array's sale of its wireless operation and select spectrum assets.

On March 3, 2025, reporting person was granted an award based on achievement of certain performance measures at 75% of the target opportunity as of the grant date. In connection with the completion of Array's sale of its wireless operation and select spectrum assets, reporting person's performance share units were accelerated for vesting to 100% of target.


Restricted stock units granted on August 1, 2025. Price not applicable.


Common Stock

The deferred stock units are fully vested and will be delivered to the reporting person in June 2036, the end of the deferral period, subject to earlier delivery upon the occurrence of certain events.

/s/ David R. King, Attorney-in-Fact for Esi Eggleston Bracey


Dee Ann Nazarenus has retired from her position of Vice President, Human Resources and Administration of the Issuer effective August 1, 2025.


Represents shares that have been withheld by the Issuer to satisfy income tax and withholding and remittance obligations in connection with the net settlement of RSUs (as defined herein) and does not represent a sale by the Reporting Person.

By: Kristin Johnston, Attorney-in-fact For: the Reporting Person


The shares are owned by the Kevin Earnest Hartz & Julia D. Hartz TTEES the Hartz Family Revocable Trust Dtd 12/4/08 of which the Reporting Person is a co-trustee.

Held by Kevin Hartz, who is the Chairman of the Issuer's Board of Directors and the spouse of the Reporting Person, and as such may be deemed to be beneficially held by the Reporting Person.


The reporting person elected to receive these fully vested shares, which were granted under the Issuer's 2001 Long-Term Incentive Plan, pursuant to the Issuer's Director Compensation Policy (the "Policy"), in lieu of the cash portion of the annual retainers under the Policy.

/s/ David R. King, Attorney-in-Fact for Arianna Huffington


Common Stock

Includes 458 shares underlying unvested restricted stock awards granted to the Reporting Person by the Issuer on September 3, 2024, 265 shares underlying unvested restricted stock awards granted to the Reporting Person by the Issuer on December 2, 2024, 266 shares underlying unvested restricted stock awards granted to the Reporting Person by the Issuer on March 3, 2025 and 888 shares underlying unvested restricted stock awards granted to the Reporting Person by the Issuer on June 2, 2025. 100% of the shares underlying the restricted stock awards will vest on the one-year anniversary of the grant date provided the Reporting Person satisfies certain requirements.

Transfer of shares without consideration to the Sean and Molly Maduck Living Trust.

Represents the shares held by Sean and Molly Maduck Living Trust of which the Reporting Person is a co-trustee.

Transfer of shares without consideration to the SNM 2025 Grantor Retained Annuity Trust.

Represents the shares held by SNM 2025 Grantor Retained Annuity Trust of which the Reporting Person is the trustee.

This transaction was made pursuant to a 10b5-1 plan adopted by the Reporting Person on September 5, 2024 in effect at the time of this transaction.

Represents the weighted average sale price for the entire number of shares sold. The actual sale prices range from $67.17 to $68.10 per share. Information on the exact number of shares sold at each sale price can be obtained from the Issuer upon request.

Represents the weighted average sale price for the entire number of shares sold. The actual sale prices range from $68.17 to $69.13 per share. Information on the exact number of shares sold at each sale price can be obtained from the Issuer upon request.

Represents the weighted average sale price for the entire number of shares sold. The actual sale prices range from $69.48 to $69.74 per share. Information on the exact number of shares sold at each sale price can be obtained from the Issuer upon request.

Represents the shares held by Duckhill Capital, LLC of which the Reporting Person is President and disclaims beneficial ownership of the shares except to the extent of his pecuniary interest therein.

Fully exercisable.

President, Corcept Endocrinology
The power of attorney under which this form was signed is on file with the Commission.

/s/ Joseph Douglas Lyon, as attorney-in-fact for Sean Maduck


This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on November 26, 2024 in effect at the time of this transaction.

Represents the weighted average sale price for the entire number of shares sold. The actual sale prices range from $67.42 to $68.33 per share. Information on the exact number of shares sold at each sale price can be obtained from the Issuer upon request.

Reporting Person has voting power over the shares held by the Joseph K. Belanoff and Katherine A. Blenko Revocable Living Trust DTD 04/29/02 pursuant to voting agreements and disclaims beneficial ownership of all of such shares, except to the extent of his pecuniary interest therein.

Represents the weighted average sale price for the entire number of shares sold. The actual sale prices range from $68.43 to $69.42 per share. Information on the exact number of shares sold at each sale price can be obtained from the Issuer upon request.

Represents the weighted average sale price for the entire number of shares sold. The actual sale prices range from $69.4412 to $69.77 per share. Information on the exact number of shares sold at each sale price can be obtained from the Issuer upon request.

The power of attorney under which this form was signed is on file with the Commission.

/s/ Joseph Douglas Lyon, as attorney-in-fact for Joseph K. Belanoff.


/s/ David R. King, Attorney-in-Fact for  William J. Ready


Common Stock

Includes 372 shares underlying unvested restricted stock awards granted to the Reporting Person by the Issuer on September 3, 2024, 215 shares underlying unvested restricted stock awards granted to the Reporting Person by the Issuer on December 2, 2024, 216 shares underlying unvested restricted stock awards granted to the Reporting Person by the Issuer on March 3, 2025 and 749 shares underlying unvested restricted stock awards granted to the Reporting Person by the Issuer on June 2, 2025. 100% of the shares underlying the restricted stock awards will vest on the one-year anniversary of the grant date provided the Reporting Person satisfies certain requirements.

The transaction was made pursuant to a 10b5-1 plan adopted by the Reporting Person on August 30, 2024 in effect at the time of this transaction.

Represents the weighted average sale price for the entire number of shares sold. The actual sale prices range from $67.24 to $67.945 per share. Information on the exact number of shares sold at each sale price can be obtained from the Issuer upon request.

Fully exercisable.


Common Stock

Represents the number of shares withheld upon vesting of restricted stock units to cover tax withholding obligations.

Represents the number of shares held by the reporting person in the Williams-Sonoma, Inc. Stock Fund under the Williams-Sonoma, Inc. 401(k) Plan, based on a statement dated August 1, 2025.

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

These restricted stock units vest in four equal installments on 8/1/2024, 8/1/2025, 8/1/2026 and 8/1/2027.

The restricted stock units are cancelled upon vesting and delivery of shares of WSM common stock.

/s/ David R. King, Attorney-in-Fact for Monica Bhargava


The reported transaction involved the Reporting Person's receipt of 24,079 restricted shares of common stock pursuant to the High Roller Technologies, Inc. 2024 Equity Incentive Plan.

Includes indirect beneficial ownership of 119,305 shares of common stock of the Issuer. Mr. Bradtke is the ultimate beneficiary owner of DJLD Investments Limited ("DJLD") and has sole voting and dispositive power over the shares held by DJLD.


By: /s/ Eric Verity Attorney In Fact For: Jennifer Lloyd


This transaction was executed pursuant to a trading plan entered into by the Reporting Person on August 29, 2024, in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

In accordance with SEC guidance authorizing aggregate reporting of same-day purchases and sales, the shares were sold in multiple transactions at prices ranging from $49.37 to $50.36, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

In accordance with SEC guidance authorizing aggregate reporting of same-day purchases and sales, the shares were sold in multiple transactions at prices ranging from $50.37 to $51.29, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

/s/ Corey Dufresne, Attorney-in-Fact for William M. Boyd, III


Class A Common Stock

Restricted stock units convert into Class A common stock on a one-for-one basis.

This transaction represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting and settlement of restricted stock units. These sales were mandated by the Issuer's election under its equity incentive plans to require the satisfaction of a tax withholding obligation to be funded by a "sell to cover" transaction, and do not represent discretionary trades by the Reporting Person.

In accordance with SEC guidance authorizing aggregate reporting of same-day purchases and sales, the shares were sold in multiple transactions at prices ranging from $55.27 to $55.89, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Each restricted stock unit represents a contingent right to receive one share of the Issuer's Class A common stock.

On November 3, 2023, the Reporting Person was granted 171,027 restricted stock units that vest as follows:  1/3 of the restricted stock units vest on November 3, 2024, and 1/12 of the restricted stock units vest quarterly thereafter, subject to the Reporting Person continued service with the Issuer on the applicable vesting dates.

/s/ Corey Dufresne, Attorney-in-Fact for Carol J. Hibbard


Represents shares received as consideration in a business acquisition by the Issuer.

Shares held of record by Andreessen Horowitz Fund VIII, L.P., for itself and as nominee for Andreessen Horowitz Fund VIII-B, L.P., AH 2022 Annual Fund, L.P., AH 2022 Annual Fund-B, L.P., AH 2022 Annual Fund-QC, L.P. and CLF Partners III, LP (collectively the "AH Fund VIII Entities").

AH Equity Partners VIII, L.L.C. ("AH EP VIII"), the general partner of the AH Fund VIII Entities, may be deemed to have sole voting and dispositive power over the shares held by the AH Fund VIII Entities. The reporting person and Benjamin Horowitz are the managing members of AH EP VIII and may be deemed to have shared voting and dispositive power over the shares held by the AH Fund VIII Entities. The reporting person disclaims the existence of a "group" and disclaims beneficial ownership of the securities held by the AH Fund VIII Entities and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities, except to the extent of his pecuniary interest therein, if any.

Shares held of record by the LAMA Community Trust, of which the reporting person and his spouse are trustees.

/s/ Erin Guldiken, attorney-in-fact for Marc L. Andreessen


Common  Stock

Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with Restricted Stock Unit vesting events. The Reporting Person did not initiate the sale.

Each Restricted Stock Unit represents a contingent right to receive one share of the Issuer's Common Stock upon vesting.

On  August 2, 2022, the Reporting Person was granted 5,000 Restricted Stock Units, one-third of which vested on August 2, 2023, one-third of which vested on August 2, 2024 and one third of which vested on August 2, 2025, generally subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's 2013 Equity Incentive Plan) through the applicable vesting date.

/s/ Celeste Rasmussen Peiffer, as Attorney-in-Fact


Common Stock

Common Stock

Immediately prior to the closing of the Issuer's initial public offering, the shares of preferred stock of the Issuer automatically converted into shares of Common Stock on a one-for-0.052410901 basis without payment or further consideration. There was no expiration date for the shares of preferred stock.

Held directly by Cooperatieve Gilde Healthcare V U.A. ("Gilde"). Gilde Healthcare V Management B.V. is the managing director of Gilde and has sole voting and dispositive power with respect to the shares held by Gilde. Gilde Healthcare V Management B.V. is owned by Gilde Healthcare Holding B.V. The managing partners of Gilde Healthcare Holding B.V. are Manapouri B.V. (of which Edwin de Graaf is the owner and managing director) and Martemanshurk B.V. (of which Pieter van der Meer is the owner and managing director). Geoff Pardo is a partner at Gilde and may be deemed to share voting and dispositive power with respect to the shares held of record by Gilde. Mr. Pardo disclaims beneficial ownership of such holdings, except to the extent of his pecuniary interest in the shares.


Common Stock, $0.001 par value per share ("Common Stock")

The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.25 to $10.45, 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 (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

The shares of Common Stock reported herein are held directly by (a) Coliseum Capital Partners, L.P. ("CCP"), an investment limited partnership of which Coliseum Capital, LLC, a Delaware limited liability company ("CC"), is general partner and for which Coliseum Capital Management, LLC, a Delaware limited liability company ("CCM"), serves as investment adviser; and (b) a separate account investment advisory client of CCM (the "Separate Account").

Christopher S. Shackelton ("Shackelton") and Adam Gray ("Gray") are managers of and have an ownership interest in each of CCM and CC. Each of Shackelton, Gray, CCP, the Separate Account, CC and CCM disclaims beneficial ownership of these securities except to the extent of that person's pecuniary interest therein.

The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.49 to $10.50, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.74  to $10.89, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

Following the transactions reported herein, CCP directly owned 12,022,428 shares of Common Stock and the Separate Account directly owned 2,725,446 shares of Common Stock.


The sales reported were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 27, 2024.

Shares held of record jointly by the reporting person and the reporting person's spouse as trustees of the Alford Family Revocable Trust.

/s/ Erin Guldiken, attorney-in-fact for Peggy Alford


Represents Restricted Stock Units ("RSUs") that vest as to 40% of the RSUs on July 20, 2026, with the remaining 60% of the RSUs vesting on July 20, 2027, subject to the Reporting Person's continued service through the applicable vesting date. Each RSU represents the right to receive one share of common stock upon vesting.

Includes an aggregate of 12,861 shares of common stock previously acquired by the Reporting Person under the Issuer's Employee Stock Purchase Plan.

/s/ Hanjoon Alex Kim by Tomone Tanaka, Attorney-in-Fact


Common Stock

Additionally, the reporting person owns 19,914 shares of common stock in his ESOP account


Common  Stock

Reported transaction is an automatically-triggered "sell-to-cover" transaction related to the payment of withholding tax obligations pursuant to the Issuer's policy for tax withholdings associated with  Restricted Stock Unit vesting events. The Reporting Person did not initiate the sale.

On  August 2, 2022, the Reporting Person was granted 10,000 Restricted Stock Units, one-third of which vested on August 2, 2023, one-third of which vested on August 2, 2024 and one third of which vested on August 2, 2025, generally subject to the Reporting Person continuing to be a Service Provider (as such term is defined in the Issuer's 2013 Equity Incentive Plan) through the applicable vesting date.


Represents the withholding of shares by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting and settlement of previously reported restricted stock units.


The sale reported on this Form 4 represents shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of Restricted Stock Units.

The price reported in Column 4 is a weighted average sale price. The shares were sold in multiple transactions at prices ranging from $13.965 to $14.675, 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 securities are held of record by The John Franklin Watanabe Trust, of which the Reporting Person is the trustee. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes.

The securities are held of record by The Anderson Prest Watanabe Irrevocable Trust, of which the Reporting Person is the trustee. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes.

The securities are held of record by Watanabe Ventures, LLC, of which the Reporting Person is the Chief Operating Officer.  The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes.

The securities are held of record by The Watanabe 2016 Irrevocable Trust, of which the Reporting Person's children are beneficiaries. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein, and the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of such securities for purposes of Section 16 or for any other purposes.

Reporting Person's title: President and Chief Executive Officer

/s/ Latha Vairavan, Attorney-in-Fact for Todd Franklin Watanabe


Reporting Person's Title: Executive Vice President and Chief Medical Officer

/s/ Latha Vairavan, Attorney-in-Fact for Patrick Burnett


The price reported in Column 4 is a weighted average sale price. The shares were sold in multiple transactions at prices ranging from $13.98 to $14.67, 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.

/s/ Masaru Matsuda, Attorney-in-Fact for Latha Vairavan


Non-Qualified Stock Option (Right to Buy)

Common Stock

/s/ John O. Faurescu, attorney-in-fact for Dr. Malik


Includes 1,095 shares purchased  under the Issuer's Employee Stock Purchase Plan on May 31, 2025.

Reporting Person's title: SVP General Counsel and Corporate Secretary

/s/ Latha Vairavan, Attorney-in-Fact for Masaru Matsuda


Common Stock

Common Stock

The transactions reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted on March 11, 2025, by the Reporting Person, with a plan end date of May 29, 2026.

The price reported in Column 4 is a weighted average sale price. The shares were sold in multiple transactions at prices ranging from $14.14 to $14.55, 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.

This option is fully vested.

/s/ Latha Vairavan, as Attorney-in-Fact for Howard G. Welgus


Common Stock

Common Stock

Common Stock

Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of restricted stock units.

The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 10, 2024.

Represents the weighted average sale price. The lowest price at which shares were sold was $96.69 and the highest price at which shares were sold was $97.64. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the ranges set forth in footnotes (4), (5) and (6) to this Form 4.

Represents the weighted average sale price. The lowest price at which shares were sold was $97.70 and the highest price at which shares were sold was $98.69.

Represents the weighted average sale price. The lowest price at which shares were sold was $98.70 and the highest price at which shares were sold was $99.33.

These securities are held by the 2010 K.A. Family Trust dated May 3, 2010, for which the Reporting Person serves as a trustee.

These securities are held by the KAXX Trust under the K.A. Children's Trust dated February 9, 2011, for which the Reporting Person and his spouse serve as trustees.

These securities are held by the KAJJ Trust under the K.A. Children's Trust dated February 9, 2011, for which the Reporting Person and his spouse serve as trustees.

These securities are held by a grantor retained annuity trust for the benefit of the Reporting Person.

These securities are held by a grantor retained annuity trust for the benefit of the Reporting Person's spouse.

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

25% of the RSUs vested on February 1, 2023, and the remaining 75% of the RSUs will vest in equal installments on each quarterly anniversary thereafter, until such time as the RSUs are 100% vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon settlement.

RSUs do not expire; they either vest or are canceled prior to the vesting date.

25% of the RSUs vested on February 1, 2024, and the remaining 75% of the RSUs will vest in equal installments on each quarterly anniversary thereafter, until such time as the RSUs are 100% vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon settlement.

25% of the RSUs will vest on February 1, 2025, and the remaining 75% of the RSUs will vest in equal installments on each quarterly anniversary thereafter, until such time as the RSUs are 100% vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon settlement.


On August 1, 2025, pursuant to the Agreement and Plan of Merger dated as of May 3, 2024, by and between Uniti Group LLC, a Delaware limited liability company (f/k/a Uniti Group Inc.) ("Old Uniti"), New Windstream, LLC, a Delaware limited liability company ("Windstream") (as successor to Windstream Holdings II, LLC, a Delaware limited liability company), New Uniti HoldCo LP, a Delaware limited partnership, and New Windstream Merger Sub, LLC, a Delaware limited liability company and indirect wholly owned subsidiary of Windstream, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of July 17, 2024, (i) each share of Old Uniti common stock

(Footnote 1 continued) ("Old Uniti Common Stock") held by the reporting person was converted into the right to receive 0.6029 shares of common stock of Uniti Group Inc., a Delaware corporation (f/k/a Windstream Parent, Inc.) ("New Uniti Common Stock"), together with cash in lieu of fractional shares and (ii) each award of restricted shares of Old Uniti Common Stock held by the reporting person (each, an "Old Uniti Restricted Stock Award") was converted into an award of restricted shares of New Uniti Common Stock (each, a "New Uniti Restricted Stock Award") subject to the same terms and conditions

(Footnote 2 continued) (x) the number of shares of Old Uniti Common Stock subject to the corresponding Old Uniti Restricted Stock Award and (y) 0.6029 (rounded up or down to the nearest whole share). Cash in lieu of fractional shares of New Uniti Common Stock will be calculated by multiplying the closing sale price of a share of New Uniti Common Stock on Nasdaq on August 4, 2025 by the fraction of a share of New Uniti Common Stock to which the reporting person would otherwise have been entitled, without interest and subject to any withholding of taxes.

/s/ SCOTT G. BRUCE BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


Represents the withholding of shares by the Issuer to satisfy the Reporting Person's tax withholding obligations in connection with the vesting and settlement of previously reported restricted stock units.

Amount beneficially owned in trust by DH Holdings (fka Jason R. Krantz 2009 Trust), of which the reporting person is the beneficiary.


Common Stock

Subject to the Reporting Person's continued service to the Issuer, the option vests and becomes 100% exercisable on April 13, 2029.


Common Stock

Common Stock

Common Stock

Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of RSUs.


Common Stock

Subject to the Reporting Person's continued service to the Issuer, the option vests and becomes 100% exercisable on May 23, 2029.


Common Stock


Common Stock

Subject to the Reporting Person's continued service to the Issuer, the option vests and becomes 100% exercisable on May 3, 2029.


(Footnote 1 continued) ("Old Uniti Common Stock") held by the reporting person was converted into the right to receive 0.6029 shares of common stock of Uniti Group Inc., a Delaware corporation (f/k/a Windstream Parent, Inc.) ("New Uniti Common Stock"), together with cash in lieu of fractional shares and (ii) each award of restricted shares of Old Uniti Common Stock held by the reporting person (each, an "Old Uniti Restricted Stock Award") was converted into an award of restricted shares of New Uniti Common Stock (each, a "New Uniti Restricted Stock Award") subject to the same terms and conditions as were applicable to the corresponding Old Uniti Restricted Stock Award, with the number of shares of New Uniti Common Stock subject to such New Uniti Restricted Stock Award equal to the product of

/s/ KENNY GUNDERMAN BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


Common Stock

Subject to the Reporting Person's continued service to the Issuer, the option vests and becomes 100% exercisable on June 5, 2029.


Common Stock

Common Stock

Common Stock

Nonqualified Stock Option (right to buy)

Common Stock

The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 9, 2024.

Represents the weighted average sale price. The lowest price at which shares were sold was $96.69 and the highest price at which shares were sold was $97.66. The Reporting Person undertakes to provide upon request to the staff of the Securities and Exchange Commission, the Issuer or its stockholders, full information regarding the total number of shares sold at each separate price within the ranges set forth in footnotes (4), (5) and (6) to this Form 4.

Represents the weighted average sale price. The lowest price at which shares were sold was $97.71 and the highest price at which shares were sold was $98.70.

Represents the weighted average sale price. The lowest price at which shares were sold was $98.71 and the highest price at which shares were sold was $99.32

These securities are held by a grantor retained annuity trust for the benefit of the Reporting Person.

These securities are held by a grantor retained annuity trust for the benefit of the Reporting Person's spouse.

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

25% of the RSUs vested on February 1, 2023, and the remaining 75% of the RSUs will vest in equal installments on each quarterly anniversary thereafter, until such time as the RSUs are 100% vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon settlement.

RSUs do not expire; they either vest or are canceled prior to the vesting date.

25% of the RSUs vested on February 1, 2024, and the remaining 75% of the RSUs will vest in equal installments on each quarterly anniversary thereafter, until such time as the RSUs are 100% vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon settlement.

25% of the RSUs will vest on February 1, 2025, and the remaining 75% of the RSUs will vest in equal installments on each quarterly anniversary thereafter, until such time as the RSUs are 100% vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon settlement.

1/4 of the shares subject to the option vested on February 21, 2020 and 1/48 of the shares subject to the option vest monthly thereafter.


On August 1, 2025, pursuant to the Agreement and Plan of Merger dated as of May 3, 2024, by and between Uniti Group LLC, a Delaware limited liability company (f/k/a Uniti Group Inc.) ("Old Uniti"), New Windstream, LLC, a Delaware limited liability company ("Windstream") (as successor to Windstream Holdings II, LLC, a Delaware limited liability company), New Uniti HoldCo LP, a Delaware limited partnership, and New Windstream Merger Sub, LLC, a Delaware limited liability company and indirect wholly owned subsidiary of Windstream, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of July 17, 2024, (i) each share of Old Uniti common stock

(Footnote 2 continued) (x) the number of shares of Old Uniti Common Stock subject to the corresponding Old Uniti Restricted Stock Award and (y) 0.6029 (rounded up or down to the nearest whole share). Cash in lieu of fractional shares of New Uniti Common Stock will be calculated by multiplying the closing sale price of a share of New Uniti Common Stock on Nasdaq on August 4, 2025 by the fraction of a share of New Uniti Common Stock to which the reporting person would otherwise have been entitled, without interest and subject to any withholding of taxes.

/s/ MICHAEL FRILOUX BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


Represents Restricted Stock Units ("RSUs") that vest as to 25% of the RSUs on August 1, 2026, with the remaining 75% of the RSUs vesting in three equal annual installments thereafter, subject to the Reporting Person's continued service through the applicable vesting date. Each RSU represents the right to receive one share of common stock upon vesting.

Includes 5,000 shares  previously acquired by the Reporting Person under the Issuer's Employee Stock Purchase Plan.

/s/ Michael Egholm by Tomone Tanaka,  Attorney-in-Fact


Common Stock

Subject to the Reporting Person's continued service to the Issuer, the option vests and becomes 100% exercisable on June 2, 2029.


Common Stock

Subject to the Reporting Person's continued service to the Issuer, the option vests and becomes 100% exercisable on June 3, 2029.


Represents shares that were withheld to satisfy tax withholding obligations upon vesting of restricted stock units. This does not represent a sale by the Reporting Person.

The amount reported includes shares subject to unvested restricted stock units.


Subject to the reporting person's continued service on the issuer's board of directors, these shares will vest in four equal installments on August 1 of each year with the first vesting date being August 1, 2026.

Subject to the reporting person's continued service on the issuer's board of directors, these shares will vest in full on August 1, 2026.

/s/ RANDY DUNBAR BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


Common Stock

Vesting of restricted stock units ("RSUs") previously granted to the Reporting Person.

Exempt transaction pursuant to Section 16b-3(e) - payment of exercise price or tax liability by delivering or withholding securities incident to the receipt, exercise or vesting of a security issued in accordance with Rule 16b-3. All of the shares reported as disposed of in this Form 4 were relinquished by the Reporting Person and cancelled by the Issuer in exchange for the Issuer's agreement to pay federal and state tax withholding obligations of the Reporting Person resulting from the vesting of restricted stock units.

The reported transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 7, 2025.

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

25% of the RSUs will vest on May 1, 2025, and the remaining 75% of the RSUs will vest in equal installments on each quarterly anniversary thereafter, until such time as the RSUs are 100% vested, subject to the Reporting Person's provision of service to the Issuer on each vesting date. Shares of the Issuer's common stock will be delivered to the Reporting Person upon settlement.

RSUs do not expire; they either vest or are canceled prior to the vesting date.


(Footnote 1 continued) ("Old Uniti Common Stock") held by the reporting person was converted into the right to receive 0.6029 shares of common stock of Uniti Group Inc., a Delaware corporation (f/k/a Windstream Parent, Inc.) ("New Uniti Common Stock"), together with cash in lieu of fractional shares and (ii) each award of restricted shares of Old Uniti Common Stock held by the reporting person (each, an "Old Uniti Restricted Stock Award") was converted into an award of restricted shares of New Uniti Common Stock (each, a "New Uniti Restricted Stock Award") subject to the same terms and conditions as were applicable to the corresponding Old Uniti Restricted Stock Award, with the number of shares of New Uniti Common Stock subject to such New Uniti Restricted Stock Award equal to the product of

/s/ FRANCIS X. FRANTZ BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


On August 1, 2025, pursuant to the Agreement and Plan of Merger dated as of May 3, 2024, by and between Uniti Group LLC, a Delaware limited liability company (f/k/a Uniti Group Inc.) ("Old Uniti"), New Windstream, LLC, a Delaware limited liability company ("Windstream") (as successor to Windstream Holdings II, LLC, a Delaware limited liability company), New Uniti HoldCo LP, a Delaware limited partnership, and New Windstream Merger Sub, LLC, a Delaware limited liability company and indirect wholly owned subsidiary of Windstream, as amended by Amendment No. 1 to the Agreement and Plan of Merger, dated as of July 17, 2024, (i) each share of Old Uniti common stock

(Footnote 2 continued) (x) the number of shares of Old Uniti Common Stock subject to the corresponding Old Uniti Restricted Stock Award and (y) 0.6029 (rounded up or down to the nearest whole share). Cash in lieu of fractional shares of New Uniti Common Stock will be calculated by multiplying the closing sale price of a share of New Uniti Common Stock on Nasdaq on August 4, 2025 by the fraction of a share of New Uniti Common Stock to which the reporting person would otherwise have been entitled, without interest and subject to any withholding of taxes.

/s/ PAUL BULLINGTON BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


/s/ JOHN HARROBIN BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


/s/ TRAVIS BLACK BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


/s/ MARY MCLAUGHLIN BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


The sale reported on this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted on February 25, 2025.


/s/ CARMEN PEREZ-CARLTON BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


Common Stock, $0.10 par value

Each restricted stock unit converts into one share of common stock upon vesting.

The restricted share units will vest in four equal annual installments on the first, second, third, and fourth anniversaries of the grant date.

/s/ Sophie M. Bail, attorney-in-fact for Cristian Massacesi


Class A common stock, $0.0001 par value per share

Represents a grant of Restricted Stock Units ("RSUs"), which will be settled in shares of the Issuer's common stock upon vesting. 100% of the RSUs will become vested on the date of the Issuer's 2026 Annual Meeting of Stockholders.

/s/ Melissa M. Tomkiel, as attorney-in-fact for Andrew C. Lauck


/s/ Melissa M. Tomkiel, as attorney-in-fact for Edward M. Philip


/s/ HAROLD A. ZEITZ BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


Represents shares that were acquired upon the certification of the Compensation Committee of the Issuer's Board of Directors of the satisfaction of performance criteria underlying an award of performance-based restricted stock units ("PSUs") granted to the Reporting Person on March 8, 2024.

Represents shares withheld by the Issuer to satisfy tax withholding obligations in connection with the vesting of PSUs

/s/ Melissa M. Tomkiel, Attorney-in-fact for Amir Cohen


Subject to the reporting person's continued service on the issuer's board of directors, these shares will vest in four equal installments on August 1 of each year with the first vesting date being August 1, 2026.

Subject to the reporting person's continued service on the issuer's board of directors, these shares will vest in full on August 1, 2026.

/s/ PAUL SUNU BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


The reported securities are held by the Eric L Affeldt Living Trust for which the Reporting Person serves as the trustee.

/s/ Melissa M. Tomkiel, as attorney-in-fact for Eric Affeldt


/s/ Melissa M. Tomkiel, Attorney-in-fact for Robert S. Wiesenthal


This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 25, 2024.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.94 to $4.96, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4.


/s/ Melissa M. Tomkiel, as attorney-in-fact for John Borthwick


/s/ Melissa M. Tomkiel, as attorney-in-fact for William A. Heyburn


/s/ Melissa M. Tomkiel, as attorney-in-fact for Susan M. Lyne


Kenneth Lerer disclaims beneficial ownership of the reported securities, except to the extent of any pecuniary interest therein.

Held directly by Lerer Hippeau Ventures V, LP. Kenneth Lerer is the Managing Member of Lerer Hippeau Ventures V GP, LLC, the general partner of Lerer Hippeau Ventures V, L.P.

Held directly by Lerer Hippeau Ventures Select Fund, LP. Kenneth Lerer is the Managing Member of Lerer Hippeau Ventures Select Fund GP, LLC, the general partner of Lerer Hippeau Ventures Select Fund, L.P.

/s/ Melissa M. Tomkiel, as attorney-in-fact for Kenneth B. Lerer


/s/ Melissa M. Tomkiel, as attorney-in-fact for Reginald Love


/s/ JOSEPH M. NATALE BY: DANIEL L. HEARD, ATTORNEY-IN-FACT


Common Shares

Restricted stock units convert into common shares on a one-for-one basis.

Shares withheld to satisfy the tax withholding obligation applicable to the vesting of a portion of a restricted stock unit award.

On August 1, 2023, the reporting person was granted 6,211 restricted stock units, vesting in three equal annual installments beginning on August 1, 2024.


Reflects a restricted stock award granted in 2025.

/s/ Andrea L. Stangl, Attorney-in-fact for Timothy M. Burke, Jr.


The transactions reported on this Form 4 were effected pursuant to a 10b5-1 trading plan adopted on March 13, 2025.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $236.96 to $237.95 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $237.96 to $238.95 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $238.97 to $239.71 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $240.11 to $240.94 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $241.28 to $241.38 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $237.18 to $238.17 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $238.20 to $239.19 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $239.20 to $240.18 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $240.18 to $240.23 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $236.97 to $237.96 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $237.97 to $238.96 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $238.97 to $239.83 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $239.98 to $240.97 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $240.98 to $241.26 per share. The holder undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Solely for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, and the rules and regulations promulgated thereunder ("Section 16"), each Reporting Person may be deemed to be a director-by-deputization by virtue of the fact that each of Timotheus Hoettges, Chief Executive Officer of DT, Dr. Christian P. Illek, Board Member for Finance of DT, Raphael Kubler, Senior Vice President of the Corporate Operating Office of DT and Managing Director of Deutsche Telekom Holding B.V., Thorsten Langheim, Board Member for USA and Group Development of DT, and Dominique Leroy, Board Member for Europe of DT, serve on the board of directors of the Issuer. In addition, Each of T-Mobile Global Zwischenholding GmbH, T-Mobile Global Holding GmbH and Deutsche Telekom Holding B.V. are wholly-owned subsidiaries of DT. Each Reporting Person disclaims beneficial ownership in the securities reported on this Form 4 except to the extent of its pecuniary interest, if any, therein, and this report shall not be deemed to be an admission that such Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Deutsche Telekom disclaims beneficial ownership in any Common Stock held by Project 6 or Project 9 if such Common Stock is not subject to the Proxy Agreement.


Represents the number of shares sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units ("RSUs"). The sale is mandated by the Issuer's election to require the satisfaction of tax withholding obligations to be funded by "sell to cover" transactions and does not represent a discretionary transaction by the Reporting Person.

/s/ Benjamin G. Jackson, Attorney-in-fact


Beneficial owner granted shares of restricted stock with vesting over time. Upon vesting, beneficial owner returned to Company a portion of the vested shares for tax withholding purposes.

Shares of restricted stock effectively repurchased by Company at $48.59 per share to fund beneficial owner's required tax withholding.

Robert B. Goldberg, under power of attorney


The reported sale occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person in his capacity as Trustee of the 2022 RK Fields Charitable Remainder Unitrust, the managing member of RK Fields Charitable 2022, LLC.  The Trading Plan was established to enable the Reporting Person to meet some of his charitable commitments.

The price reported in Column 4 is a weighted average price.The shares were sold in multiple transactions at prices ranging from $15.90 to $16.30, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (2) and (3) to this Form 4.


The transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 Trading Plan adopted on 3/14/2025 by the Reporting Person.

/s/ Ahalya Hildreth, Attorney-in-Fact for Paul Cunningham


Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Represents the number of shares of the Issuer's Common Stock withheld to satisfy the Reporting Person's tax obligation in connection with the settlement of shares of Common Stock underlying the Reporting Person's restricted stock units that vested on August 1, 2025.

The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 6, 2024.

Represents the weighted average sale price of the shares sold from $75.00 to $75.15 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Represents the weighted average sale price of the shares sold from $75.00 to $75.01 per share. The Reporting Person will provide, upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

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

The RSUs vest in 48 equal monthly installments beginning October 1, 2022, subject to the Reporting Person's continuous service with the Issuer as of each vesting date. This grant has no expiration date.

The RSUs vest in 48 equal monthly installments beginning February 1, 2022, subject to the Reporting Person's continuous service with the Issuer as of each vesting date. This grant has no expiration date.

The stock options vest in 24 equal monthly installments beginning August 1, 2022, subject to the Reporting Person's continuous service with the Issuer as of each vesting date.


Michalek 2007 Trust dated March 21, 2007

Class A Common Stock

The shares are held by the Michalek 2007 Family Trust dated March 21, 2007.  The Reporting Person and his spouse are trustees of the trust.


Class A Common Stock


Class A Common Stock

Class A Common Stock

The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on December 8, 2024.

RSUs vest with respect to the shares of Class A Common Stock underlying the restricted stock units in equal quarterly installments for a period of one year beginning September 1, 2025, the vesting commencement date, subject to the Reporting Person's continued employment with the Issuer as of each vesting date.

RSUs vest with respect to the shares of Class A Common Stock underlying the restricted stock units in equal quarterly installments for a period of three years beginning September 1, 2025, the vesting commencement date, subject to the Reporting Person's continued employment with the Issuer as of each vesting date.


The transaction reported represents a sale by the Reporting Person to satisfy estimated tax liabilities arising from vesting of restricted stock units.

/s/ Michael Silberman as attorney-in-fact for Alexander Dimitrief


Bona fide gift to a charitable organization.


Common Stock

The price reported in Column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $13.00 to $13.12, inclusive. The Reporting Person undertakes to provide Lindblad Expeditions Holdings, Inc. (the "Company"), any security holder of the Company, or the staff of the Securities & Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth herein.

Stock option granted under the 2021 Long Term Incentive Plan pursuant to his employment agreement.

/s/ John J. Wolfel, Attorney-in-Fact for Benjamin Bressler


Common Stock, $0.10 par value

These restricted stock units vest in three equal installments beginning on August 1, 2024.

Shares withheld for payment of taxes upon vesting of award.

Each restricted stock unit converts into one share of common stock upon vesting.

/s/ Lisa A. Atkins, attorney-in-fact for Cari Gallman


Beneficial owner granted shares of restricted stock with vesting over time. Upon vesting, beneficial owner returned to Company a portion of the vested shares for tax withholding purposes.

Shares of restricted stock effectively repurchased by Company at $48.59 per share to fund beneficial owner's required tax withholding.

Includes 314 shares of restricted stock acquired on April 30,2025 by beneficial owner pursuant to issuer's employee stock purchase plan, which acquisition is exempt under Rule 16-b-3(c) and therefore was not reported at the time of the acquisition.


By Daniel S. Kotcher Revocable Trust u/t/a dated December 7, 2012

Class A Common Units of Rush Street Interactive, L.P.

Class A Common Stock

On August 4, 2025, the reporting person's spouse exchanged, pursuant to the Amended and Restated Limited Partnership Agreement of Rush Street Interactive, LP ("RSI LP"), 100,000 Class A Common Stock Units ("RSI Units") for 100,000 shares of Class A Common Stock of the Issuer, together with an equivalent number of Class V Voting Stock of the Issuer held by the reporting person's spouse being canceled.

Consists of securities held by the Daniel S. Kotcher Revocable Trust u/t/a dated December 7, 2012 (the "Kotcher Trust"). The reporting person is a beneficiary of the Kotcher Trust and may be deemed to have a beneficial ownership interest with respect to the securities held thereby, and the reporting person's husband, Daniel Kotcher, serves as trustee of the Kotcher Trust and exercises sole voting and investment control over such securities. The reporting person disclaims beneficial ownership of the securities held by the Kotcher Trust except to the extent of her actual pecuniary interest therein.

The shares of Class V Voting Stock of the Issuer provide no economic rights in the Issuer to the holder thereof. However, each holder of Class V Voting Stock will be entitled to vote as a common stockholder of the Issuer, with the number of votes equal to the number of shares of Class V Voting Stock held at the time of such vote.

The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.33 to $19.83 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Pursuant to the Amended and Restated Limited Partnership Agreement of RSI LP, beginning on June 29, 2021, the RSI Units beneficially owned by the reporting person may be exchanged, subject to certain conditions, for one share of Class A Common Stock of the Issuer. Upon such exchange, an equivalent number of shares of Class V Voting Stock then held by the reporting person will be canceled.


Common Stock, $0.10 par value

These restricted stock units vest in four equal installments beginning on August 2, 2022.

/s/ Sophie M. Bail, attorney-in-fact for Wendy Short Bartie


By JAMEB, LP, a limited partnership jointly owned by Reporting Person and his spouse

By the James A. Burke 2012 Irrevocable Trust, dated 12/03/2012

By the Marti E. Burke 2012 Irrevocable Trust, dated 10/16/2012

This transaction represents the withholding by the Issuer of shares to pay taxes in connection with the vesting of restricted stock units. The timing and amount of the transaction were determined by the terms of the applicable restricted stock unit award and were not within the control of the Reporting Person.

The number of securities shown to be beneficially owned reflects an adjustment downward by 231,750 shares of common stock due to the transfer of 231,750 shares of common stock to JAMEB, LP that was previously directly owned by the Reporting Person.

The number of securities shown to be beneficially owned reflects an adjustment upward by 231,750 shares of common stock due to the transfer of 231,750 shares of common stock that was previously directly owned by the Reporting Person.

/s/ Daniela Gutierrez, as Attorney-in-Fact


Common Stock

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

The Reporting Person was awarded 8,514 stock options on April 1, 2017, which vested in five equal annual installments of 20% each, beginning on the first anniversary of the grant date.


Reflects the number of shares of Company common stock withheld by the Company to pay the tax liability of the Reporting Person in connection with the vesting of restricted stock units.

This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 18, 2024.


SVP, Chief Accounting Officer and Controller


This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 11, 2024.


This transaction was made pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 30, 2025.


On February 6, 2023, the issuer effected a 10-for-1 reverse stock split of the issued and outstanding shares of its common stock (the "2023 Reverse Stock
Split"). Upon effectiveness of the 2023 Reverse Stock Split, every 10 shares of voting common stock was automatically converted into 1 share of common stock.


Shares were sold pursuant to a 10b5-1 Plan dated May 5, 2025.

The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $19.248 to $19.71 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.


Award of Class B Common Stock under the 2024 Equity Incentive Plan of Duluth Holdings Inc. in lieu of quarterly cash retainer for service as a director.


Common Stock

Common Stock

Restricted stock units convert to common stock on a one-for-one basis.

Shares were withheld by the issuer to satisfy tax withholding obligations in connection with vesting of restricted stock units.

The grant of 2,167 restricted stock units vests at 12.5% every six months beginning on August 1, 2022. If a vesting date falls on a day on which the securities exchange is closed, affected RSUs shall vest on the next securities exchange business day.

The grant of 2,554 restricted stock units vests at 12.5% every six months beginning on August 1, 2023. If a vesting date falls on a day on which the securities exchange is closed, affected RSUs shall vest on the next securities exchange business day.

Christina A. Mecklenborg, Attorney-in-Fact


Common Stock

Common Stock

Shares were withheld by the issuer to satisfy tax withholding obligations in connection with the payout of the performance share award.

Shares are held by the reporting person's children sharing the reporting person's household. The reporting person disclaims beneficial ownership of the shares held by his children, and this report should not be deemed an admission that the reporting person is the beneficial owner of his children's shares for purposes of Section 16 or for any other purpose.

The grant of 3,370 restricted stock units vests at 12.5% every six months beginning on August 1, 2022. If a vesting date falls on a day on which the securities exchange is closed, affected RSUs shall vest on the next securities exchange business day.

The grant of 3,715 restricted stock units vests at 12.5% every six months beginning on August 1, 2023. If a vesting date falls on a day on which the securities exchange is closed, affected RSUs shall vest on the next securities exchange business day.


Reflects Restricted Stock Units (RSUs) that vest over four years, with one-quarter of the grant amount vesting on August 1, 2026, and thereafter with one-sixteenth of the grant amount vesting on November 1, February 1, May 1, and August 1 of each succeeding year.

Shares reported include unvested Restricted Stock Units (RSUs).


Beneficial owner granted shares of restricted stock with vesting over time. Upon vesting, beneficial owner returned to Company a portion of the vested shares for tax withholding purposes.

Shares of restricted stock effectively repurchased by Company at $48.59 per share to fund beneficial owner's required tax withholding.


These shares represent the Class A Common Stock that the Reporting Person elected to receive in lieu of cash compensation under the Issuer's Non-Employee Director Compensation Policy for the quarter ended July 31, 2025. The number of shares of Class A Common Stock received in lieu of cash was calculated based on the closing price of a share of Class A Common Stock on July 31, 2025.


Class A Common Stock

Class A Common Stock

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 upon settlement.

Each Performance Restricted Stock Unit (PRSU) represents a contingent right to receive one share of the Issuer's Class A Common Stock. The PRSUs vest upon the Issuer's Class A Common Stock achieving a specified price per share.

Pursuant to the Issuer's policies and practice, these shares of Class A Common Stock were automatically withheld and sold by the Issuer to satisfy the Reporting Person's tax withholding obligations related to the vesting of RSUs and PRSUs reported herein.

The price reported is a weighted-average price. These shares were sold in multiple transactions at prices ranging from $22.595 to $23.015, inclusive. The Reporting Person will provide upon request to the staff of the Securities and Exchange Commission, the Issuer or any security holder of the Issuer, full information regarding the number of shares sold at each separate price.

The shares are held by The Siebel Living Trust u/a/d 7/27/93, as amended, of which the Reporting Person is trustee.

The shares are held by First Virtual Holdings, LLC, of which the Reporting Person is Chairman.

The shares are held by Siebel Asset Management, L.P., of which the Reporting Person is the general partner.

The shares are held by Siebel Asset Management III, L.P., of which the Reporting Person is the general partner.

The shares are held by The Siebel 2011 Irrevocable Children's Trust, of which the Reporting Person is co-trustee.

6.25% of each such RSU award vested on August 1, 2022 and 6.25% of each such RSU award shall vest on a quarterly basis thereafter, so long as the Reporting Person continues to provide services through such vesting date.


Represents a restricted stock award, all of which shall vest on August 1, 2026 or, if earlier, immediately prior to the 2026 annual election of directors of the Company, provided that the reporting person is then serving as a director of the Company.


Common Stock Par Value $0.10 Per Share

Restricted stock units convert into common stock on a one-for-one basis.

The 158 reflected on this table represents the shares withheld to pay the Reporting Person's federal, state, and Federal Insurance Contributions Act ("FICA") tax.

This transaction represents the vesting of 349 of the 1,745 restricted stock units issued to the Reporting Person on August 4, 2020.

/s/ Michael C. Shay, Attorney-in-Fact for Daniel Gizinski


Common Stock Par Value $.10 Per Share

The 925 reflected on this table represents the shares withheld to pay the Reporting Person's federal, state, and Federal Insurance Contributions Act ("FICA") tax.

This transaction represents the vesting of 1,810 of the 9,050 restricted stock units issued to the Reporting Person on August 4, 2020.

/s/ Michael C. Shay, Attorney-in-Fact for Michael Bondi


These transactions were executed in multiple trades, at prices ranging from $85.20 to $85.51. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request by the SEC staff, the issuer or a security holder of the issuer, full information regarding the number of shares sold and the prices at which each trade was effected.

By: Derrick Walsh For: Andrew Micheletti


/s/ Donald R. Reynolds, Attorney-in-Fact


Common Stock

This price is a weighted average price. These shares were sold in multiple transactions at prices ranging from $111.02 to $111.21, inclusive. The reporting person undertakes to provide to WEC Energy Group, (WEC), any security holder of WEC, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.


The reported shares were withheld to cover the Reporting Person's tax liability in connection with the vesting of restricted stock units.

/s/ Bruce Posey by power of attorney for Joo Mi Kim


Common Stock, No Par Value

Common Stock, No Par Value

Common Stock, No Par Value

/s/ Janisha Sabnani as Attorney in fact for Thomas A. Sa


The shares are held of record by Adam D'Angelo Trustee Adam D'Angelo Revocable Trust Dtd 3/13/08.


/s/ Bruce Posey by power of attorney for Sumedh S. Thakar


Class A Ordinary Shares

Simultaneously with the consummation of the Company's initial public offering, MFH 1, LLC (the "Sponsor") acquired, at a price of $10.00 per unit, 200,000 units (the "Private Units") in a private placement for an aggregate purchase price of $2,000,000. Each Private Unit consists of one Class A ordinary share, par value $0.0001, and one-half of one warrant.

The Sponsor is the record holder of the shares reported herein. John Darwin is the manager of the Sponsor and holds voting and investment discretion with respect to the securities held of record by the Sponsor. As such, Mr. Darwin may be deemed to have beneficial ownership of the securities held of record by the Sponsor. Mr. Darwin disclaims any beneficial ownership except to the extent of his pecuniary interest therein.

The warrants included in the Private Units will become exercisable at any time commencing 30 days after the completion of the Company's initial business combination.

The warrants will expire five years after the completion of the Company's initial business combination, at 5:00 p.m., New York City time, or earlier upon redemption or liquidation.


These sales were effectuated pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on October 13, 2024, on behalf of the Polk family trust of which the reporting person is a trustee.

Represents the weighted average sales price for a number of transactions effected at prices ranging from $141.70 to $141.90. The reporting person has provided to the issuer, and undertakes to provide upon request to the SEC staff, or any security holder of the issuer, information regarding the number of shares sold at each separate price within the range.

Represents the weighted average sales price for a number of transactions effected at prices ranging from $142.05 to $142.50. The reporting person has provided to the issuer, and undertakes to provide upon request to the SEC staff, or any security holder of the issuer, information regarding the number of shares sold at each separate price within the range.


The restricted stock units represent a contingent right to receive AEP common stock upon vesting. The restricted stock units vest on October 31, 2027.

In the original filing submitted on January 10, 2025, the restricted stock units vesting date in footnote 1 was incorrectly reported as vesting in three equal installments on October 1, 2025, October 1, 2026, and October 1, 2027.

/s/ David C. House, Attorney-in-fact for Phillip R. Ulrich


Represents the grant of Restricted Stock Units (RSUs). Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock upon settlement. 100% of the RSUs will vest on the earlier of June 16, 2026 or the day of the next annual meeting of the stockholders, subject to the Reporting Person's continuous service through such date.

Shares held by Matthew Cohler's irrevocable trust entity.

Shares held by Matthew Cohler's second irrevocable trust entity.


Common Stock

Common Stock

Represents the shares of the Issuer's common stock underlying the vested portion of a stock option grant issued to the Reporting Person on March 1, 2023, that was exercised by the Reporting Person on August 4, 2025.

Represents the shares of the Issuer's common stock underlying the vested portion of a stock option grant issued to the Reporting Person on April 10, 2023, that was exercised by the Reporting Person on August 4, 2025.


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

/s/Tiffany Meriweather, attorney in fact


This transaction was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on 11/07/2024.

/s/ by Mark F. Hoffman as attorney-in-fact for Douglas J. Herrington, CEO Worldwide Amazon Stores


These shares represent the Class A Common Stock that the Reporting Person elected to receive in lieu of cash compensation under the Issuer's Non-Employee Director Compensation Policy for the quarter ended July 31, 2025. The number of shares of Class A Common Stock received in lieu of cash was calculated based on the closing price of a share of Class A Common Stock on July 31, 2025. Pursuant to the Issuer's Directors' Deferred Compensation Plan, the Reporting Person elected to defer the receipt of such shares to a future date in accordance with the terms of such plan and the Reporting Person's plan election.

The shares are held of record by Norrington Advisory Services, LLC.


Represents the automatic withholding by the issuer to satisfy the reporting person's tax obligation associated with the vesting of previously granted restricted stock units. This transaction is authorized in the applicable restricted stock award agreement.


Beneficial owner granted shares of restricted stock with vesting over time. Upon vesting, beneficial owner returned to Company a portion of the vested shares for tax withholding purposes.

Shares of restricted stock effectively repurchased by Company at $48.12 per share to fund beneficial owner's required tax withholding.

Robert B. Goldberg, under power of attorney


Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Includes 432 shares acquired under the Issuer's employee stock purchase plan.

Amount has been adjusted pursuant to a three-for-two stock dividend effected on June 30, 2025.

These shares are held in the Reporting Person's account under the Issuer's Profit Sharing & 401(k) Plan.

Represents an award of performance stock units (the "2023 PSUs"). The 2023 PSUs will have a performance period beginning January 1, 2023 and ending December 31, 2025. The number of shares of the Issuer's Common Stock that will be earned at the end of the performance period is subject to increase or decrease based on results of the performance condition. The Reporting Person is voluntarily reporting the 2023 PSUs, which are not a derivative security.

Each restricted stock unit represents a contingent right to receive one share of the Issuer's Common Stock.

These restricted stock units vest in equal installments on February 27, 2024, February 27, 2025, and February 27, 2026.

Represents an award of performance stock units (the "2024 PSUs"). The 2024 PSUs will have a performance period beginning January 1, 2024 and ending December 31, 2026. The number of shares of the Issuer's Common Stock that will be earned at the end of the performance period is subject to increase or decrease based on results of the performance condition. The Reporting Person is voluntarily reporting the 2024 PSUs, which are not a derivative security.

These restricted stock units vest in equal installments on March 1, 2025, March 1, 2026, and March 1, 2027.

These restricted stock units vest in equal installments on January 1, 2026, January 1, 2027, and January 1, 2028.

Represents an award of performance stock units (the "2025 PSUs"). The 2025 PSUs will have a performance period beginning January 1, 2025 and ending December 31, 2027. The number of shares of the Issuer's Common Stock that will be earned at the end of the performance period is subject to increase or decrease based on results of the performance condition. The Reporting Person is voluntarily reporting the 2025 PSUs, which are not a derivative security.

These restricted stock units vest in equal installments on March 1, 2026, March 1, 2027, and March 1, 2028.


Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Includes 491 shares acquired under the Issuer's employee stock purchase plan.

These restricted stock units vest in three equal installments on August 2, 2023, August 2, 2024 and August 2, 2025.


Represents shares sold pursuant to a 10b5-1 plan dated August 23, 2024.


PIMCO CALIFORNIA MUNICIPAL INCOME FUND III

Remarketable Variable Rate MuniFund Term Preferred Shares

In connection with the reorganization of the Issuer and PIMCO California Municipal Income Fund II into PIMCO California Municipal Income Fund, 810 remarketable variable rate munifund term preferred shares (the "RVMTP Shares") of the Issuer beneficially owned by Banc of America Preferred Funding Corporation ("PFC") were exchanged for an equal number of RVMTP Shares of PIMCO California Municipal Income Fund in a cashless transaction. The 810 shares reported as disposed of in Table I represent shares that were beneficially owned by PFC.  PFC is a wholly owned subsidiary of Bank of America Corporation.

This statement is jointly filed by Bank of America Corporation and PFC. Bank of America Corporation held an indirect interest in the securities listed in Table I by virtue of its indirect ownership of PFC.

Each reporting person declares that neither the filing of this statement nor anything herein shall be construed as an admission that such person is, for the purposes of Section 13(d) of the US Securities Exchange Act of 1934 or any other purpose, (i) acting (or has agreed or is agreeing to act together with any other person) as a partnership, limited partnership, syndicate or other group for the purpose of acquiring, holding or disposing of securities of the Issuer or otherwise with respect to the Issuer or any securities of the Issuer or (ii) a member of any group with respect to the Issuer or any securities of the Issuer.

Exhibits Index
Exhibit 99.1 - Joint Filing Agreement


The prices reported are weighted-average prices. These shares were purchased in multiple transactions at prices ranging from $9.23 to $10.50. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the SEC staff, upon request, all information regarding the number of shares purchased at each price within the ranges set forth in Footnotes 1, 3 and 4.

Tang Capital Partners, LP ("TCP") beneficially owns 6,371,711 shares and  Tang Capital Partners International, LP ("TCPI") beneficially owns 4,957,789 shares. Kevin Tang is the sole manager of Tang Capital Management, LLC, which is the general partner of TCP and TCPI. Mr. Tang has a pecuniary interest in the shares beneficially held by TCP and TCPI.

These shares were purchased in multiple transactions ranging from $11.11 to $11.48.

These shares were purchased in multiple transactions ranging from $11.49 to $11.80.


The purchases reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan, adopted September 5, 2024.

The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $13.85 to $14.60 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $14.15 to $14.52 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

The shares are held of record by Dustin A. Moskovitz TTEE Dustin A. Moskovitz Trust DTD 12/27/05.


In connection with the reorganization of PIMCO California Municipal Income Fund II and PIMCO California Municipal Income Fund III (the "Target Funds") into the Issuer, 1,710 remarketable variable rate munifund term preferred shares (the "RVMTP Shares") of the Target Funds beneficially owned by Banc of America Preferred Funding Corporation ("PFC") were exchanged for an equal number of RVMTP Shares of the Issuer in a cashless transaction. The 1,710 RVMTP shares reported as acquired in Table I represent shares beneficially owned by PFC.  PFC is a wholly owned subsidiary of Bank of America Corporation.

This statement is jointly filed by Bank of America Corporation and PFC. Bank of America Corporation holds an indirect interest in the securities listed in Table I by virtue of its indirect ownership of PFC.


Represents shares withheld to satisfy tax withholding obligations arising out of the vesting of restricted stock units.

/s/ Vivian Coates for Jennifer S. Sim (Pursuant to Signing Authority on File)


Ex. 24 - Power of Attorney (incorporated by reference to the Power of Attorney filed as Exhibit 24 to the Form 3 filed by the reporting person on August 5, 2024).


VP, Sec & Chairman of Alexander Railroad


Common Stock

Represents shares of Series D Convertible Preferred Stock issued as compensation for board services pursuant to that certain Board of Directors Agreement, dated February 3, 2025, between the Issuer and the Reporting Person.

The Reporting Person's shares of Series D Convertible Preferred Stock, par value $0.0001 per share, are convertible into shares of common stock, par value $0.0001 per share, at a ratio of 100 shares of common stock for each share of Series D Convertible Preferred Stock, subject to a 10% beneficial ownership limitation. No shares of Series D Convertible Preferred Stock may be converted until six months after the date of issuance, except in the case of liquidation, whereupon the conversion will occur immediately. Each share of Series D Convertible Preferred Stock outstanding at the time of a meeting of stockholders or a solicitation of consent is entitled to 100 votes on matters of the Issuer, without regard to the beneficial ownership limitation. The right to convert does not expire.


Shares sold pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person on May 2, 2025.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.315 to $43.45 inclusive.  The reporting person undertakes to provide to Ionis Pharmaceuticals, Inc., any security holder of Ionis Pharmaceuticals, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnote (2) on this Form 4.

By: Patrick R. O'Neil, attorney-in-fact For: Eugene Schneider


Represents the number of shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of RSUs on August 1, 2025 and the sale of the resulting shares of common stock on August 4, 2025. This sale is mandated by the Issuer's election under its equity incentive plans to require the satisfaction of tax withholding obligations to be funded by a "sell-to-cover" transaction and does not represent a discretionary trade by the Reporting Person. The Reporting Person has executed an instruction letter for the automatic sale of such "sell-to-cover" shares, intended to satisfy the affirmative defense conditions of Rule 10b5-1.

This represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $35.92 to $36.21. The Reporting Person undertakes to provide the Issuer, any securityholder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

/s/ Michael F. MacLean, Attorney-in-Fact


This amended Form 4 is being filed to correct the reporting person's Form 4 that was filed on 31-July-2025, which erroneously reported two transactions to withhold 2,346 shares and 3,833 shares, respectively, to satisfy tax obligations in connection with the vesting of restricted stock units (and therefore understated by 6,179 the number of shares owned by the reporting person following the reported transactions). Pursuant to Instruction 9(b) to Form 4, only the lines of the original Form 4 requiring correction or amendment are being restated on this amended Form 4.

/s/ Michael Queally, as attorney-in-fact for Paul J. Evans


Common Stock, $0.001 par value

Represents shares of common stock earned upon the vesting of market stock units granted on June 17, 2022.

The number of market stock units reported represents the maximum possible number of shares that are eligible for vesting, which is 225% of the number of shares that would be earned at target. The minimum payout factor that must be achieved to earn any payout is 60%. The actual number of shares that will vest on each vesting date will be determined by comparing the price of common stock on the applicable vesting date to the price of common stock on April 29, 2022 (i.e., number of vested shares is equal to (i) the number of shares at target payout multiplied by (ii) (a) the average price of common stock for the 10 trading days immediately preceding the applicable vesting date divided by (b) the closing stock price on April 29, 2022).

The market stock units vest 25% on May 2, 2023 and in equal installments every three months thereafter over a three year period, subject to continued employment.


Represents a grant of restricted stock units (RSUs) pursuant to the Issuer's 2025 Omnibus Incentive Plan made in connection with the Reporting Person's election to convert his cash retainer fees for service as a nonemployee director into RSUs in accordance with the Issuer's Nonemployee Director Deferred Compensation Plan. The RSUs will become payable and be settled in shares of Class A common stock on a future deferred payment date, subject to the Nonemployee Director Deferred Compensation Plan.

/s/ Evan Pickering, as Attorney-in-Fact, for Robert Donald Casey III


The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.44. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in footnotes (1) and (3) to this Form 4.

Includes 4,339 restricted stock units which vest and settle on February 28, 2026 and 19,212 vested restricted stock units which settle within thirty days following the earlier of (i) the termination of the Reporting Person's service for any reason or (ii) a change of control.

The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $30.00 to $30.69.


Represents shares of the Issuer's Class A Common Stock sold to satisfy the reporting person's tax obligation upon the vesting of 89,832 restricted stock units in a sell-to-cover transaction pursuant to a Rule 10b5-1 trading plan adopted on August 11, 2023.

These securities are beneficially owned by Timothy T. Hwang, as Trustee of the Timothy T. Hwang Revocable Trust, originally dated January 10, 2019. The Reporting Person is trustee of this trust.

Represents shares of the Issuer's Class A Common Stock sold to satisfy the reporting person's tax obligation upon the vesting of 29,375 restricted stock units in a sell-to-cover transaction pursuant to a Rule 10b5-1 trading plan adopted on August 11, 2023.