The shares reported herein represent a grant of restricted stock made to the Reporting Person in respect of his services on the Company's Board of Directors.  This award of restricted stock vests with respect to 100% of the shares on the first anniversary of the grant.

The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $6.69 to $6.80. The Reporting Person undertakes, upon request by the Staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, to provide full information regarding the number of shares purchased at each separate price.

Includes 184,317 shares of Class A common stock that are not subject to vesting or transfer restrictions.


The sale reported on this Form 4 represents shares required to be sold by the Reporting Person to cover tax withholding obligations in connection with the vesting of restricted stock units. The sale occurred automatically to satisfy the tax withholding obligations to be funded by a sell to cover transaction and does not represent a discretionary trade by the Reporting Person.


Class A Common Stock

The sales reported by the Reporting Person were effected pursuant to a Rule 10b5-1 trading plan that was adopted on March 8, 2025.

This sale price represents the weighted average sale price of the shares sold ranging from $252.31 to $253.30 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

This sale price represents the weighted average sale price of the shares sold ranging from $253.31 to $254.00 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

This sale price represents the weighted average sale price of the shares sold ranging from $254.60 to $255.59 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

This sale price represents the weighted average sale price of the shares sold ranging from $255.60 to $256.58 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

This sale price represents the weighted average sale price of the shares sold ranging from $256.60 to $257.59 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

This sale price represents the weighted average sale price of the shares sold ranging from $257.61 to $258.60 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

This sale price represents the weighted average sale price of the shares sold ranging from $258.62 to $259.61 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

This sale price represents the weighted average sale price of the shares sold ranging from $259.63 to $259.90 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares sold at each separate price within the range set forth in this Form 4.

The shares are held by The Article 4 Trust under TXX Family Trust for which the Reporting Person serves as a trustee.

The shares underlying the option are fully vested and immediately exercisable.

/s/ Kimberly Hackman, by power of attorney


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

Certain of these securities are represented by restricted stock units.


Reflects tax withholding and performance share achievement on vesting.


Time-based restricted stock units ("RSUs") awarded under the Issuer's Long-Term Incentive Plan (the "Plan") and vesting (i) in three equal installments in August 2026, 2027, and 2028 if the Reporting Person ("R.P.") continues to be an employee of Issuer from the grant date through the respective vesting date; (ii) in the event of his earlier disability or death; or (iii) if he satisfies various conditions, upon his earlier retirement, except that such retirement vesting will be on a pro rata basis if his retirement occurs in the year of grant. All vesting is conditioned upon achievement of positive operating income for the year preceding the applicable vesting date except in the case of death or disability.

Time-based RSUs awarded under the Plan with 38,891 RSUs vesting on the first anniversary of the R.P.'s employment start date, August 11, 2025 (the "start date") and 38,890 RSUs vesting on each of the second, third, and fourth anniversaries of the start date if the R.P. continues to be an employee of Issuer from the start date through the respective vesting date.  The award will also vest in the event of R.P.'s earlier disability, death or involuntary termination of employment by Issuer without cause.


The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.50 to $10.60, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $10.45 to $10.85, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.


The Reporting Person sold, in multiple transactions, common shares at prices ranging from $66.69 to $66.8773.


Common Stock

Subordinated Convertible Promissory Note

Common Stock

Each share of the Issuer's Series F Preferred Stock automatically converted into shares of the Issuer's Common Stock on a 0.342466:1 basis immediately prior to the closing of the Issuer's initial public offering. These securities had no expiration date.

The outstanding principal amount of the Subordinated Convertible Promissory note automatically converted into shares of the Issuer's Common Stock upon consummation of the Issuer's initial public offering at a conversion price of 80% of the price per share in the Issuer's initial public offering.

Represents securities held directly by BCLS Fund III Investments, LP ("BCLS Fund III Investments").

Bain Capital Life Sciences Investors, LLC ("BCLSI") is the manager of Bain Capital Life Sciences III General Partner, LLC ("BCLS Fund III GP"), which is the general partner of Bain Capital Life Sciences Fund III, L.P. ("BCLS Fund III"), which is the managing member of BCLS Fund III Investments GP, LLC ("BCLS Fund III Investments GP"), which is the general partner of BCLS Fund III Investments. As a result, each of BCLSI, BCLS Fund III GP, BCLS Fund III and BCLS Fund III Investments GP may be deemed to share voting and dispositive power with respect to the securities held by BCLS Fund III Investments. BCLSI, BCLS Fund III GP, BCLS Fund III and BCLS Fund III Investments GP each disclaims beneficial ownership of such securities except to the extent of its pecuniary interest therein.


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $12.68 to $12.865, inclusive. Details on the number of shares purchased at each separate price will be provided to the staff of the Securities and Exchange Commission upon request.

The reporting person is a managing member of Bayou Well Holdings Company, LLC. He disclaims beneficial ownership except to the extent of his pecuniary interest therein.

The reporting person is the beneficiary and trustee of the Trust. He disclaims beneficial ownership except to the extent of his pecuniary interest therein.


As agreed and confirmed by the Court and approved by the Shareholder


Common Stock,  $0.0001 par value per share

Represents shares that have been withheld by the Issuer to satisfy tax withholding and remittance obligations in connection with the net settlement of restricted stock units.


As agreed and confirmed by the Court and approved by the Shareholder.


Common Stock, $0.0001 par value per share


Hausmann Gordon

5 DE WALDEN COURT 85 NEW CAVENDISH STREE


The shares are owned by the Mac Pherson Atzmon Family Trust. Mr. Atzmon disclaims any beneficial interest in the Mac Pherson Atzmon Family Trust.


Purchase represents the reinvestment of previously accrued cash dividends in Mr. Reed's SERP account.

Includes 721,458 shares credited to Mr. Reed's SERP account, each of which the economic equivalent of one share of common stock and payable solely  in shares of common stock following termination of employment.

Scott J. Lynn, Attorney-in-Fact for Colin V. Reed


This transaction was inadvertently effectuated within six months of a matching acquisition, to the extent of 200 shares. Accordingly, the Reporting Person realized short-swing profits of $258.00 under Section 16(b) of the Securities Exchange Act of 1934, as amended, as a result of the purchase (through indirect ownership) of the Issuer's common stock on June 2, 2025 and the subsequent disposition of the Issuer's common stock reported herein. The Reporting Person has voluntarily disgorged to the Issuer all of such short-swing profits realized by the Reporting Person from such transactions.


Mr. Reisner is the record holder of 15,175 shares, and CION Investment Group, LLC ("CIG") is the record holder of 62,598.77 shares that include 5,932.67 shares acquired under the Issuer's distribution reinvestment plan. Mr. Reisner, together with another individual, controls CIG and, as a result may be deemed to be the indirect beneficial owner of the shares held by CIG.  As permitted by Rule 16a-1(a)(4) under the Exchange Act, Mr. Reisner disclaims beneficial ownership of the shares held by CIG except to the extent of his pecuniary interest therein.


The shares are purchased in one transaction at a price given in Column 4.

The shares are owned directly by the Larry M and Gretchen V Paulson Family Trust dated September 4, 2019 and any amendments thereto (the "Trust"). Mr. Paulson is a trustee of the Trust. Mr. Paulson disclaims beneficial ownership of the securities held by the Trust except to the extent of his pecuniary interest therein.. .


Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

Class A Common Stock

This transaction was pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 29, 2024 providing for the sale of up to 134,201 shares of Class A Common Stock. The trading plan is scheduled to terminate on September 12, 2025.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $1.00 to $1.05 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.

Reflects shares owned by the reporting person's spouse.  The reporting person disclaims beneficial ownership of the shares held by his spouse, and the inclusion of such shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purpose

Each Restricted Stock Unit represents the contingent right to receive, upon vesting and settlement, one share of Class A Common Stock.

On March 11, 2024, the Reporting Person was granted 766,669 unvested unvested Restricted Stock Units. The Restricted Stock Units are scheduled to vest as follows, subject in each case to the Reporting Person's continued employment with the Issuer through the applicable vesting date: 183,334 Restricted Stock Units vesting on May 15, 2024; 250,001 Restricted Stock Units vesting on May 15, 2025; 166,667 Restricted Stock Units vesting on May 15, 2026; and 166,667 Restricted Stock Units vesting on May 15, 2027.

On March 7, 2025, the Reporting Person was granted 333,334 unvested Restricted Stock Units. The Restricted Stock Units are scheduled to vest as follows, subject in each case to the Reporting Person's continued employment with the Company through the applicable vesting date: 83,333 Restricted Stock Units vesting on May 15, 2025; 83,334 Restricted Stock Units vesting on January 15, 2026; 83,334 Restricted Stock Units vesting on January 15, 2027; and 83,333 Restricted Stock Units vesting on January 15, 2028.

On March 7, 2025, the Reporting Person was granted 250,000 unvested Performance Stock Units. Each Performance Stock Unit represents the contingent right to receive, upon vesting and settlement, up to one share of Class A Common Stock. The actual number of shares of Class A Common Stock to be issued upon vesting of such Performance Stock Units will be determined based on, and will be contingent upon, the achievement of certain pre-established performance metrics, as determined by the Compensation Committee of the Issuer's Board of Directors, for the fiscal year ending December 31, 2025.

Payable in two equal tranches if the closing price of the Class A Common Stock exceeds $12.50 and $15.00 per share, respectively, for any 20 trading days within any 30-trading day period commencing on or after the 150th day following the closing (the "Closing") of the business combination pursuant to the Agreement and Plan of Merger, dated as of February 1, 2021, to which the Issuer is a party, and ending no later than the five-year anniversary of the Closing. The Earnout Shares are also subject to potential vesting based on the price targets in connection with a sale of the Issuer.


Common Stock

/s/Cheryl Parks, Power of Attorney for David Alan Smith


Jessica Vu, Attorney-in-Fact for Anthony L. Coelho


Fu Ping

C/O CAPSTONE GREEN ENERGY HOLDINGS, INC.

Represents shares of voting common stock underlying restricted stock units that fully vest one year from the date of grant, subject to continued service with the Issuer.

Includes 12,658 shares of voting common stock underlying restricted stock units that fully vest on February 12, 2026.


Common Stock, par value $0.0001 per share

/s/ Emily Fuquay, by power of attorney for John McCartney


Common Stock

Common Stock

Options vest 1/3 annually beginning one year from grant date.

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

The Restricted Stock Units will vest on August 11, 2028.

/s/ Elizabeth C. Southern, Attorney-in-Fact


Restricted stock unit award to the reporting person pursuant to the Amrize Ltd 2025 Omnibus Incentive Plan.  The award vests on the earlier of the one-year anniversary of the grant date and the date of the issuer's next regular annual meeting of shareholders.


Common Stock

Common Stock


Held in Directors Deferred Compensation Plan.

The price reported in Column 4 is a weighted average price.  These shares were sold in multiple transactions at prices ranging from $105.3100 to $105.5700, 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 footnote (1) of this Form 4.

/s/Michelle R. Mekinda, as Attorney-In-Fact


Common Stock

Common stock


/s/ Christy Lombardi, Attorney in Fact for Konrad M. Wayson


Represents the sale of shares in open market.

The price reported in Column 4 is single print.


This award of restricted stock is granted under the Company's Amended and Restated 2007 Stock Incentive Plan (the "Plan") and vests one-third on each of the three anniversaries of the grant date.


This transaction was executed in multiple trades at prices ranging from $81.60 to $81.50 The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

This transaction was executed in multiple trades at prices ranging from $81.80 to $81.50 The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected

By the William R. Boyd Gaming Properties Trust, of which the reporting person is the trustee, settlor and beneficiary.

By the Sean W. Johnson Separate Property Trust, dated 5/9/2019, of which the reporting person is the trustee.

* The reporting person expressly disclaims beneficial ownership of any securities of the Issuer except for those securities that are owned directly by the Reporting Person or to the extent of the Reporting Person's pecuniary interest in a trust or other entity which owns such securities.

/s/ Uri Clinton, attorney-in-fact for William R. Boyd.


Common Stock

Acquired through the exercise of options.

The transactions reported in this Form 4 occurred automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 6, 2025

Reflects the weighted average sale price. The shares were sold in multiple transactions at prices ranging from a low of $583.00 to a high of $583.85 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth with respect to this transaction and all sale transactions reported in this Form 4.

Reflects the weighted average sale price. The shares were sold in multiple transactions at prices ranging from a low of $584.21 to a high of $585.19 per share, inclusive

Reflects the weighted average sale price. The shares were sold in multiple transactions at prices ranging from a low of $585.21 to a high of $585.68 per share, inclusive

Reflects the weighted average sale price. The shares were sold in multiple transactions at prices ranging from a low of $586.30 to a high of $586.35 per share, inclusive

Reflects the weighted average sale price. The shares were sold in multiple transactions at prices ranging from a low of $587.72 to a high of $588.08 per share, inclusive.

Reflects the weighted average sale price. The shares were sold in multiple transactions at prices ranging from a low of $589.665 to a high of $589.68 per share, inclusive.

Reflects the weighted average sale price. The shares were sold in multiple transactions at prices ranging from a low of $590.68 to a high of $591.50 per share, inclusive.

Reflects the weighted average sale price. The shares were sold in multiple transactions at prices ranging from a low of $591.74 to a high of $592.51 per share, inclusive.

Reflects the weighted average sale price. The shares were sold in multiple transactions at prices ranging from a low of $594.25 to a high of $594.815 per share, inclusive.

Reflects the weighted average sale price. The shares were sold in multiple transactions at prices ranging from a low of $595.46 to a high of $595.68 per share, inclusive.

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


Includes 10,000 shares of Class C Preferred Stock, which are presently convertible into 612,752 shares of Common Stock of the Issuer.

Includes 9,664 shares of Class C Preferred Stock of the Issuer convertible into 592,164 shares of Common Stock of the Issuer. These shares are held in trusts for the benefit of Mr. Solomon's children and grandchildren. Mr. Solomon is a trustee of such trusts and, accordingly, may be deemed to have a beneficial interest therein. Mr. Solomon expressly disclaims beneficial ownership of securities held by such trusts, and this report shall not be deemed an admission that Mr. Solomon is the beneficial owner of such securities.

/s/ By Maureen E. Mulholland, as POA for Peter J. Solomon


Common Stock

Includes dividends accrued.

The information in this report is based on a 401(k) plan statement dated August 11, 2025.

The stock options were granted pursuant to the Caterpillar Inc. 2014 Long Term Incentive Plan on March 7, 2022 and vest equally in 1/3 incrememnts on the first, second and third anniversaries of the grant date.


Represents shares of voting common stock underlying restricted stock units that fully vest one year from the date of grant, subject to continued service with the Issuer.

Includes 2,232 shares of voting common stock underlying restricted stock units that fully vest on June 24, 2026.


Common Stock

Each Restricted Stock Unit ("RSU"s) represents the contingent right to receive one share of common stock.

One-third of these RSUs will vest on each of 08/08/2026, 08/08/2027 and 08/08/2028.


Pursuant to a plan in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934, as amended.

/s/ Sandra D. van der Vaart, Attorney-in-Fact for Adam H. Schechter


Includes 12,658 shares of voting common stock underlying restricted stock units that fully vest on February 12, 2026.


/s/ David J. Muhlenberg, attorney-in-fact


Represents weighted average price.

Mr. Shaw has investment power over 500,000 shares as Trustee for the benefit of a family member. Mr. Shaw has voting control over the remainder of the shares pursuant to a voting agreement.

The Rule 10b5-1 Plan's date of adoption was August 22, 2024.


Common Stock, par value $0.001 per share

Ms. Binstock is the grantor and trustee of the Joan A Binstock Revocable Trust, which owns the reported securities. Ms. Binstock disclaims beneficial ownership of shares of common stock held by the Joan A Binstock Revocable Trust, except to the extent of her pecuniary interest therein.


The shares are held by the Reporting Person's spouse.

/s/ Rajbir S. Denhoy, Chief Financial Officer, by power of attorney


Common Stock

Common Stock

Common Stock

Granted on 6/21/2024 under the Companys Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.

Granted on 6/28/2019 under the Companys Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.

Granted on 6/15/2018 under the Companys Amended and Restated 2000 Stock Option and Incentive Plan and vest over a five year period.

/s/Kemble D. Morrison  Attorney in fact for Samuel J. Anderson


Cruiser Capital serves as the management company or investment adviser to, and may be deemed to have shared voting and dispositive power over the shares of Common Stock held by, various investment funds (the "Cruiser Funds") and separately managed accounts (the "Cruiser SMAs," together with the Cruiser Funds, the "Cruiser Funds and SMAs") that it advises. Keith Rosenbloom ("Mr. Rosenbloom") is the Managing Member of Cruiser Capital and may be deemed to have voting and dispositive power with respect to the shares of Common Stock held by the Cruiser Funds and SMAs. Cruiser Capital and Mr. Rosenbloom each disclaim beneficial ownership of the securities held by the Cruiser Funds and SMAs, except to the extent of its or his pecuniary interest.

As noted in Footnote 1, Cruiser Capital serves as investment adviser to SMAs. A client of one of the SMAs terminated its investment advisory agreement with Cruiser Capital. As a result, Cruiser Capital no longer has discretionary investment nor voting authority with respect to the 411,398 shares of Common Stock held by such SMA client. There were no buy or sell transactions involved with the termination of the agreement and no buy or sell transactions related to this filing.

On October 21, 2024, the reporting person filed a Form 4 which inadvertently reported that, following the disclosed disposition of shares, the reporting person indirectly held 652,792 shares of common stock. In fact, the shares indirectly held after the disposition were 789,284 shares of common stock.


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


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $60.48 to $60.485, inclusive. The reporting person undertakes to provide to Travel + Leisure Co., any security holder of Travel + Leisure Co. 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.

Previously reported shares of common stock.

Previously reported deferred stock units.

Previously reported restricted stock units.

/s/ Jeff J. Zanotti as Attorney-in-Fact for George Herrera


/s/ Eric J. Sorenson, Jr., POA for Harry P. Umberger


Common Stock

Common Stock

Common Stock

Represents shares held in Issuer's ESOP as of the end of the month immediately preceding this filing.

Represents shares held in Issuer's Supplemental Benefit Plan as of the end of the month immediately preceding this filing.

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

Represents grant of performance stock units under Issuer's 2017 Stock Plan, as amended and restated. The award is eligible to vest following a three-year performance period (from January 1, 2023 through December 31, 2025) as follows: (1) 70% of the award is eligible to vest upon achievement of certain performance criteria based on EBITDA growth, and (2) 30% of the award is eligible to vest upon achievement of certain performance criteria based on return on invested capital. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the actual number of shares earned will be determined and vest following the three-year performance period. The number of shares reflected is at the target award amount. No performance stock units will vest below a minimum level of performance. At or above the minimum level of performance, the actual number of shares earned may range from 0% to 200% of the target award amount.

Represents grant of performance stock units under Issuer's 2017 Stock Plan, as amended and restated. The award is eligible to vest following a three-year performance period (from January 1, 2024 through December 31, 2026) as follows: (1) 70% of the award is eligible to vest upon achievement of certain performance criteria based on EBITDA growth, and (2) 30% of the award is eligible to vest upon achievement of certain performance criteria based on return on invested capital. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the actual number of shares earned will be determined and vest following the three-year performance period. The number of shares reflected is at the target award amount. No performance stock units will vest below a minimum level of performance. At or above the minimum level of performance, the actual number of shares earned may range from 0% to 200% of the target award amount.

Represents grant of performance stock units under Issuer's 2017 Stock Plan, as amended and restated. The award is eligible to vest following a three-year performance period (from January 1, 2025 through December 31, 2027) as follows: (1) 70% of the award is eligible to vest upon achievement of certain performance criteria based on EBITDA growth, and (2) 30% of the award is eligible to vest upon achievement of certain performance criteria based on return on invested capital. Subject to certain continued employment conditions and subject to accelerated vesting in certain circumstances, the actual number of shares earned will be determined and vest following the three-year performance period. The number of shares reflected is at the target award amount. No performance stock units will vest below a minimum level of performance. At or above the minimum level of performance, the actual number of shares earned may range from 0% to 200% of the target award amount.

/s/ John J. Manning, Attorney-in-Fact for Mr. Manning


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $17.63 and $17.76. The reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.


This figure does not include 102,106 shares held directly by Mr. Stahl.

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


Employee Stock Option (right to buy)

Represents shares surrendered to Company to satisfy income tax withholding requirements with respect to vesting of an outstanding award of restricted stock.

Represents an award of equity securities that cancelled on retirement.

Represents cancellation of an award of options upon retirement.

/s/ John F. Henry, Jr., by power of attorney for W. Derek Davis


Reflects the weighted-average purchase price for shares bought in multiple transactions at prices ranging from $9.3795 to $9.78 per share. The Reporting Person undertakes to provide upon request by the Securities and Exchange Commission staff, the issuer, or a security holder of the issuer, full information regarding the number of shares purchased at each separate price.


The RSS Living Trust, dated April 6, 2012

The shares were issued pursuant to a securities purchase agreement, dated June 30, 2025, between the Issuer and the Reporting Person, pursuant to which the Reporting Person agreed to purchase from the Issuer, and the Issuer agreed to issue and sell to the Reporting Person, shares of the Issuer's common stock for a gross aggregate offering price of $1.0 million, at a price per share equal to the greater of (i) $1.41 (representing the consolidated closing bid price of the Issuer's common stock on June 27, 2025) and (ii) the consolidated closing bid price of the Issuer's common stock on the date that is the second full trading day after the date on which the Issuer's Quarterly Report on Form 10-Q for the quarter ended June 30, 2025 is filed with the SEC. In accordance with SEC rules, the transaction became reportable pursuant to Section 16 of the Securities Exchange Act upon the fixing of the purchase price on August 12, 2025.

The price is equal to the consolidated closing bid price of the Issuer's common stock on August 12, 2025.

Reporting person is the trustee of The RSS Living Trust dated April 6, 2012 and, as such, reporting person may be deemed a beneficial owner of such shares. Reporting person disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein.

Shares are held by RVH, LLC, a limited liability company. Reporting person is the sole manager and member of RVH, LLC.


Common Stock

Represents shares acquired upon exercise of options by the Reporting Person, as reported in Table II.

This option is fully vested and exercisable.


Common Stock

Common Stock

The price reported in Column 4 is a weighted average price. The transaction was executed in multiple trades ranging from $93.025 to $94.00. 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 information regarding the number of shares and price at which the transaction was effected.

The price reported in Column 4 is a weighted average price. The transaction was executed in multiple trades ranging from $92.21 to $93.20. 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 information regarding the number of shares and price at which the transaction was effected.

The price reported in Column 4 is a weighted average price. The transaction was executed in multiple trades ranging from $91.38 to $92.14. 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 information regarding the number of shares and price at which the transaction was effected.


The price reported in Column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging from $75.550 to $76.426, inclusive. The reporting person undertakes to provide to the issuer, any shareholder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in footnotes 1 and 2.

The price reported in column 4 is a weighted average price. The shares were purchased in multiple transactions at prices ranging $76.595 to $76.750, inclusive.


Class A ordinary shares

Class A ordinary shares

In connection with and prior to the closing of the business combination (the "Business Combination") between the Issuer (which was formerly known as Helix Acquisition Corp. II, "Helix") and TheRas, Inc. ("Legacy BBOT"), Helix Holdings II LLC (the "Sponsor") forfeited 307,874 Helix Class B ordinary shares for no consideration pursuant to the terms of the Sponsor Support Agreement dated February 28, 2025, between Sponsor, Helix, and Legacy BBOT (the "Sponsor Support Agreement").

The Helix Class B ordinary shares have no expiration date and automatically convert into Class A ordinary shares at the time of Helix's initial business combination as described under the heading "Description of Securities" in Helix's registration statement on Form S-1 (File No. 333-276591).

In connection with and prior to the closing of the Business Combination, among other things, (i) each of Helix's Class B ordinary shares converted into one Helix Class A ordinary share, on a one-for-one basis, (ii) Helix migrated to and domesticated as a Delaware corporation in accordance with Section 388 of the Delaware General Corporation Law, as amended, and the Cayman Islands Companies Act (As Revised) (the "Domestication"), and (iii) as a result of the Domestication, each Class A ordinary share of Helix converted into one share of the Issuer's common stock, par value $0.0001 per share ("Common Stock"), on a one-for-one basis.

In connection with and immediately prior to the closing of the Business Combination, the Sponsor forfeited 152,940 shares of Common Stock for no consideration, pursuant to the terms of the Sponsor Support Agreement.

In connection with and immediately prior to the closing of the Business Combination, pursuant to the terms of a subscription agreement dated February 28, 2025 between Helix and Cormorant Asset Management, LP (the "Subscription Agreement"), Cormorant Private Healthcare Fund III, LP ("Fund III"), which is an investment vehicle managed by Cormorant Asset Management, LP, purchased from the Issuer 760,496 shares of Common Stock at a purchase price of $10.7173 per share.

In connection with and immediately prior to the closing of the Business Combination, pursuant to the terms of the Subscription Agreement, Cormorant Private Healthcare Fund V, LP ("Fund V"), which is an investment vehicle managed by Cormorant Asset Management, LP, purchased from the Issuer 639,110 shares of Common Stock at a purchase price of $10.7173 per share.

In connection with and immediately prior to the closing of the Business Combination, pursuant to the terms of the Subscription Agreement, Cormorant Global Healthcare Master Fund, LP ("Master Fund"), which is an investment vehicle managed by Cormorant Asset Management, LP, purchased from the Issuer 5,598,425 shares of Common Stock at a purchase price of $10.7173 per share.

Upon the closing of the Business Combination, as contemplated by the terms of the Business Combination Agreement, dated as of February 28, 2025 (as amended, the "Business Combination Agreement"), by and among Helix, Legacy BBOT, and Helix Merger Sub, Inc., the owners of Legacy BBOT equity as of immediately prior to the closing, including Fund V, Master Fund, and Cormorant Private Healthcare Fund IV, LP ("Fund IV"), received as consideration therefor, shares of common stock of the Issuer.

Sponsor is the record holder of the securities reported herein. Fund III, Fund V, and Master Fund are the members of Sponsor. Bihua Chen is the manager of Sponsor and has voting and investment discretion with respect to the shares held of record by Sponsor. Each of Fund III, Fund V, Master Fund and Ms. Chen disclaims any beneficial ownership of the securities held by Sponsor other than to the extent of any pecuniary interest she or it may have therein, directly or indirectly.

Cormorant Asset Management, LP serves as the investment manager to Fund III, Fund IV, Fund V, and Master Fund (collectively, the "Cormorant Funds"). Cormorant Private Healthcare GP III, LLC ("GP III") is the general partner of Fund III; Cormorant Private Healthcare GP IV, LLC ("GP IV") is the general partner of Fund IV; Cormorant Private Healthcare GP V, LLC ("GP V") is the general partner of Fund V; and Cormorant Global Healthcare GP, LLC ("Global GP") is the general partner of the Master Fund. Bihua Chen serves as the managing member of GP III, GP IV, GP V, and Global GP, and as the general partner of Cormorant Asset Management, LP. Accordingly, Ms. Chen has voting and investment discretion with respect to the shares held by each of the Cormorant Funds and Cormorant Asset Management, LP. Ms. Chen disclaims any beneficial ownership of the securities held by each of the Cormorant Funds other than to the extent of any pecuniary interest she may have therein, directly or indirectly.

Ms. Chen serves on the Board of Directors of the Issuer. Sponsor and the Cormorant Funds may be deemed to be directors by deputization as a result of the service of Ms. Chen.


Shares withheld to satisfy tax withholding obligation applicable to the vesting of 1,667 stock-settled restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock. Fractional amounts have been rounded to the nearest whole number.


Shares withheld to satisfy tax withholding obligation applicable to the vesting of 333 stock-settled restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock. Fractional amounts have been rounded to the nearest whole number.


Common Stock

Common Stock

The option for 911 shares vested in increments of one third annually beginning on the first anniversary of the April 26, 2019 date of grant.

The option for 1432 shares vested in increments of one third annually beginning on the first anniversary of the April 23, 2020 date of grant.

The shares were sold in multiple transactions at prices ranging from $244.55 to $245.54, inclusive. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.

The shares were sold in multiple transactions at prices ranging from $245.58 to $246.46, inclusive. This amount represents the weighted average sale price of such transactions. The reporting person undertakes to provide full information regarding the number of shares sold at each separate price upon request of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer.


Common Stock

Each share of phantom stock is the economic equivalent of one share of common stock.  The phantom shares become payable upon termination of service.


The price reported in Column 4 is a weighted average price. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price.

/s/ John P Meloun, as Attorney-in-Fact for Bruce N. Haase


This transaction was executed in multiple trades at prices ranging from $43.33 to $43.51 per share. The price reported represents the weighted average purchase price of these trades. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the shares purchased at each separate price.


The price reported represents the weighted average price of shares of Series A common stock purchased in multiple transactions at prices ranging from $10.86 to $10.96 per share. The reporting
person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range.

The price reported represents the weighted average price of shares of Series A common stock purchased in multiple transactions at prices ranging from $10.92 to $11.04 per share. The reporting person will provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range.


The price in Column 4 is a weighted average of shares purchased at prices ranging from $4.34 to $4.55. The Reporting Person (RP) undertakes to provide to the Issuer, any securityholder of the Issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price.

Consists of 217,051 shares owned directly by the RP; 1,296 shares owned by a trust for the benefit of the RP's family; 11,000 shares owned by a trust for the benefit of the RP; 50,672 shares that have vested pursuant to previously issued Deferred Stock Units (DSUs); and 1,382 shares issuable pursuant to DSUs that vest monthly through September 3, 2025; provided that such DSUs vest in full on the earlier of (i) one business day prior to the Issuer's next annual stockholder meeting, and (ii) the date immediately prior to a change of control, in each case, provided the RP remains in service with the Issuer through the applicable vesting date.

/s/ John L. Cleary, II, attorney-in-fact


Represents shares withheld for payment of tax liability arising as a result of the partial settlement of three (3) restricted stock unit awards originally reported by the reporting person in Forms 4 filed with the Commission on September 22, 2021, October 13, 2022 and September 25, 2023, and the partial settlement of dividend equivalents accrued on the restricted stock units.

Includes 1,412 dividend equivalents accrued on vested deferred restricted stock units, 991 dividend equivalents accrued on unvested deferred restricted stock units and 4,851 dividend equivalents accrued on unvested restricted stock units. Each dividend equivalent is the economic equivalent of one share of Cisco common stock.

/s/ Deborah L. Stahlkopf by Jay Higdon, Attorney-in-Fact


Represents shares withheld for payment of tax liability arising as a result of the partial settlement of four (4) restricted stock unit awards originally reported by the reporting person in Forms 4 filed with the Commission on September 22, 2021, November 8, 2021, October 13, 2022, and September 25, 2023, and the partial settlement of dividend equivalents accrued on the restricted stock units.

Includes 47,007 dividend equivalents accrued on vested deferred restricted stock units and 14,249 dividend equivalents accrued on unvested restricted stock units. Each dividend equivalent is the economic equivalent of one share of Cisco common stock.

/s/ Charles Robbins by Jay Higdon, Attorney-in-Fact


Represents shares withheld for payment of tax liability arising as a result of the partial settlement of three (3) restricted stock unit awards originally reported by the reporting person in Form 3 filed with the Commission on May 20, 2025.

/s/ Jeetendra I. Patel by Jay Higdon, Attorney-in-Fact


Represents shares withheld for payment of tax liability arising as a result of the partial settlement of three (3) restricted stock awards originally reported by the reporting person in Form 3 filed with the Commission on August 8, 2025.

/s/ Mark Patterson by Jay Higdon, Attorney-in-Fact


Represents shares withheld for payment of tax liability arising as a result of the partial settlement of five (5) restricted stock unit awards originally reported by the reporting person in a Form 3/A filed with the Commission on May 23, 2025.

Includes 184 dividend equivalents accrued on unvested restricted stock units. Each dividend equivalent is the economic equivalent of one share of Cisco common stock.

/s/ Oliver Tuszik by Jay Higdon, Attorney-in-Fact


Held by Kalish Family 2020 Irrevocable Trusts

Class A Common Stock

Class A Common Stock

Class A Common Stock

No shares of Class A Common Stock were transferred or sold upon the vesting of the restricted stock units ("RSUs") other than to the Issuer to satisfy withholding taxes. The Reporting Person received the net of the 28,309 shares of Class A Common Stock underlying the RSUs listed in Table II, and 13,688 shares of Class A Common Stock withheld by the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock.

The Reporting Person acquired shares of Class A Common Stock of the Issuer after the exercise of stock options and paid the aggregate exercise price and the tax withholding in cash.

The reported sales were made pursuant to a pre-arranged program for selling shares of Class A Common Stock adopted on November 27, 2024 pursuant to Rule 10b5-1 under the Securities Exchange Act of 1934.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $42.39 to $43.12, inclusive. The Reporting Person has provided to the Issuer, and undertakes to provide 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 footnotes 4 and 5 to this Form 4.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $42.48 to $43.18, inclusive. See the last sentence of footnote 4 to this Form 4 above.

On February 9, 2022, the Reporting Person was granted 452,940 RSUs vesting quarterly over four (4) years.

These stock options were granted on May 3, 2018. As of the date hereof, all of such remaining stock options have vested.


Represents shares withheld for payment of tax liability arising as a result of the partial settlement of five (5) restricted stock unit awards originally reported by the reporting person in a Form 3 filed with the Commission on August 4, 2023 and in a Form 4 filed with the Commission on September 25, 2023.

/s/ Maria Victoria Wong by Jay Higdon, Attorney-in-Fact


Represents shares withheld for payment of tax liability arising as a result the partial settlement of six (6) restricted stock unit awards originally reported by the reporting person in a Form 3 filed with the Commission on March 14, 2024.

Includes 2,909 dividend equivalents accrued on unvested restricted stock units. Each dividend equivalent is the economic equivalent of one share of Cisco common stock.

/s/ Thimaya K. Subaiya by Jay Higdon, Attorney-in-Fact


Held by Jason Robins Revocable Trust u/d/t January 8, 2014

Class A Common Stock

No shares of Class A Common Stock were transferred or sold upon the vesting of the restricted stock units ("RSUs") other than to the Issuer to satisfy withholding taxes. The Reporting Person received the net of the 38,217 shares of Class A Common Stock underlying the RSUs listed in Table II, and 18,478 shares of Class A Common Stock withheld by the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock.

On February 9, 2022, the Reporting Person was granted 611,468 RSUs vesting quarterly over four (4) years.

Chief Executive Officer and Chairman of the Board. In addition, Jason Robins is the sole holder of 393,013,951 shares of Class B Common Stock of the Issuer, which are not registered securities.


Held by the Paul Liberman 2015 Revocable Trust

Held by the Paul Liberman 2020 Irrevocable Trust

Held by the Rachel Nager Liberman Irrevocable Trust - 2022

Class A Common Stock

President, Global Technology and Product


Common Stock

Each Restricted Stock Unit ("RSU"s) represents the contingent right to receive one share of common stock.

One-third of these RSUs will vest on each of 08/08/2026, 08/08/2027 and 08/08/2028.


Class A Common Stock

No shares of Class A Common Stock were transferred or sold upon the vesting of the restricted stock units ("RSUs") other than to the Issuer to satisfy withholding taxes. The Reporting Person received the net of the 14,154 shares of Class A Common Stock underlying the RSUs listed in Table II, and 6,193 shares of Class A Common Stock withheld by the Issuer. Each RSU represents a contingent right to receive one share of the Issuer's Class A Common Stock.

On February 9, 2022, the Reporting Person was granted 226,470 RSUs vesting quarterly over four (4) years.


The reporting person disclaims beneficial ownership of the shares held by his child, which underly CHESS Depositary Interests ("CDIs"). CDIs are units of beneficial ownership in shares of common stock of the Company that are publicly traded on the Australian Securities Exchange (the "ASX") and held by CHESS Depositary Nominees Pty. Limited, a subsidiary of ASX Limited, the company that operates the ASX. Each CDI represents one fully paid share of common stock. This report should not be deemed an admission that the reporting person is the beneficial owner of his child's shares for purposes of Section 16 or for any other purpose.

Price converted from Australian Dollars into U.S. Dollars based on an exchange rate of $1 AUD to $0.6485 USD.

Represents shares of common stock held by New Dusk Pty Ltd (Odell Family Trust), of which Mr. Odell serves as a director and a shareholder and is a beneficiary of the trust.

Represents shares of common stock held by the Jamie and Caroline Odell Superannuation Fund, a fund of which Mr. Odell is the beneficiary.

/s/ James Sottile, attorney-in-fact for Jamie Odell


The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 29, 2024.

The weighted average sale price for the transaction reported was $18.5580, and the range of prices were between $18.26 and $19.05. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.


Common Stock

Each performance stock unit ("PSU") represents a contingent right to receive one share of the Issuer's common stock. The PSUs vest upon the achievement of certain milestones related to the number of the Issuer's cumulative paid subscribers and blended gross margins.


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 March 14, 2025.

The weighted average sale price for the transaction reported was $17.0185, and the range of prices were between $16.71 and $17.70. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

The weighted average sale price for the transaction reported was $18.2159, and the range of prices were between $17.71 and $18.70. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

The weighted average sale price for the transaction reported was $18.8709, and the range of prices were between $18.74 and $19.05. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.


Includes 480,103 restricted stock units.

/s/ Lisa Taylor as Attorney-in-fact for Scot Elder


Includes 421,228 restricted stock units.

/s/ Lisa Taylor as Attorney-in-fact for Mark Hair


Includes 284,798 restricted stock units.

/s/ Lisa Taylor as Attorney-in-fact for Sean Scanlan


Includes 181,955 restricted stock units.

/s/ Lisa Taylor as Attorney-in-fact for Aaron Berutti


This transaction was executed pursuant to a Rule 10b5-1 trading plan dated April 30, 2025.

The price in Column 4 is a weighted average sale price. The prices actually received ranged from $319.63 to $320.55. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price in Column 4 is a weighted average sale price. The prices actually received ranged from $320.64 to $321.58. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price in Column 4 is a weighted average sale price. The prices actually received ranged from $322.00 to $322.94. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

The price in Column 4 is a weighted average sale price. The prices actually received ranged from $323.02 to $323.15. The reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

Exhibit 24: Power of Attorney provided herewith.

/s/ Angelique M. Okeke by Power of Attorney


Common Stock


This Form 4 is jointly filed by Nathaniel Bradley ("Mr. Bradley") and EOS Technology Holdings Inc. ("EOS"). The shares of common stock, par value $0.0001 per share (the "Common Stock") of the issuer are beneficially owned both directly and indirectly, as outlined above and more fully described below, by Mr. Bradley. 1,000,000 shares of Common Stock of the issuer were transferred by EOS to a third party in connection with a services agreement, dated as of August 8, 2025 (the "Services Agreement"), by and between EOS and the services provider under the Services Agreement.

Mr. Bradley, as an officer and member of the board of directors of EOS, has the power to dispose of and the power to vote the shares of Common Stock beneficially owned by EOS. Mr. Bradley 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 of the Securities Exchange Act of 1934 (the "Exchange Act") or for any other purposes.

Mr. Bradley 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 of the Exchange Act or for any other purposes.


Common Stock

Common Stock

These RSUs will vest on 02/08/2026.


Sheena Jonathan

13011 MCCALLEN PASS BUILDING A SUITE 100

The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on December 11, 2024.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $156.36 to $156.45 per share, inclusive. The holder undertakes to provide, 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 $158.26 to $159.11 per share, inclusive. The holder undertakes to provide, 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 $159.28 to $160.01 per share, inclusive. The holder undertakes to provide, 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 $162.22 to $163.21 per share, inclusive. The holder undertakes to provide, 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 $163.29 to $164.22 per share, inclusive. The holder undertakes to provide, 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 $164.44 to $164.59 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The sale of shares was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on June 7, 2024.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $150.49 to $151.40 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Held for the benefit of the beneficiaries of the trust.  The Reporting Person disclaims beneficial ownership over such securities.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $154.25 to $155.14 per share, inclusive. The holder undertakes to provide, 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 $155.40 to $156.32 per share, inclusive. The holder undertakes to provide, 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 $149.50 to $149.89 per share, inclusive. The holder undertakes to provide, 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 $150.92 to $151.50 per share, inclusive. The holder undertakes to provide, 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 $152.24 to $152.56 per share, inclusive. The holder undertakes to provide, 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 $153.94 to $154.25 per share, inclusive. The holder undertakes to provide, 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 $155.12 to $156.08 per share, inclusive. The holder undertakes to provide, upon written request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

/s/ Vincent Fontanilla, Attorney-in-Fact


Includes 17,244 shares which were granted as restricted stock pursuant to the Company's Amended and Restated 2003 Stock Incentive Plan. Restrictions lapse as to 1,948 shares on each of August 20, 2025, and November 20, 2025, 1,964
shares on March 6, 2026, 1,324 shares on each of May 20, 2026, August 20, 2026, and November 20, 2026, 1,332 shares on March 6, 2027, 1,012 shares on each of May 20, 2027, August 20, 2027, and November 20, 2027, 1,016 shares on
March 6, 2028, 506 shares of each on May 20, 2028, August 20, 2028, and November 20, 2028, and 510 shares on March 6, 2029, if he is an employee of the Company on those dates.


The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.08 to $27.67. The Reporting Person undertakes to provide to Resideo Technologies, Inc. (the "Issuer"), any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the ranges set forth in this footnote and in footnotes 3, 4, 5 and 6.

These securities are owned directly by CD&R Channel Holdings II, L.P. ("CD&R Holdings II"). CD&R Investment Associates XII, Ltd. ("CD&R Holdings GP") is the general partner of CD&R Holdings II and may be deemed to beneficially own the reported securities. Investment and voting decisions with respect to the reported securities are made by majority vote of an investment committee (the "Investment Committee") of limited partners of CD&R Associates XII, L.P. ("CD&R Associates"), which may be deemed to beneficially own the reported securities. Each of CD&R Holdings GP and CD&R Associates, as well as each member of the Investment Committee, expressly disclaims beneficial ownership of the reported securities, except to the extent of their respective pecuniary interest therein.

The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.10 to $27.67.

The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $29.42 to $30.415.

The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $30.42 to $31.41.

The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $31.42 to $31.585.


Represents a charitable contribution of shares of common stock to a donor advised fund.

Represents shares of common stock.

Represents deferred stock units.

Represents restricted stock units.

/s/ Paul F. Cash as Attorney-in-Fact for Myra J. Biblowit


Kayne Anderson Energy Infrastructure Fund, Inc.

These 3.82% Series TT Senior Unsecured Notes Due August 8, 2025 ("Series TT Senior Unsecured Notes") matured on August 8, 2025, on which date the Issuer repaid the original principal amount, plus accrued and unpaid interest, which interest is exempt from Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), pursuant to Rule 16a-9 thereunder.

These Series TT Senior Unsecured Notes were held directly by clients for whom the Reporting Person serves as investment manager.

The Reporting Person disclaims beneficial ownership of the securities reported herein, except to the extent of its pecuniary interest therein, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 of the Exchange Act or for any other purpose.

/s/ Israel Grafstein, Chief Compliance Officer of MetLife Investment Management, LLC


HUTCHINS GLENN H

290 WEST MT. PLEASANT AVENUE, SUITE 4100

Class A Common Stock

Class A Common Stock

The reported securities are directly held by North Island Inferno Fund II LLC ("North Island Inferno"). The reporting person serves as investment manager for North Island Inferno and as such may be deemed to exercise shared voting and investment discretion over securities held by it. The reporting person disclaims beneficial ownership for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Exchange Act"), except to the extent of his pecuniary interest therein, if any.

The reported securities are directly held by Tide Mill LLC ("Tide Mill"). The managing member of Tide Mill is North Island Management, LLC ("NIM"). The reporting person serves as chairman of NIM and may be deemed to directly or indirectly exercise voting and investment discretion over the investments of NIM and Tide Mill. The reporting person disclaims beneficial ownership for purposes of Section 16 of the Exchange Act except to the extent of his pecuniary interest therein, if any.

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

The award vested or vests as to 1/12 of the total award on the tenth calendar day of May, August, November, and February, subject to the reporting person's continued service to the Issuer on each vesting date, with the first tranche vested on May 10, 2025.

These restricted stock units do not expire; they either vest or are cancelled prior to the vesting date.

The award vested or vests as to 1/4 of the total award on the tenth calendar day of May, August, November, and February, subject to the reporting person's continued service to the Issuer on each vesting date, with the first tranche vested on May 10, 2025.

The reporting person's Form 3 filed on March 27, 2025 and subsequent Form 4 filed on May 13, 2025, erroneously attributed beneficial ownership of North Island SPV CW LLC to the reporting person for purposes of Section 16 of the Exchange Act.  The intentional omission of North Island SPV CW LLC in this Form 4 corrects that mistatement.  The reporting person disclaims any beneficial ownership and/or pecuniary interest in this entity.  The erroneous inclusion of this entity was the result of an inadvertent administrative error and not any error of the reporting person.

/s/ Kristen McVeety, as Attorney-in-Fact


Exempt transaction pursuant to Section 16b-3 for 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 to the Issuer 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.  The Reporting Person did not sell or otherwise dispose of any of the shares in this Form 4 for any reason other than to cover required taxes.


Shares held by Mr. Valenti's children.


Common Stock

The options are vested and currently exercisable.


Common Stock

Represents shares held by 4 Arrows Holdings, LLC, for which the reporting person is the manager. The reporting person exercises sole voting and dispositive power over these shares and disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.

Stock options vest in 36 equal monthly installments starting one month after grant date of August 11, 2025.


shares purchased via automatic dividend reinvestment through brokerage account

Form 4 amended to correct total shares beneficially owned reported on 8/12/2025


See Exhibit 99.1 for text of footnote (1).

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


On August 10, 2025, Link Ventures LLLP ("Link Ventures") entered into a Stock Repurchase Agreement with EverQuote, Inc. ("EverQuote") pursuant to which EverQuote agreed to repurchase 900,000 shares of its Class A Common Stock, for $23.33 per share for the aggregate purchase price of $20,997,000 from Link Ventures. The transaction closed on August 12, 2025.

This report is filed jointly by Link Ventures and Link Management, LLC. The reported securities are owned directly by Link Ventures. Link Management, LLC is the general partner of Link Ventures and owns a 1% general partner interest in Link Ventures.


Link Ventures, LLLP directly owns the reported securities. The reporting person is the managing member of Link Management, LLC, which is the general partner of Link Ventures, LLLP. Except to the extent that the reporting person has a direct or indirect pecuniary interest in securities owned by the partnership, the reporting person disclaims beneficial ownership with respect to securities held in this manner. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or any other person.

The Reporting Person no longer has a reportable beneficial interest in 100 shares of Class A Common Stock owned by his son and included in the Reporting Person's prior ownership reports.

Recognition Capital, LLC directly owns the reported securities. The reporting person is the sole manager of Recognition Capital, LLC. Except to the extent that the reporting person has a direct or indirect pecuniary interest in securities owned by the limited liability company, the reporting person disclaims beneficial ownership with respect to securities held in this manner. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or any other purpose.

Cogo Fund directly owns the reported securities. The reporting person is the controlling member of Cogo Labs, LLC, which is the sole manager of Cogo Fund 2020, LLC. Except to the extent that the reporting person has a direct or indirect pecuniary interest in securities owned by the limited liability company, the reporting person disclaims beneficial ownership with respect to securities held in this manner. This report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for the purposes of Section 16 or any other purpose.


Represents shares of voting common stock underlying restricted stock units that fully vest one year from the date of grant, subject to continued service with the Issuer.

Includes 12,658 shares of voting common stock underlying restricted stock units that fully vest on February 12, 2026.


The Anthony J. Wood 2024 Annuity Trust V-B

The Anthony J. Wood 2023 Annuity Trust V-B

The Anthony J. Wood 2025 Annuity Trust V

Class A Common Stock

Each share of Class B Common Stock is convertible at any time at the option of the Reporting Person into one share of Class A Common Stock and has no expiration date. Shares of Class B Common Stock will convert automatically into shares of Class A Common Stock upon the earlier of: (i) any transfer except for certain "Permitted Transfers" as defined in the Issuer's restated certificate of incorporation, (ii) the first "Trading Day", as defined in the Issuer's restated certificate of incorporation, falling on or after the date on which the shares of Class B Common Stock represent less than 10% of the aggregate number of outstanding shares of Class A Common Stock and Class B Common Stock or (iii) the vote of the holders of Class B Common Stock representing at least 66-2/3% of the shares of Class B Common Stock.

Shares sold pursuant to Mr. Wood's 10b5-1 Plan.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $81.25 to $82.23 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $82.25 to $83.24 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $83.25 to $83.61 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote


Common Stock


Brandon Brunet, attorney-in-fact for Melkeya McDuffie


Common Stock

The weighted average sale price for the transaction reported was $65.50, and the range of prices were between $65.31 and $66.00. Upon request by the SEC staff, the Issuer, or any security holder of the Issuer, full information regarding the number of shares sold at each separate price will be provided.

Includes 290 shares of Common Stock that were acquired by the Reporting Person on May 10, 2025 pursuant to the Issuer's Employee Stock Purchase Plan.

1/4th of the shares vested one year after January 23, 2024 (the "Vesting Commencement Date") and the balance of the shares vest in a series of 36 successive equal monthly installments measured from the first anniversary of the Vesting Commencement Date.


Common Stock

Reported transaction occurred pursuant to a Rule 10b5-1 Plan adopted by the reporting person on November 22, 2024.

The stock option is fully vested.


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 $243.29 to $244.26 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.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $244.33 to $245.32 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 $245.34 to $246.33 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 $246.34 to $246.73 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.

On August 8, 2025, certain affiliates of SoftBank Group Corp. (collectively, "SoftBank") reported on its Schedule 13D the sale of 9,433,600 shares of common stock of the Issuer that the Reporting Persons may have been deemed to beneficially own by virtue of a proxy agreement between the Reporting Persons and SoftBank (the "Proxy Agreement"). The number of shares reported in Column 5 of this Form 4 reflect the remaining shares held by SoftBank as reported on its Schedule 13D that the Reporting Persons may be deemed to beneficially own by virtue of the Proxy Agreement following such sale reported by SoftBank.

The reported price in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $245.56 to $246.54 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 $246.56 to $247.55 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 $247.56 to $248.55 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 $248.56 to $248.93 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 $248.34 to $249.32 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 $249.34 to $250.33 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 $250.35 to $251.33 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 $251.36 to $252.35 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 $252.36 to $252.40 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.


Non-Qualified Stock Option (Right to Buy)

Common Stock, Par Value $1.00

Reflects the weighted average sale price (prices actually received ranged from $267.99 to $270.63). The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the SEC staff, upon request, information regarding the number of shares sold at each price within the range.

By: /s/ John C. Scarborough, Jr., Attorney-in-Fact For: Christopher E. Kubasik


Common Stock

Common Stock

On August 7, 2024, Ms. Elting was granted 2,970 restricted stock units ("RSUs"), vesting in three equal installments on the first three anniversaries of the grant date.

Each RSU represents a right to acquire one share of McDonald's Corporation common stock.

Settlement of dividend equivalent rights in connection with vested RSUs. Each dividend equivalent right is the economic equivalent of one share of McDonald's Corporation common stock.

/s/ Jeffrey J. Pochowicz, Attorney-in-fact


/s/ Roland T. Kelly, by power of attorney


These shares were granted as Deferred Stock Units (DSUs) and vest upon grant. These DSUs are payable no earlier than six months following termination of service as a director of the Company, at the director's election, with the right of the Company to clawback the value of the DSUs within one year following a termination of service upon the occurrence of certain events.


The reporting person has no direct pecuniary interest in such shares and disclaims beneficial ownership except to the extent ultimately realized.


Common Stock

Common Stock

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

Stock options were granted on 03/08/2017, vested ratably over a three-year period, and were fully vested on 04/01/2020.

Stock options were granted on 03/07/2018, vested ratably over a three-year period, and were fully vested on 04/01/2021.

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


Sales made pursuant to a 10(b)5-1 trading plan previously adopted by the Reporting Person on December 13, 2024.

This price reflects the weighted average price at which these shares were sold. The shares were sold in multiple transactions at prices ranging from $279.62 to $280.60, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

This price reflects the weighted average price at which these shares were sold. The shares were sold in multiple transactions at prices ranging from $280.75 to $281.24, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

This price reflects the weighted average price at which these shares were sold. The shares were sold in multiple transactions at prices ranging from $281.96 to $282.87, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

This price reflects the weighted average price at which these shares were sold. The shares were sold in multiple transactions at prices ranging from $283.20 to $283.55, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

This price reflects the weighted average price at which these shares were sold. The shares were sold in multiple transactions at prices ranging from $280.45 to $281.29, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

This price reflects the weighted average price at which these shares were sold. The shares were sold in multiple transactions at prices ranging from $281.64 to $282.21, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

This price reflects the weighted average price at which these shares were sold. The shares were sold in multiple transactions at prices ranging from $282.89 to $283.69, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

This price reflects the weighted average price at which these shares were sold. The shares were sold in multiple transactions at prices ranging from $286.29 to $287.18, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

This price reflects the weighted average price at which these shares were sold. The shares were sold in multiple transactions at prices ranging from $280.13 to $280.26, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

These shares of Class A Common Stock ("Class A Shares") are held by a pension trust of which the Reporting Person is the sole trustee and who, in that capacity, possesses sole voting and sole dispositive power over these Class A Shares. However, the Reporting Person does not possess any pecuniary interest in these Class A Shares.

This price reflects the weighted average price at which these shares were sold. The shares were sold in multiple transactions at prices ranging from $281.98 to $282.93, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

This price reflects the weighted average price at which these shares were sold. The shares were sold in multiple transactions at prices ranging from $283.50 to $283.95, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

These Class A Shares are owned by IGSB Cardinal I, LLC, a limited liability company, of which the Reporting Person is the managing member.  In that capacity, the Reporting Person possesses sole voting and dispositive power over these Class A Shares. However, the Reporting Person disclaims beneficial ownership in these Class A Shares, except to the extent of any pecuniary interest he may have therein.

These Class A Shares are owned by IGSB Gaucho Fund I, LLC, a limited liability company, of which the Reporting Person is the managing member. In that capacity, the Reporting Person possesses sole voting and dispositive power over these Class A Shares. However, the Reporting Person disclaims beneficial ownership in these Class A Shares, except to the extent of any pecuniary interest he may have therein.

These Class A Shares are owned by IGSB Cardinal Core BV, LLC, a limited liability company, of which the Reporting Person is the managing member. In that capacity, the Reporting Person possesses sole voting and dispositive power over these Class A Shares, but he disclaims beneficial ownership in these Class A Shares, except to the extent of any pecuniary interest he may have therein.

/s/ Kimberly Shea, Attorney-in-Fact for Maurice J. Duca


The Restricted Stock Units (RSUs) were granted pursuant to the Amgen Inc. 2009 Director Incentive Program, as amended (the Director Program), under the Amgen Inc. Second Amended and Restated 2009 Equity Incentive Plan and vested immediately. Vested RSUs are paid in shares of the Company's common stock on a one-to-one basis. Vested RSUs may be deferred by the director, in which case, payment will occur according to the elected deferral schedule.

These shares include 291 Dividend Equivalents (DEs) granted pursuant to the Director Program and subject to a qualifying dividend reinvestment plan. DEs are credited on the director's vested but deferred Restricted Stock Units and are paid out in shares of the Company's Common Stock on a one-to-one basis along with a cash payment for any remaining fractional share amount.