Class A Common Stock

Sale of shares to cover tax withholding obligation incurred upon settlement of restricted stock units.

The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $43.05 to $43.80. Upon request by the staff of the U.S. Securities and Exchange Commission, 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.

Includes an aggregate of 633 shares acquired by the Reporting Person under the Issuer's Amended and Restated 2018 Employee Stock Purchase Plan on August 14, 2025.

Held by The Shawn M. Soderberg 2005 Trust, of which the Reporting Person is the trustee.

These stock options are fully vested.

Chief Legal Officer and Corporate Secretary


Represents shares held by US Mine Corporation, of which the reporting person is a 25% owner. The Reporting Person disclaims beneficial ownership as to 75% of such shares.


The Original Form 4 is being amended by this Form 4/A to correct an inadvertent error reporting the disposition of shares on August 11, 2025 and to correct the number of shares beneficially owned directly by the reporting person after this reported transaction.


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.


Sale of shares effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on March 14, 2025 (the "Rule 10b5-1 Trading Plan").

Sale of shares to cover tax withholding obligation incurred upon settlement of restricted stock units effected pursuant to the Rule 10b5-1 Trading Plan.

The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $41.80 to $43.84. Upon request by the staff of the U.S. Securities and Exchange Commission, 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.

/s/ Shawn M. Soderberg, as attorney-in-fact


Represents shares held by US Mine Corporation, of which the reporting person is a 50% owner. The Reporting Person disclaims beneficial ownership as to 50% of such shares.


/s/ Andria Iles, Attorney-in-Fact for Emma E. Giamartino


The price reported represents the weighted average sale price per share. The shares were sold in multiple transactions at prices ranging from $42.93 to $43.79. Upon request by the staff of the U.S. Securities and Exchange Commission, 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.


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

The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $13.04 to $14.01 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

The reported price in Column 4 is a weighted average purchase price. These shares were purchased in multiple transactions at prices ranging from $13.55  to $13.91 per share. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote.

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


This transaction was executed in multiple trades at prices ranging from $15.00 to $15.19 USD; the price reported above reflects the weighted averagesale price. The reporting person hereby undertakes, upon request, to provide to Comstock Holding Companies, Inc. (the "Issuer"), any security holder ofthe Issuer, or the Securities and Exchange Commission, full information regarding the number of shares and prices at which the transaction was effected.


Shares held by a trust of which the Reporting Person is a Trustee. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein.

Shares held by an irrevocable trust of which the Reporting Person is a Trustee. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein.

Shares held by a limited partnership of which the Reporting Person is a trustee of a trust which is the general partner. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest therein.

Includes 2,351 shares to be issued in connection with the vesting of restricted stock units. The Reporting Person shares pecuniary interest in such shares with other parties pursuant to contractual relationships. The Reporting Person disclaims beneficial ownership in these shares except as to the Reporting Person's pecuniary interest in these shares.

/s/ Kanwalpreet S. Kalra, Attorney-in-Fact


Common Stock

The annual phantom stock grant is issued as non-employee director compensation under the Amended and Restated Walgreens Boots Alliance, Inc. 2021 Omnibus Incentive Plan (including the applicable election forms thereunder, the "Plan") in arrears with respect to services rendered over the course of the prior year, and each unit of phantom stock is the economic equivalent of one share of the company's common stock.

To be settled following termination of service as a director in accordance with the terms and conditions of the Plan.

Includes phantom stock units that were issued in lieu of dividends on outstanding phantom stock units.

/s/ Robert Luther Huffines by Cherita Thomas, Attorney-in-Fact


Common Stock

/s/ Ginger L. Graham by Paul Ingram, Attorney-in-Fact


Common Stock, par value $0.0001 per share

Common Stock

Shares surrendered to pay tax liability due on vesting of Restricted Stock Units

Each restricted stock unit represents a contingent right to receive one share of PHLT's common stock. The units were awarded at no cost to the Reporting Person.

Restricted Stock Unit award was granted on August 13, 2021 (the "Grant Date"). The Restricted Stock Units will vest in four equal installments on the first day of the next open trading window immediately following the first, second, third and fourth anniversaries of the Grant Date provided that the Reporting Person remains in continuous service through each vest date, subject to vesting acceleration pursuant to the terms of the Reporting Person's Change in Control and Severance Agreement.

/s/ Rohit Ramchandani, Attorney-in-Fact for Simeon M. Kohl


The price in column 4 is a weighted average price. The prices actually paid for the stock ranged from $4.205 to $4.33 per share. The reporting person has provided the Company, and upon request, will provide any security holder of the Company or the SEC staff, with information regarding the number of shares acquired at each price within that range.

The ARS Trust, a revocable trust for the benefit of the reporting person's spouse, was previously described as the AMR Trust on the reporting person's Forms 4.

The RJR Trust is an irrevocable trust for the benefit of the reporting person's child.

The SSR DSNT is an irrevocable trust for the benefit of the reporting person's child.

The price in column 4 is a weighted average price. The prices actually paid for the stock ranged from $4.38 to $4.53 per share. The reporting person has provided the Company, and upon request, will provide any security holder of the Company or the SEC staff, with information regarding the number of shares acquired at each price within that range.

/s/ Kathryn Murray, as Attorney-in-Fact for Christopher D. Stansbury


Common Stock

/s/ Janice M. Babiak by Paul Ingram, Attorney-in-Fact


Ordinary Shares

The Ordinary Shares may be represented by American Depositary Shares, each of which currently represents one Ordinary Share.

The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on September 14, 2024.

25% of the shares subject to such option shall vest and become exercisable on February 19, 2022 and the remaining 75% of the shares subject to such option shall vest and become exercisable in 36 monthly installments on the first day of each month thereafter.


Annual share grant issued as non-employee director compensation under the Amended and Restated Walgreens Boots Alliance, Inc. 2021 Omnibus Incentive Plan in arrears with respect to services rendered over the course of the prior year.

/s/ Bryan C. Hanson by Cherita Thomas, Attorney-in-Fact


Common Stock

/s/ Valerie B. Jarrett by Paul Ingram, Attorney-in-Fact


Common Stock

/s/ Inderpal S. Bhandari by Cherita Thomas, Attorney-in-Fact


Common Stock

/s/ John Lederer by Paul Ingram, Attorney-in-Fact


Common Stock

Annual share grant issued as non-employee director compensation under the Amended and Restated Walgreens Boots Alliance, Inc. 2021 Omnibus Incentive Plan (the "Plan") in arrears with respect to services rendered over the course of the prior year.

The annual phantom stock grant is issued as non-employee director compensation under the Plan in arrears with respect to services rendered over the course of the prior year, and each unit of phantom stock is the economic equivalent of one share of the company's common stock.

/s/ Thomas E. Polen, Jr. by Cherita Thomas, Attorney-in-Fact


Common Stock

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $362.87 to $363.86, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $363.88 to $364.87, inclusive.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $364.91 to $365.77, inclusive.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $366.00 to $366.22, inclusive.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $367.115 to $368.05, inclusive.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $368.13 to $368.98, inclusive.

The shares underlying this stock option are fully vested and exercisable.


Common Stock, par value $0.001 per share

This sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person in 2024.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $57.50 to $57.99, inclusive. The reporting person hereby undertakes to provide upon request by the Securities and Exchange Commission staff, the Issuer, or a shareholder of the Issuer full information regarding the number of shares sold at each separate price.

/s/ Dov Gottlieb, as attorney-in-fact for Guy Melamed


Class A Common Stock

On August 13, 2025, the reporting person converted, at his election, 600,000 shares of his Class B Common Stock into Class A Common Stock. Each share of Class B Common Stock is convertible at any time at the option of the holder into one share of Class A Common Stock and has no expiration date.

The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 15, 2024.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $77.00 to $77.99, inclusive. The reporting person undertakes to provide to Wayfair Inc., any security holder of Wayfair Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $78.00 to $78.99, inclusive. The reporting person undertakes to provide to Wayfair Inc., any security holder of Wayfair Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.00 to $79.89, inclusive. The reporting person undertakes to provide to Wayfair Inc., any security holder of Wayfair Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

Represents shares directly owned by SK Ventures LLC, of which the reporting person is a member and may be deemed to be a beneficial owner.

/s/ Enrique Colbert, Attorney-in-Fact for Steven Conine


Common Stock

The annual phantom stock grant is issued as non-employee director compensation under the Amended and Restated Walgreens Boots Alliance, Inc. 2021 Omnibus Incentive Plan (including the applicable election forms thereunder, the "Plan") in arrears with respect to services rendered over the course of the prior year, and each unit of phantom stock is the economic equivalent of one share of the company's common stock.

To be settled following termination of service as a director in accordance with the terms and conditions of the Plan.

/s/ William Shrank by Cherita Thomas, Attorney-in-Fact


Class A Common Stock

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $79.00 to $79.90, inclusive. The reporting person undertakes to provide to Wayfair Inc., any security holder of Wayfair Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

/s/ Enrique Colbert, Attorney-in-fact for Niraj Shah


Annual share grant issued as non-employee director compensation under the Amended and Restated Walgreens Boots Alliance, Inc. 2021 Omnibus Incentive Plan in arrears with respect to services rendered over the course of the prior year.

/s/ Nancy Schlichting by Paul Ingram, Attorney-in-Fact


Shares were sold pursuant to a 10b5-1 trading plan adopted by the Reporting Person in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Includes previously reported shares of common stock underlying Restricted Stock Units granted to the Reporting person, a portion of which are still subject to certain vesting conditions.


Common Stock

Shares surrendered to pay tax liability due on vesting of Restricted Stock Units

Each restricted stock unit represents a contingent right to receive one share of PHLT's common stock. The units were awarded at no cost to Reporting Person.

Restricted Stock Unit award was granted on August 13, 2021 (the "Grant Date"). The Restricted Stock Units will vest in four equal installments on the first day of the next open trading window immediately following the first, second, third and fourth anniversaries of the Grant Date provided that the Reporting Person remains in continuous service through each vest date, subject to vesting acceleration pursuant to the terms of the Reporting Person's Change in Control and Severance Agreement.


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

/s/ Scott Watkinson, by Power of Attorney


These shares of Class A Common Stock are issuable upon vesting of restricted stock units ("RSUs"). These RSUs vest upon the satisfaction of a service condition. The service condition is satisfied as to 1/4th of the shares on November 1, 2025 and as to an additional 1/4th of the shares for each three-month period of continuous service thereafter.

/s/ Enrique Colbert, Attorney-In-Fact for Jeremy King


Common Stock

The exercises and sales were effected pursuant to a Rule 10b5-1 trading plan.

Options are fully exercisable.

Options granted by the Compensation and Leadership Development Committee of the Company's Board of Directors pursuant to the 2018 Omnibus Incentive Plan.


/s/ Enrique Colbert, Attorney-in-Fact for Andrea Jung


Common Stock

The exercise and sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan previously adopted by the Reporting Person on April 11, 2025.

This represents a weighted-average price. These shares were sold in multiple transactions at prices ranging from $45.36 to $47.50. The Reporting Person undertakes to provide the Issuer, any securityholder of the Issuer, or the Staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The shares subject to this option award are fully vested and exercisable as of the date hereof.

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


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

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

The Reporting Persons are jointly filing this Form 4. Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons (other than to the extent it directly holds securities reported herein) states that the inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of any or all of the reported securities for purposes of Section 16 or for any other purpose. Upon the sales reported herein, the Reporting Persons ceased to be beneficial owners of more than 10% of the outstanding shares of Garrett Motion Inc. Common Stock.


Common Stock

Common Stock

Common Stock

Bona fide gift.

Based on information from the trustee of the 401(k) Plan.

Option fully vested.

/s/ Jeffrey J. LaValle under Power of Attorney for David J. Pauli


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.


Total includes 1,965 unvested restricted shares and 13,970 shares held directly by Ms. Sastre.


Non-qualified Stock Option (Right to Buy)

Common Stock

As indicated by the checkbox above, this transaction was effected automatically pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on January 9, 2025.

Shares held in the reporting person's name or in the Marc R. Benioff Revocable Trust.

Weighted average price.  These shares were sold in multiple transactions at prices ranging from $232.9300 to $233.9157 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

Weighted average price.  These shares were sold in multiple transactions at prices ranging from $233.9447 to $234.9279 inclusive.  The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

Weighted average price.  These shares were sold in multiple transactions at prices ranging from $234.9523 to $235.8900 inclusive. The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

Weighted average price.  These shares were sold in multiple transactions at prices ranging from $235.9700 to $236.0000 inclusive.  The reporting person undertakes to provide the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth above.

Shares held in the Marc Benioff Fund LLC (the "Fund").  Fund interests are held in the reporting person's name or in trust.

Option vests over four years at the rate of 25% on March 22, 2020, the first anniversary of the holder's date of grant, with the balance vesting in equal monthly installments over the remaining 36 months.

/s/ Andrew Leeds, Attorney-in-Fact for Marc Benioff


Nonqualified employee stock options (right to buy)

Common stock

Common stock

The options vest in four equal annual installments beginning on this date.


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


Class A Common Stock

Class A Common Stock

Represents the conversion of Class B Common Stock into Class A Common Stock held of record by the Reporting Person.

The shares are held by John C. Clifford and Katrina M. Lake, Trustees of the John C. Clifford and Katrina M. Lake Revocable Trust dated May 23, 2016.

Shares were disposed of pursuant to a Rule 10b5-1 plan entered into on January 7, 2025.

The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.06 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.

The shares are held by Katrina M. Lake, Trustee of The Katrina M. Lake Revocable Trust dated May 23, 2016.

The reported price in Column 4 is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $5.00 to $5.07 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.

Each share of Class B Common Stock is convertible into one share of Class A Common Stock at the option of the holder and has no expiration date.

/s/ Casey O'Connor Attorney-in-Fact for Katrina Lake


The sale reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 19, 2024.

The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.4300 to $5.6850, inclusive. The reporting person undertakes to provide to Cricut Inc., any security holder of Cricut Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.5500 to $5.6750, inclusive. The reporting person undertakes to provide to Cricut Inc., any security holder of Cricut Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.4550 to $5.6850, inclusive. The reporting person undertakes to provide to Cricut Inc., any security holder of Cricut Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.


Common Stock

Includes (i) 4,620 shares of restricted stock units that vest in three substantially equal installments on each of March 17, 2026, March 17, 2027 and March 17, 2028, (ii) 2,800 shares of restricted stock units that vest in two substantially equal installments on each of March 20, 2026 and March 20, 2027 and (iii) 7,600 shares of restricted stock that vest on March 7, 2026, subject to the Reporting Person's continued service to the Issuer through the applicable vesting date.

Stock options granted under the Willdan Group, Inc. Amended and Restated 2008 Performance Incentive Plan, which vested in three equal installments on each of December 7, 2016, December 7, 2017 and December 7, 2018.


Common Shares

Common Shares

No new stock options have been awarded. The transactions reported herein reflect vesting of performance-based stock options ("Performance Options") previously awarded to the Reporting Person on January 20, 2021, vesting subject to performance conditions that were subsequently satisfied, as certified and approved by the board of directors of atai Life Sciences NV as of August 13, 2025.  The portion of the Performance Options is fully vested and currently exercisable with respect to the shares reported herein.


Amount includes 3,532 of unvested Restricted Stock Units.

/s/ Jacob J. Guild, Attorney-in-Fact for Alexander M. Puchner


Common Stock

Represents grant of restricted stock units (the "RSU Award") payable solely in common stock of the Issuer. The shares subject to the RSU Award vest in four equal annual installments commencing on July 1, 2026, subject to the Reporting Person's continued service with the Issuer on each respective vesting date.

One-fourth (1/4th) of the shares subject to the option shall vest on the one-year anniversary of the vesting commencement date of July 1, 2026 (the "VCD"), and 1/36th of the remaining shares shall vest each month thereafter on the same day of the month as the VCD (or if there is no corresponding day, on the last day of the month), subject to the Reporting Person's continuous service with the Issuer on each respective vesting date.


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.13, inclusive. The reporting person undertakes to provide to Bridgewater Bancshares, Inc., any security holder of Bridgewater Bancshares, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth in this footnote to this Form 4.

Shares of common stock are held by Mr. Shellberg as trustee of the Jeffrey D. Shellberg Trust under agreement dated October 1, 2014. Mr. Shellberg possesses voting and investment power with respect to the shares of common stock held by the Jeffrey D. Shellberg Trust under agreement dated October 1, 2014.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.02, inclusive. The reporting person undertakes to provide to Bridgewater Bancshares, Inc., any security holder of Bridgewater Bancshares, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price set forth in this footnote to this Form 4.

Shares of common stock are held by Mr. Shellberg as trustee of the Susan K Shellberg Family Trust dated July 16, 2024. Mr. Shellberg possesses voting and investment power with respect to the shares of common stock held by the Susan K. Shellberg Family Trust dated July 16, 2024.

Shares of common stock are held by Mr. Shellberg as trustee of the Susan K. Shellberg Marital Trust dated July 16, 2024. Mr. Shellberg possesses voting and investment power with respect to the shares of common stock held by the Susan K. Shellberg Marital Trust dated July 16, 2024.


This transaction was executed in multiple trades at prices ranging from $41.2200 to $41.4300.  The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide, upon request, full information regarding the number of shares and prices at which the transaction was effected to the SEC staff, the issuer or a security holder of the issuer.

/s/James D. Small, Attorney-in-Fact, pursuant to power of attorney previously filed


The sales reported in this Form 4 were effected pursuant to a 10b5-1 trading plan adopted by the Reporting Person on March 14, 2025 in accordance with Rule 10b5-1 of the Securities Exchange Act of 1934, as amended.

Includes Restricted Stock Units that have not yet vested.


Represents restricted stock units ("RSUs") granted under the 2024 Amended & Restated Prairie Operating Co. Long-Term Incentive Plan (as amended, the "LTIP"). Each RSU represents a contingent right to receive, upon vesting, one share of common stock, par value $0.01 per share, of Prairie Operating Co. ("Common Stock"). The 38,860 RSUs reported on this Form 4 will vest in full on June 4, 2026.

Represents RSUs granted under the LTIP. Each RSU represents a contingent right to receive, upon vesting, one share of Common Stock. The 62,500 RSUs reported on this Form 4 will vest ratably in three annual installments beginning on March 26, 2026.


/s/ Melissa K. Buce, as attorney-in-fact


Disposition of common stock to the issuer solely to cover tax withholding obligations arising from the vesting of restricted stock units.

The amount includes exempt purchases made under the Company's stock purchase plan since the date of the last filing on Form 4.

These underlying shares were acquired on a periodic basis by the trustee of the Company's tax qualified Profit Sharing (401(k)) Plan. The information was obtained from the plan administrator as of a current date. The number of shares is based on the account balance of the Company stock fund under the Plan (which includes some money market instruments) divided by the market price of the Company's stock as of that date.

Sean D. Mersten, Attorney in Fact for Karthik Kuppusamy


This transaction was executed in multiple trades at prices ranging from $69.19 to $70.35. The price reported above reflects the weighted average sale price. Upon request, the reporting person hereby undertakes to provide 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 $67.73 to $69.09. The price reported above reflects the weighted average sale price. Upon request, the reporting person hereby undertakes to provide 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.


Each depositary share represents ownership of a 1/100th interest in a share of the Issuer's 5.875% Non-Cumulative Perpetual Preferred Stock, Series A, $0.01 par value per share.


Class A Common Stock

Class A Common Stock

Shares of Class V-1 Common Stock of the Issuer have no economic rights and each share of Class V-1 Common Stock entitles its holder to 1 vote per share.

The term "Symbotic Holdings Units" is used herein to represent limited liability company units of Symbotic Holdings and an equal number of paired shares of Class V-1 Common Stock of the Issuer, which, pursuant to the limited liability company agreement of Symbotic Holdings, are together redeemable by the holder on a one-for-one basis for a share of Class A Common Stock of the Issuer, subject to conversion rate adjustments for stock splits, stock dividends, reclassification and other similar transactions, and in accordance with other terms and conditions set forth in Symbotic Holdings' Second Amended and Restated Limited Liability Company Agreement, dated as of June 7, 2022. Upon redemption, the Issuer will cancel the Symbotic Holdings Units and cancel and retire for no consideration the redeemed shares of Class V-1 Common Stock.

On August 13, 2025, the Reporting Person sold 20,000  shares of Class A Common Stock (the "Stock Sale"). In connection with the Stock Sale, effective August 13, 2025, the Reporting Person redeemed  20,000 Symbotic Holdings Units in exchange for an equal number of shares of Class A Common Stock (the "Redemption"). In connection with the Redemption, Symbotic Holdings canceled the Symbotic Holdings Units, and the Issuer canceled and retired for no consideration the redeemed  20,000 shares of Class V-1 Common Stock.

Mr. Krasnow may be considered the beneficial owner of securities held by Inlet View, Inc., of which Mr. Krasnow is the President and CEO. Mr. Krasnow disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

In accordance with SEC guidance authorizing aggregate reporting of same-day purchases and sales, the shares were sold in multiple transactions at prices ranging from $51.20 to $52.16, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Consists of 5,000 shares sold by the Krasnow Family 2019 Charitable Remainder Trust and 5,000 shares sold by the Todd and Deborah Krasnow CRUT.

In accordance with SEC guidance authorizing aggregate reporting of same-day purchases and sales, the shares were sold in multiple transactions at prices ranging from $51.20 to $51.59, inclusive. The Reporting Person undertakes to provide the Issuer, any security holder of the Issuer or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote.

Mr. Krasnow may be considered the beneficial owner of the remaining 20,000 shares of Class A Common Stock held by the Krasnow Family 2019 Charitable Remainder Trust and the remaining 20,000 shares of Class A Common Stock held by the Todd and Deborah Krasnow CRUT, both of which are trusts for which Mr. Krasnow is trustee and to which Mr. Krasnow is a beneficiary. Mr. Krasnow disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

Consists of (i) 30,000 Symbotic Holdings Units and an equal number of paired shares of Class V-1 common stock held by the Reporting Person's spouse and (ii) 150,000 Symbotic Holdings Units and an equal number of paired shares of Class V-1 common stock held by the Todd J. Krasnow 2024 Irrevocable Trust, in which the Reporting Person's spouse acts as trustee and to which members of the Reporting Person's immediate family have a pecuniary interest.

The Reporting Person disclaims beneficial ownership of the securities held by his spouse. The Reporting Person does not have voting or investment control over the securities held by the Todd J. Krasnow 2024 Irrevocable Trust and disclaims beneficial ownership of such securities except to the extent that the Reporting Person may be considered to have an indirect pecuniary interest therein. This report shall not be deemed an admission that the Reporting Person is the beneficial owner of the spouse's securities or the securities held by the trust for purposes of Section 16 or for any other purpose.

/s/ Corey Dufresne, Attorney-in-Fact for Todd Krasnow


Represents a bona fide gift to a charitable donor-advised fund. Price is not applicable to acquisitions or dispositions resulting from bona fide gifts.

The Reporting Person may be considered to have an indirect pecuniary interest in shares of Class A Common Stock held by the Alice C. Panitz Residuary Trust, in which the Reporting Person's spouse has a pecuniary interest. Mr. Ladensohn does not have voting or investment control over the shares and disclaims beneficial ownership of the shares held by the Alice C. Panitz Residuary Trust except to the extent that Mr. Ladensohn may be considered to have an indirect pecuniary interest therein. The filing of this Form 4 shall not be deemed an admission that the Reporting Person is the beneficial owner of the spousal shares for purposes of Section 16 of the Exchange Act or for any other purpose.

The Reporting Person may be considered the beneficial owner of shares of Class A Common Stock held directly by Ladensohn Family Investments, Ltd., of which he is one of the general partners. The Reporting Person disclaims beneficial ownership of such securities except to the extent of his pecuniary interest therein.

/s/ Corey Dufresne, Attorney-in-Fact for David A. Ladensohn


Class A Common Stock

Class A Common Stock

The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $19.25 to $19.32, inclusive. The reporting person undertakes to provide CompoSecure, Inc. (the "Issuer"), any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

The price reported in Column 4 is the weighted average price. These shares were sold in multiple transactions at prices ranging from $19.25 to $19.60, inclusive. The reporting person undertakes to provide the Issuer, any securityholder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range.

Includes (A) 179,228 shares of Class A Common Stock owned by the reporting person,  (B) 94,877 shares of Class A Common Stock underlying restricted stock units ("RSUs"), which will vest in three equal installments on February 26, 2028, February 26, 2030 and February 26, 2032, (C) 62,500 shares of Class A Common Stock underlying RSUs that will vest on January 1, 2026, (D) 43,658 shares of Class A Common Stock underlying RSUs that will vest on January 1, 2026, (E) 107,129 shares of Class A Common Stock underlying RSUs that will vest ratably on January 1, 2026 and January 1, 2027, and (cont'd in FN 4)

(con't from FN 3) (F) 291,670 performance-vesting RSUs, which will vest over the applicable performance period based on the achievement of the provided performance targets, as set forth in the respective governing award agreement, subject in each case to the reporting person's continued service as of the applicable vesting date. The RSUs will be settled into Class A Common Stock upon vesting and may be settled net of shares withheld to pay applicable taxes.

All of the shares subject to this option are fully vested and exercisable as of the date hereof.

/s/ Gregoire Maes, by attorney-in-fact Steven J. Feder


This disposition transaction was executed in multiple trades at prices ranging from $51.16 to $51.26. 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.

Includes an additional 255 shares that were acquired by the Reporting Person under the Issuer's Employee Stock Purchase Plan since his last Section 16 filing.

Hope M. Spencer is signing on behalf of the Reporting Person pursuant to a Power of Attorney attached hereto as Exhibit 24.


Transaction made pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on January 9, 2025.

Includes 1,602 restricted stock units.

/s/ Noelle Matteson, Attorney-in-Fact for Justine F. Page


Common Stock

Common Stock

The reported transaction is a stock option exercise pursuant to a 10b5-1 plan adopted by the reporting person on May 14, 2025.

The reported transaction is an open market sale pursuant to a 10b5-1 plan adopted by the reporting person May 14, 2025.

The price reported in Column 4 is a weighted average price.  These shares were sold in multiple transactions at prices ranging from $261.4100 - $263.9900, inclusive.  The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (3) to this Form 4.

The price reported in Column 4 is a weighted average price.  These shares were sold in multiple transactions at prices ranging from $258.72 - $260.73, inclusive.  The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (4) to this Form 4.

The price reported in Column 4 is a weighted average price.  These shares were sold in multiple transactions at prices ranging from $257.12 - $260.53, inclusive.  The reporting person undertakes to provide to Broadridge Financial Solutions, Inc., any shareholder of Broadridge Financial Solutions, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote (5) to this Form 4.


The shares were sold in multiple transactions on August 15, 2025, at sale prices ranging from $22.11 to $22.69 per share. The price reported reflects the weighted average sale price for the transactions. The reporting person undertakes to provide upon request by SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares sold during each transaction.

/s/ David C. Kuo, attorney in fact for Stefan J. Murry


The sale price is an average of 19,603 shares sold at prices between 43.32 and 43.54.

By: Annette L. Burns, Power of Attorney For: David J. Nasca


These shares were transferred to two investors of the Hestia Parties (as defined in footnote 2) in order to meet a redemption request.

The reporting person is the managing member of (a) Hestia Partners GP, the general partner of Hestia Capital Partners, LP (Hestia Capital) and Helios I, LP (Helios), and (b) Hestia LLC, the investment manager of Hestia Capital, Helios, and certain separately managed accounts (the SMAs). As the managing member of each of Hestia Partners GP and Hestia LLC, the reporting person may be deemed the beneficial owner of the shares directly owned by Hestia Capital, shares directly owned by Helios, and shares held in the SMAs. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Hestia Partners GP, Hestia Capital, and Hestia LLC are collectively referred to as the Hestia Parties.

/s/ Elisabeth Weinberg, as attorney-in-fact for Kurt James Wolf


Common Stock

The sale transaction reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on February 26, 2025.

The sale price represents the weighted average price of the shares sold ranging from $129.20 to $130.19 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 sale price represents the weighted average price of the shares sold ranging from $130.20 to $131.10 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 option is fully vested and immediately exercisable.

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


Non-Qualified Stock Option (right to buy)

Common Stock

Common Stock

Stock sale was to cover the option exercise price and taxes.

The stock option becomes exercisable in four equal annual installments.

Not applicable.

By: Wendy Whitehouse For: Catherine Corrigan


This transaction was executed in multiple trades at prices ranging from $41.2000 to $41.4600.  The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request, full information regarding the number of shares and prices at which the transaction was effected to the SEC staff, the issuer or security holder of the issuer.


Class A Common Stock

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

33-1/3% of the shares underlying the RSU shall vest on August 13, 2026, and the remaining shares underlying the RSU shall vest in 2 equal annual installments thereafter, subject to the Reporting Person's continued service with the Issuer on each such date.

/s/  Larissa Schwartz, attorney-in-fact of the Reporting Person


Common Stock

These restricted stock units were returned to the issuer in an exempt transition pursuant to Rule 16b-3(e) of the Securities Exchange Act of 1934, upon the retirement of Christopher Broderick from the Company on August 15, 2025.


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

Includes 19,837 shares of unvested restricted stock units.

The sales price reported is the weighted average sale price for the number of shares sold. These shares were sold in multiple transactions at prices ranging from $18.17 to $18.19, inclusive. Full information regarding the number of shares sold at each separate price will be supplied upon request by Securities and Exchange Commission Staff, the Issuer or a security holder of the Issuer.

Emerging Company Partners LLC is the record holder of such securities. The reporting person controls this entity.

/s/ Alan E. Baratz as Attorney-in-Fact, for Steven West


The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on May 14, 2025.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $24.74 to $25.73, inclusive. The reporting person undertakes to provide Five9, Inc., any security holder of Five9, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $25.74 to $26.20, inclusive. The reporting person undertakes to provide Five9, Inc., any security holder of Five9, Inc., or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

/s/ Tiffany Meriweather, Attorney in Fact


Class A Common Stock


/s/ Craig L. Rosenthal, Attorney in Fact


Common Stock

The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person on August 28, 2024.

The price reported in column 4 is a weighted average price. The shares were sold in multiple transactions at prices ranging from $38.00 to $38.10, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the U.S. 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 option is fully vested and exercisable.

/s/ Colleen Tupper as Attorney-In-Fact For Scott Dreyer


The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $38.195 to $38.34 inclusive. The reporting person undertakes to provide to Kilroy Realty Corporation, any security holder of Kilroy Realty Corporation, or staff of the Securities Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote.

/s/ Heidi R. Roth, as attorney-in-fact for Merryl Elizabeth Werber


Common Stock

Common Stock

Represents the conversion of performance-based restricted stock units that vested on August 13, 2025. These performance-based restricted stock units were granted on June 30, 2022, and achievement of the related performance criteria was certified by the Human Capital and Compensation Committee of the Board of Directors on August 13, 2025.

Each restricted stock unit represents a contingent right to receive one share of BlueLinx Holdings Inc. common stock.

These shares were withheld to cover tax withholding obligations when 553 performance-based restricted stock units vested on August 13, 2025.

These are time-based restricted stock units that vest in three equal annual installments commencing on June 6, 2026. Vested shares will be delivered to the reporting person no later than 30 days after each vesting date.

/s/ Christin Lumpkin, as attorney-in-fact for Michael Wilson


Common Stock

Common Stock

Common Stock

Common Stock

These shares were withheld to cover tax withholding obligations when 701 performance-based restricted stock units vested on August 13, 2025.

These are time-based restricted stock units that vest in three equal annual installments, with the first installment vesting on June 7, 2024. Vested shares will be delivered to the reporting person no later than 30 days after each vesting date.

These are time-based restricted stock units that vest in three equal annual installments, with the first installment vesting on June 7, 2025. Vested shares will be delivered to the reporting person no later than 30 days after each vesting date.

/s/ Christin Lumpkin, as attorney-in-fact for Shyam K. Reddy


Common Stock

Common Stock

Pursuant to the Separation and Consulting Agreement between the Company and the Reporting Person (the "Separation Agreement"), 50% of the shares with respect to each outstanding and unvested restricted stock unit (RSU) immediately vested. Vested shares will be delivered to the Reporting Person as soon as practicable after the date of vesting.

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


Common Shares

Common Shares

Common Shares

Common Shares

Common Shares

Common Shares

Common Shares

Reporting person sold Common Shares at an average price of $38.8813 of which the Common Shares were sold in multiple transactions at prices ranging from $38.88 and $38.97. The reporting person undertakes to provide to the SEC, the Issuer and any security holder, the full information regarding the number of shares and the prices at which the shares were sold.

Reporting person sold Common Shares at an average price of $38.5572 of which the Common Shares were sold in multiple transactions at prices ranging from $38.50 and $38.76. The reporting person undertakes to provide to the SEC, the Issuer and any security holder, the full information regarding the number of shares and the prices at which the shares were sold.

Granted under the TDS Long-Term Incentive Plan.  Stock option is currently vested.


Aaron Edelheit is the Managing Member of Mindset Capital LLC, which serves as the General Partner of Mindset Value Fund LP and Mindset Value Wellness Fund LP, and the Managing Member of W&GP Fund 1 LLC (the "Funds"). The Funds acquired the shares as specified in Table I (collectively, the Funds acquired 287,000 shares and collectively own 37,755,933 shares following the transactions). As General Partner and Managing Member of the Funds, Mindset Capital LLC, and Aaron Edelheit as Managing Member of Mindset Capital LLC, each possess the power to vote and dispose or direct the disposition of the shares acquired by the Funds.

These shares are held by Mindset Value Wellness Fund LP.


/s/ Justin D. Mogford, attorney-in-fact for Maryanne Miller


Common Stock

25% of the options will vest and become exercisable one year from the grant date and the remaining 75% will vest in 12 substantially equal quarterly installments thereafter.


Common Stock

Represents restricted stock units ("RSUs") granted under the 2024 Amended & Restated Prairie Operating Co. Long-Term Incentive Plan (as amended, the "LTIP"). Each RSU represents a contingent right to receive, upon vesting, one share of common stock, par value $0.01 per share ("Common Stock"), of Prairie Operating Co. (the "Issuer"). The 665,000 RSUs reported on this Form 4 will vest ratably in three annual installments beginning on March 26, 2026.

Represents an award of performance units representing a contingent right to receive one share of Common Stock per performance unit. Between 50% and 200% of the target number of performance units granted, which were granted under the LTIP, are eligible to vest during a three-year performance period beginning on January 1, 2025 and ending on December 31, 2027 based on continued employment and the Issuer's relative total shareholder return in comparison to the total shareholder return performance among the Performance Peer Group (as defined in the award agreement).


Common Stock

Represents restricted stock units ("RSUs") granted under the 2024 Amended & Restated Prairie Operating Co. Long-Term Incentive Plan (as amended, the "LTIP"). Each RSU represents a contingent right to receive, upon vesting, one share of common stock, par value $0.01 per share ("Common Stock"), of Prairie Operating Co. (the "Issuer"). The 687,980 RSUs reported on this Form 4 will vest ratably in three annual installments beginning on March 26, 2026.


Common Stock

Represents restricted stock units ("RSUs") granted under the 2024 Amended & Restated Prairie Operating Co. Long-Term Incentive Plan (as amended, the "LTIP"). Each RSU represents a contingent right to receive, upon vesting, one share of common stock, par value $0.01 per share ("Common Stock"), of Prairie Operating Co. (the "Issuer"). The 560,000 RSUs reported on this Form 4 will vest ratably in three annual installments beginning on March 26, 2026.


Common Stock

Represents restricted stock units ("RSUs") granted under the 2024 Amended & Restated Prairie Operating Co. Long-Term Incentive Plan (as amended, the "LTIP"). Each RSU represents a contingent right to receive, upon vesting, one share of common stock, par value $0.01 per share ("Common Stock"), of Prairie Operating Co. (the "Issuer"). The 585,000 RSUs reported on this Form 4 will vest ratably in three annual installments beginning on March 26, 2026.


Represents restricted stock units ("RSUs") granted under the 2024 Amended & Restated Prairie Operating Co. Long-Term Incentive Plan (as amended, the "LTIP"). Each RSU represents a contingent right to receive, upon vesting, one share of common stock, par value $0.01 per share, of Prairie Operating Co. ("Common Stock"). The 38,860 RSUs reported on this Form 4 will vest in full on June 4, 2026.

Represents RSUs granted under the LTIP. Each RSU represents a contingent right to receive, upon vesting, one share of Common Stock. The 62,500 RSUs reported on this Form 4 will vest ratably in three annual installments beginning on March 26, 2026.


Common Stock


Common Stock

This transaction involved a cash exercise of a stock option without a subsequent sale of the underlying shares of common stock.

1/48 of the options vested on the 19th of each month for forty-eight months beginning on 8/19/2015.


Common Stock

Common Stock

Common Stock

The reported exercise of 13,785 employee stock options and sale of 24,334 shares of common stock were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on March 7, 2025.

This option is fully vested as of the date of this report.


Common Stock

Pre-Funded Warrants to Purchase Common Stock

Common Stock

On August 14, 2025, pursuant to the terms of the Agreement and Plan of Merger (the "Merger Agreement"), dated as of July 1, 2025, among the Issuer, Concentra Biosciences, LLC, a Delaware limited liability company ("Parent"), and Concentra Merger Sub V, Inc., a Delaware corporation and a wholly owned subsidiary of Parent ("Merger Sub"), Merger Sub completed a tender offer to purchase all outstanding shares of the Issuer's Common Stock and Non-Voting Common Stock ("Issuer Shares") in exchange for (a) a price per share of $1.247 in cash (the "Offer Price"), subject to applicable tax withholding and without interest, plus (b) one contingent value right ("CVR") per share subject to the terms and conditions of a Contingent Value Rights Agreement ("CVR Agreement"). The tender offer expired one minute following 11:59 p.m., Eastern Time, on August 13, 2025 (the "Offer Closing").

On August 14, 2025, the Issuer completed its merger transaction with and into Merger Sub pursuant to the terms of the Merger Agreement, with the Issuer surviving as a wholly owned subsidiary of Parent (the "Merger"). At the effective date and time of the Merger (the "Merger Closing"), each outstanding and unexercised pre-funded warrant to purchase shares of the Issuer's Common Stock (each, a "Pre-Funded Warrant") was cancelled and the holder received the right to a cash amount based on the Offer Price, subject to applicable tax withholding and without interest, less the exercise price per share underlying the Pre-Funded Warrant, plus one CVR per underlying share subject to the terms and conditions of a CVR Agreement.

The Non-Voting Common Stock was convertible into shares of the Issuer's common stock at any time, in accordance with the terms of the Issuer's Amended and Restated Certificate of Incorporation at any time and from time to time at the holder's election on a 1-for-1 basis. The Non-Voting Common Stock had no expiration date.

The Pre-Funded Warrants to purchase common stock of the Issuer have no expiration date.

The Common Stock, Non-Voting Common Stock, and Pre-Funded Warrants of the Issuer reported herein were directly owned by certain private investment vehicles managed by Redmile (each, a "Redmile Fund"), and may have been deemed beneficially owned by Redmile as investment manager of the Redmile Funds.

The reported securities may also be deemed beneficially owned by Jeremy Green as the principal of Redmile (collectively with Redmile, the "Reporting Persons"). The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, if any, and this Form 4 shall not be deemed an admission that either Reporting Person is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Michael Lee, a managing director of Redmile, resigned as a member of the board of directors of the Issuer immediately prior to the Merger Closing.


Through the Trustee for the Corporation's 401(k) Plan

Common Stock

Common Stock

The price reported is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $78.570 to $79.565, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Corporation or any security holder of the Corporation, upon request, full information regarding the number of shares sold at each separate price.

The price reported is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $79.570 to $79.690, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Corporation or any security holder of the Corporation, upon request, full information regarding the number of shares sold at each separate price.

The price reported is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $78.580 to $79.570, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Corporation or any security holder of the Corporation, upon request, full information regarding the number of shares sold at each separate price.

The price reported is a weighted average sale price. These shares were sold in multiple transactions at prices ranging from $79.580 to $79.740, inclusive. The reporting person undertakes to provide to the staff of the Securities and Exchange Commission, the Corporation or any security holder of the Corporation, upon request, full information regarding the number of shares sold at each separate price.

26,455 shares were subject to the option.  The option vested over a three year period as follows: 30% on March 21, 2017, 30% on March 21, 2018 and 40% on March 21, 2019.

87,981 shares were subject to the option.  The option vested over a three year period as follows: 30% on November 11, 2017, 30% on November 11, 2018 and 40% on November 11, 2019.

By: Jennifer M. Lombardi, pursuant to a power of attorney from Sean D. Keohane


This form is filed solely to reflect that the shares are owned by a charitable foundation as to which the reporting person disclaims beneficial ownership and does not have any pecuniary interest. As a result, shares held by the charitable foundation will no longer be included in the reporting person's Forms 4.  This form does not reflect a purchase or sale of the shares reported on this form.

/s/ John E. Capps as Attorney-in-Fact for Sir Martin


Represents a bona fide gift of shares of Class A common stock of TPG Inc. to a charitable organization for which no payment or consideration was received by the Reporting Person.

Because of the relationship between the Reporting Person and the entity holding these securities, the Reporting Person may be deemed to beneficially own these securities to the extent of the greater of the Reporting Person's direct or indirect pecuniary interest in the profits, capital accounts or distributions of the holder. The Reporting Person disclaims beneficial ownership of these securities, except to the extent of the Reporting Person's pecuniary interest therein, if any.

Pursuant to Rule 16a-1(a)(4) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this filing shall not be deemed an admission that the Reporting Person is, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities in excess of the Reporting Person's pecuniary interest.

(4) Joann Harris is signing on behalf of Mr. Coulter pursuant to the power of attorney dated December 29, 2021, which was previously filed with the Securities and Exchange Commission.

/s/ Joann Harris, as attorney-in-fact (4)


The price reported in is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.250 to $7.420, 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.


Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan.

/s/Divina Pabalate-Inchoco, as Attorney-in-Fact


Represents shares withheld for taxes due upon the vesting of restricted share units.


The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $172.52 to $173.49, inclusive. 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 sold at each separate price for all transactions reported on this Form 4.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $173.53 to $174.49, inclusive. 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 sold at each separate price for all transactions reported on this Form 4.

The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $174.53 to $174.87, inclusive. 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 sold at each separate price for all transactions reported on this Form 4.

Reflects shares held in a grantor retained annuity trust, for which the Reporting Person serves as an investment trustee.

The Reporting Person disclaims beneficial ownership of the securities reported on this form except to the extent of his pecuniary interest therein.


Pursuant to a divorce settlement, 48,387 shares were transferred for no consideration to the Reporting Person's former spouse. For purposes of Section 16, the Reporting Person no longer reports that
he is the beneficial owner of any shares owned by his former spouse.


Class A Common Stock

As provided in the Issuer's Amended and Restated Certificate of Incorporation, each share of Class B Common Stock is convertible at any time, at the option of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain permitted transfers described in the Issuer's Amended and Restated Certificate of Incorporation.

Member of 10% owner group. Maroon Private Trust Company, LLC serves as trustee of the Reporting Person and has investment power over the shares beneficially owned by the Reporting Person. The beneficiary of the Reporting Person does not have investment power over the shares of Class B Common Stock held by the Reporting Person. In addition, the Reporting Person may be deemed to be a member of a group because the Reporting Person has agreed to certain voting agreements and limitations on transfers of shares of Class A Common Stock and Class B Common Stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.


Class A Common Stock


Class A Common Stock

Member of 10% owner group. Maroon Private Trust Company, LLC serves as trustee of the Reporting Person and has investment power over the shares beneficially owned by the Reporting Person. The beneficiaries of the Reporting Person do not have investment power over the shares of Class B Common Stock held by the Reporting Person. In addition, the Reporting Person may be deemed to be a member of a group because the Reporting Person has agreed to certain voting agreements and limitations on transfers of shares of Class A Common Stock and Class B Common Stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.


On August 13, 2025, TCP 2 sold 1,710 shares of Common Stock at a weighted average price of $355.45 per share. These shares were sold in multiple transactions at prices ranging from $355.24 to $355.97, 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 report is filed jointly by Tontine Capital Partners, L.P., a Delaware limited partnership ("TCP"), Tontine Capital Management, L.L.C., a Delaware limited liability company ("TCM"), Tontine
Management, L.L.C., a Delaware limited liability company ("TM"), Tontine Capital Overseas Master Fund II, L.P., a Delaware limited partnership ("TCP 2"), Tontine Asset Associates, L.L.C., a
Delaware limited liability company ("TAA"), Tontine Associates, L.L.C., a Delaware limited liability company ("TA"), Tontine Capital Overseas GP, L.L.C., a Delaware limited liability company
("TCO"), and Jeffrey L. Gendell ("Mr. Gendell"). Mr. Gendell is the managing member of: (a) TCM, the general partner of TCP; (b) TM; (c) TAA, the general partner of TCP 2; (d) TA; and (e) TCO.

TCP directly owns 5,614,644 shares of Common Stock, TCM directly owns 1,910,529 shares of Common Stock, TM directly owns 1,410,162 shares of Common Stock, TCP 2 directly owns 955,061 shares of Common Stock, TAA directly owns 96,891 shares of Common Stock, TA directly owns 640,057 shares of Common Stock, TCO directly owns 47,284 shares of Common Stock, Mr. Gendell directly owns 163,218 shares of Common Stock and 72,635 phantom stock units granted to him pursuant to the IES Holdings, Inc. 2006 Equity Incentive Plan, as amended and restated, and Mr. Gendell's adult children own 3,363 shares of Common Stock through trusts for which Mr. Gendell acts as trustee.

All of the foregoing securities may be deemed to be beneficially owned by Mr. Gendell. The foregoing securities held by TCP may be deemed to be beneficially owned by TCM. The foregoing securities held by TCP 2 may be deemed to be beneficially owned by TAA.

Mr. Gendell disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by Mr. Gendell or representing Mr. Gendell's pro rata interest in, and interest in the profits of, TCM, TCP, TM, TCP 2, TAA, TA and TCO. TCM disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TCM or representing TCM's pro rata interest in, and interest in the profits of, TCP.

TAA disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TAA or representing TAA's pro rata interest in, and interest in the profits of, TCP 2. TA disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TA. TM disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TM. TCO disclaims beneficial ownership of the Issuer's securities reported herein for purposes of Section 16(a) under the Securities Exchange Act of 1934, as amended, or otherwise, except as to securities directly owned by TCO.


Common Stock

Transaction is a cash exercise by the reporting person.

The option is fully vested and exercisable.

/s/ Jonathan Stone, Attorney-in Fact for Mr. Antal Rohit Desai


Under the terms of the Agreement and Plan of Merger, dated as of December 23, 2024, by and among, the Issuer, Insight Merger Sub I, a wholly-owned subsidiary of the Issuer ("Merger Sub I"), Insight Merger Sub II, a wholly-owned subsidiary of the Issuer ("Merger Sub II") and Inmagene Biopharmaceuticals ("Legacy Inmagene") (the "Merger Agreement"), on July 25, 2025, Merger Sub I merged with and into Legacy Inmagene (the "First Merger"), with Legacy Inmagene surviving the First Merger as a wholly-owned subsidiary of the Issuer, and immediately after the First Merger, Legacy Inmagene merged with and into Merger Sub II, with Merger Sub II surviving the First Merger as a wholly-owned subsidiary of the Issuer (the "Second Merger" and together with the First Merger, the "Merger"). (continued in the next footnote).

Upon the closing of the Merger, each Legacy Inmagene ordinary and preferred share was converted into the right to receive 0.003051 of shares of the Issuer common stock. Subsequent to the Merger, the name of the Issuer was changed from Ikena Oncology, Inc. ("Ikena") to ImageneBio, Inc.

Received in exchange for 47,142,857 Series Seed convertible preferred shares of Legacy Inmagene pursuant to the Merger Agreement.

Received in exchange for 318,313,306 ordinary shares of Legacy Inmagene pursuant to the Merger Agreement.

Engene Inc.'s sole shareholder is YJH Trust of which Trident Trust Company (HK) Limited serves as trustee. Dr. Wang's spouse and daughter are the sole beneficiaries of YJH Trust. Accordingly, Dr. Wang has an indirect pecuniary interest over the shares of the Issuer held by Engene Inc. Dr. Wang disclaims beneficial ownership of the shares held by Engene Inc. except to the extent of his pecuniary interest therein, if any.

This Form 4 is being filed late due to delays in obtaining the reporting person's EDGAR codes.


Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

Common Stock

The option was exercised, and a portion of the underlying shares were sold to cover the exercise price and estimated tax liability, pursuant to a Rule 10b5-1 Plan, which was adopted on October 22, 2024.

Includes 17.6899 shares acquired under a dividend reinvestment plan.

This transaction was executed in multiple trades at prices ranging from $325.52 to $326.515. 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 effectuated.

This transaction was executed in multiple trades at prices ranging from $326.59 to $327.04. 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 effectuated.

This transaction was executed in multiple trades at prices ranging from $327.67 to $328.57. 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 effectuated.

This transaction was executed in multiple trades at prices ranging from $328.67 to $329.22. 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 effectuated.

Option fully vested.

Exercise of Rule 16b-3 stock option pursuant to a Rule 10b5-1 Plan, which was adopted on October 22, 2024.

Original stock option grant vests in three annual installments beginning on the date listed in the "Date Exercisable" column.

1 for 1.

The restricted stock units vest three years from the grant date on the date listed above, assuming continued employment.

If the Company achieves certain goals over the 2023-2025 period, the performance units will vest and stock will be awarded. The target number of units that may be earned is reported above; the maximum amount is 200% of the number reported, subject to plan limits.

If the Company achieves certain goals over the 2024-2026 period, the performance units will vest and stock will be awarded. The target number of units that may be earned is reported above; the maximum amount is 200% of the number reported, subject to plan limits.

If the Company achieves certain goals over the 2025-2027 period, the performance units will vest and stock will be awarded. The target number of units that may be earned is reported above; the maximum amount is 200% of the number reported, subject to plan limits.

/s/ Ryan S. Lovitz under Power of Attorney for Aldo J. Pagliari


These shares were repurchased by the Issuer pursuant to a repurchase program approved by the Issuer's Board of Directors.

Jennifer Giampietro, as Attorney-in-Fact


/s/ Bradley T. Kamlet, by Power of Attorney


Securities disposed represent securities withheld to settle the reporting person's tax liability resulting from the vesting of restricted stock units.

/s/ Brittany Bagley by Isaiah Fields, Attorney-in-Fact


Shares were sold as part of the reporting person's tax and estate planning.

Price represents the weighted average sale price of the shares sold. The sale price ranged from $11.2401 to $11.245 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.

Shares held following the reported transaction include 17,357 restricted stock units, which are subject to forfeiture until they vest.

The shares are held of record by the Reporting Person and the Reporting Person's spouse as co-trustees of a family trust.


/s/Alessandra Maria Corona Henriques, Attorney-in-Fact


Common Stock

The shares of nonvoting common stock are convertible on a one-for-one basis into shares of common stock commencing at any time. The nonvoting common stock has no expiration date.

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


Common Stock

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


Nonqualified Stock Option (Right to Buy)

Common Stock

5,000 of the shares subject to this option will vest on each of August 13, 2026, August 13, 2027 and August 13, 2028, subject to the reporting person's continued service to the Issuer or its subsidiaries through the applicable vesting date.


Common Stock


12,000 shares of common stock jointly with his spouse with right of survival


Rockefeller Municipal Opportunities Fund


Each restricted stock unit ("RSU") represents a right to receive one share of the issuer's Common Stock, subject to the Reporting Person's continued service through the vesting date. The reported RSUs were granted on August 12, 2025, vest on June 2, 2026, and shall be settled within sixty days of the vesting date.

/s/ Sean Ricker as Attorney-in-Fact for Anthony Evangelista


Mr. Massad disclaims beneficial ownership of the shares of common stock owned by his spouse and children.


This sale of shares, received upon settlement of vested restricted stock units, was executed pursuant to a filed Rule 10b5-1 plan adopted by the reporting person on March 10, 2025.

The transaction was executed in multiple trades at prices ranging from $746.62 to $747.22. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $748.07 to $748.99. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $749.16 to $750.12. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $750.28 to $751.19. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $751.32 to $752.20. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $752.525 to $753.34. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $753.57 to $753.77. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

/s/ Jeffrey C. Kunins, by Isaiah Fields, Attorney-in-Fact


Ordinary Shares

Ordinary Shares

Ordinary Shares

Ordinary Shares

Ordinary Shares

Represents the weighted average price of the shares sold. The prices of the shares sold pursuant to the transaction ranged from $36.51 to $37.09 per share. The Reporting Person, upon request, will provide the Securities and Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares sold at each separate price.

Represents the weighted average price of the shares sold. The prices of the shares sold pursuant to the transaction ranged from $36.50 to $37.00 per share. The Reporting Person, upon request, will provide the Securities and Exchange Commission staff, the issuer or a security holder of the issuer full information regarding the number of shares sold at each separate price.

Each Dividend Equivalent Unit ("DEU") represents a contingent right to receive one Ordinary Share of the Issuer.  DEUs are subject to the same restrictions and vesting and/or performance criteria based on the underlying Restricted Stock Units ("RSUs") and/or Performance Stock Units ("PSUs") to which they relate.

The RSUs convert to Ordinary Shares on a one-for-one basis.

The RSUs were awarded on 3/2/2023 and vest in three equal installments over three years. The remaining vesting will occur on 3/2/2026.

The RSUs were awarded on 3/3/2025 and will vest in three equal installments over three years. The vestings will occur on 3/3/2026, 3/3/2027 and 3/3/2028.

The PSUs convert to Ordinary Shares on a one-to-one basis.

These PSUs were awarded on 3/1/2024 subject to meeting the minimum performance criteria which was met at 105.5%. The PSUs vest in three equal annual installments. The remaining vestings will occur on 3/1/2026 and 3/1/2027.

The PSUs were awarded on 3/3/2025 and are earned subject to meeting minimum performance criteria. Once earned, the PSUs vest in three equal annual installments on each of 3/3/2026, 3/3/2027 adn 3/3/2028.

/s/ Effie D. Silva, Attorney-in-Fact for Mohammad Abu-Ghazaleh


Reflects restricted stock units credited to the reporting person's account following the issuer's dividend payment, pursuant to an award granted to the filer pursuant to the Amended & Restated Citizens Financial Group, Inc. 2014 Non-Employee Directors Compensation Plan.


Shares withheld by the Company to satisfy tax withholding requirements on vesting of performance-based restricted stock units.

Includes an aggregate of 28 shares acquired by the Reporting Person under Issuer's Global Stock Ownership Plan for Employees (an employee stock purchase plan) for the six-month period ended June 15, 2025.

Sherri L. Collver, under Power of Attorney


Represents the reporting person's transfer of 1,086,315 shares of the Issuer's common stock for estate planning purposes to an irrevocable trust for the benefit of her spouse and children.

The reporting person disclaims ownership of the shares held in this trust, except to the extent of her beneficial ownership therein.

/s/ Kathryn Murray, as Attorney-in-Fact for Kathleen Elizabeth Johnson


Class A Common Stock

As provided in the Issuer's Amended and Restated Certificate of Incorporation, each share of Class B Common Stock is convertible at any time, at the option of the holder, into one share of Class A Common Stock. In addition, each share of Class B Common Stock will convert automatically into one share of Class A Common Stock upon any transfer, whether or not for value, except for certain permitted transfers described in the Issuer's Amended and Restated Certificate of Incorporation.


Class A Common Stock


Class A Common Stock

Member of 10% owner group. Maroon Private Trust Company, LLC serves as trustee of the Reporting Person and has investment power over the shares beneficially owned by the Reporting Person. The beneficiary of the Reporting Person does not have investment power over the shares of Class B Common Stock held by the Reporting Person. In addition, the Reporting Person may be deemed to be a member of a group because the Reporting Person has agreed to certain voting agreements and limitations on transfers of shares of Class A
Common Stock and Class B Common Stock. The Reporting Person disclaims beneficial ownership of the securities reported herein except to the extent of its pecuniary interest therein.


By Kathleen F. MacLennan Revocable Trust u/a dated 11/07/2002

/s/ Corinne Lawson, as Attorney-in-Fact for David W. MacLennan


Represents the approximate number of shares of Valvoline common stock held by the Reporting Person in the Valvoline 401(k) Plan based on the closing price of Valvoline common stock on the earliest Transaction Date.


The reported sale of 8,000 shares occurred pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on April 30, 2025.

The price reported in Column 4 is an average price. The reporting person undertakes to provide Webster Financial Corporation, any security holder of Webster Financial Corporation, or the staff of the U.S. Securities and Exchange Commission, upon request, full information regarding the number of shares of common stock sold at each price.


Per share price reflects the weighted average price paid. The shares were purchased in multiple transactions at prices ranging from $19.51 to $19.65. The reporting person undertakes to provide, upon request, full information regarding the shares purchased in such transactions.

The Reporting Person is a Managing Member of Soaring Eagle LLC's investment advisor.

The Reporting Person is a Managing Member of JPL Opportunity Fund LP's manager.

/s/ Michael J. Karber, as attorney-in-fact for Lazar Nikolic


Securities disposed represent securities withheld to settle the reporting person's tax liability resulting from the vesting of restricted stock units.

This sale, effected pursuant to a Rule 10b5-1 trading plan adopted on August 21, 2024, consisted of shares issued upon the settlement of vested restricted stock units.

The transaction was executed in multiple trades at prices ranging from $738.64 to $739.53. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $740.00 to $740.41. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $741.18 to $742.07. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $742.19 to $743.16. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $743.21 to $744.20. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $744.24 to $745.1561. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $745.245 to $746.20. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $746.24 to $747.1428. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $747.2448 to $748.1999. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $748.24 to $749.1498. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $749.3249 to $750.26. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

The transaction was executed in multiple trades at prices ranging from $750.33 to $750.8398. The price reported above reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.

/s/ Joshua Isner, by Isaiah Fields, Attorney-in-Fact