BNY

SEC source: 0001209191-19-025507 · doc4.xml · derivative · entry 2

GARDEN EDWARD P · CIK 0001257864 · Director

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,116.318

Underlying: Common Stock · 3,201 shares

Expires not disclosed

F3 · derivative.exercise_price: 1-for-1.

F5 · price: Not Applicable.

F4 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Issuer's 2020 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock, either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning on the 30th day following grantee's termination of service as a director of the Issuer. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F4 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Issuer's 2020 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock, either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning on the 30th day following grantee's termination of service as a director of the Issuer. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-19-025522 · doc4.xml · derivative · entry 1

ZOLLAR ALFRED W · CIK 0001196985 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,201

Underlying: Common Stock · 3,201 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F3 · price: N/A.

F2 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Corporation's 2020 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F2 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Corporation's 2020 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-19-025478 · doc4.xml · derivative · entry 1

BLACK STEVEN D · CIK 0001197618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,595.299

Underlying: Common Stock · 3,201 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F3 · price: N/A.

F2 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Corporation's 2020 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F2 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Corporation's 2020 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-19-025520 · doc4.xml · derivative · entry 1

SCOTT SAMUEL C III · CIK 0001202862 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,143.35

Underlying: Common Stock · 3,201 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F3 · price: N/A.

F2 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Corporation's 2020 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F2 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Corporation's 2020 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-19-025492 · doc4.xml · derivative · entry 1

Hinshaw John M · CIK 0001534787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,116.318

Underlying: Common Stock · 3,201 shares

Expires not disclosed

F1 · derivative.exercise_price: 1-for-1.

F3 · price: N/A.

F2 · derivative.exercise_date: The deferred stock units vest on the earlier of the date of the Corporation's 2020 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

F2 · derivative.expiration_date: The deferred stock units vest on the earlier of the date of the Corporation's 2020 Annual Meeting of Shareholders or one year from the grant date. Vested deferred stock units are payable in shares of Common Stock either in a lump sum or, if the grantee has so elected, in annual installments, in each case beginning of the 30th day following grantee's termination of service as a director of the Corporation. Deferred stock units pay dividend equivalents which are reinvested in additional deferred stock units.

SEC source: 0001209191-19-023216 · doc4.xml · nonDerivative · entry 1

Morgan Jennifer B. · CIK 0001691867 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,037.6157

F1 · shares: Phantom stock acquired pursuant to prior election under The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors payable at a specified date in shares of The Bank of New York Mellon Corporation common stock.

SEC source: 0001209191-19-023224 · doc4.xml · nonDerivative · entry 1

Robinson Elizabeth · CIK 0001687218 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 311.7631

F1 · shares: Phantom stock acquired pursuant to prior election under The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors payable at a specified date in shares of The Bank of New York Mellon Corporation common stock.

SEC source: 0001209191-19-023172 · doc4.xml · nonDerivative · entry 1

Echevarria Joseph · CIK 0001633137 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,519.6754

F1 · shares: Phantom stock acquired pursuant to prior election under The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors payable at a specified date in shares of The Bank of New York Mellon Corporation common stock.

SEC source: 0001209191-19-023184 · doc4.xml · nonDerivative · entry 1

Goldstein Jeffrey A · CIK 0001375299 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,358.2346

F1 · shares: Phantom stock acquired pursuant to prior election under The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors payable at a specified date in shares of The Bank of New York Mellon Corporation common stock.

SEC source: 0001209191-19-023163 · doc4.xml · nonDerivative · entry 1

BLACK STEVEN D · CIK 0001197618 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,299.7987

F1 · shares: Phantom stock acquired pursuant to prior election under The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors payable at a specified date in shares of The Bank of New York Mellon Corporation common stock.

SEC source: 0001209191-19-023206 · doc4.xml · nonDerivative · entry 1

Kablawi Hani A. · CIK 0001727089 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,093.1747

F1 · shares: Award of Restricted Stock Units as a portion of the Reporting Person's annual incentive. Units vest in annual increments of one-seventh beginning on the first anniversary of the award. All or a portion of the units may be forfeited prior to vesting based on ongoing risk-based adjustment provisions. Vested units will be settled in Common Stock.

SEC source: 0001209191-19-023197 · doc4.xml · nonDerivative · entry 1

Hinshaw John M · CIK 0001534787 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,150.8543

F1 · shares: Phantom stock acquired pursuant to prior election under The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors payable at a specified date in shares of The Bank of New York Mellon Corporation common stock.

SEC source: 0001209191-19-040902 · doc4a.xml · nonDerivative · entry 1

Echevarria Joseph · CIK 0001633137 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,078.2976

F1 · shares: Phantom stock acquired pursuant to prior election under The Bank of New York Mellon Corporation Deferred Compensation Plan for Directors payable at a specified date in shares of The Bank of New York Mellon Corporation common stock.

F2 · shares: The Amended Form 4 is being filed to reflect corrections to excess amounts disclosed on the original Form 4 due to administrative error.

SEC source: 0001209191-19-019193 · doc4.xml · nonDerivative · entry 3

GARDEN EDWARD P · CIK 0001257864 · Director

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 13,228,272

F4 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $52.00 to $52.385. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.nature: Trian Fund Management, L.P ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners Strategic Fund-K, L.P., and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of the Issuer held by them.

F2 · ownership.nature: (FN 2, contd.) Mr. Garden is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. Garden and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. Garden is a director of the Issuer.

SEC source: 0001209191-19-019193 · doc4.xml · nonDerivative · entry 2

GARDEN EDWARD P · CIK 0001257864 · Director

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 13,400,232

F3 · price: The price shown in Column 4 is a weighted average sale price. The price range for the sales is $52.00 to $52.145. The Reporting Persons undertake to provide upon request by the staff of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F1 · ownership.nature: Trian Fund Management, L.P ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners Strategic Fund-K, L.P., and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of the Issuer held by them.

F2 · ownership.nature: (FN 2, contd.) Mr. Garden is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. Garden and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. Garden is a director of the Issuer.

SEC source: 0001209191-19-019193 · doc4.xml · nonDerivative · entry 1

GARDEN EDWARD P · CIK 0001257864 · Director

TRIAN FUND MANAGEMENT, L.P. · CIK 0001345471 · Director

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Please see explanation below

Disclosed balance after: 14,018,936

F1 · ownership.nature: Trian Fund Management, L.P ("Trian Management") serves as the management company for Trian Partners, L.P., Trian Partners Master Fund, L.P., Trian Partners Parallel Fund I, L.P., Trian Partners Strategic Investment Fund II, L.P., Trian Partners Strategic Investment Fund-A, L.P., Trian Partners Strategic Investment Fund-D, L.P., Trian Partners Strategic Investment Fund-N, L.P., Trian Partners Fund (Sub)-G, L.P., Trian Partners Strategic Fund-G II, L.P., Trian Partners Strategic Fund-G III, L.P., Trian Partners Strategic Fund-K, L.P., and Trian Partners Strategic Fund-C, Ltd. (collectively, the "Trian Entities") and as such determines the investment and voting decisions of the Trian Entities with respect to the shares of the Issuer held by them.

F2 · ownership.nature: (FN 2, contd.) Mr. Garden is a member of Trian Fund Management GP, LLC, which is the general partner of Trian Management, and therefore is in a position to determine the investment and voting decisions made by Trian Management on behalf of the Trian Entities. Accordingly, Mr. Garden and Trian Management may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Securities Exchange Act of 1934) the shares beneficially owned by the Trian Entities. The Reporting Persons disclaim beneficial ownership of such shares except to the extent of their respective pecuniary interests therein and this report shall not be deemed an admission that the Reporting Persons are the beneficial owner of such securities for purposes of Section 16 or for any other purpose. Mr. Garden is a director of the Issuer.

SEC source: 0001209191-19-016683 · doc4.xml · nonDerivative · entry 1

Kurimsky Kurtis R. · CIK 0001635463 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,483

SEC source: 0001209191-19-014518 · doc4.xml · nonDerivative · entry 1

Engle Bridget E. · CIK 0001709119 · Sr. Exec. Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 88,649

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-014530 · doc4.xml · nonDerivative · entry 1

Harris Mitchell E. · CIK 0001668166 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,265.789

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-014525 · doc4.xml · nonDerivative · entry 1

GIBBONS THOMAS P · CIK 0001209479 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 348,875.0591

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-014563 · doc4.xml · nonDerivative · entry 1

Santomassimo Michael P. · CIK 0001725890 · Sr. Exec.VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,932

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-014557 · doc4.xml · nonDerivative · entry 1

McCarthy J Kevin · CIK 0001386987 · SEVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 118,418.084

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-014570 · doc4.xml · nonDerivative · entry 1

Wiener James S · CIK 0001625697 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,714.24

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-014549 · doc4.xml · nonDerivative · entry 1

La Salla Francis J. · CIK 0001725894 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,986

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-014541 · doc4.xml · nonDerivative · entry 1

Kurimsky Kurtis R. · CIK 0001635463 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,280

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-014535 · doc4.xml · nonDerivative · entry 1

Herena Monique · CIK 0001606897 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,537.501

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-025501 · doc4a.xml · nonDerivative · entry 3

Kurimsky Kurtis R. · CIK 0001635463 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,635

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

F2 · shares: These shares were inadvertently omitted from the original filing.

SEC source: 0001209191-19-012034 · doc4.xml · nonDerivative · entry 3

Harris Mitchell E. · CIK 0001668166 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 198,508.789

F2 · shares: Represents Performance Shares Units granted in February 2016 (including units from reinvested dividend equivalents) for which performance goals have been achieved, as certified on February 11, 2019. Each unit represents the right to one share of the issuer's common stock. The Performance Share Unit Award vested on February 19, 2019.

SEC source: 0001209191-19-012034 · doc4.xml · nonDerivative · entry 2

Harris Mitchell E. · CIK 0001668166 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,264.779

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012028 · doc4.xml · nonDerivative · entry 3

GIBBONS THOMAS P · CIK 0001209479 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 353,699.0591

F2 · shares: Represents Performance Shares Units granted in February 2016 (including units from reinvested dividend equivalents) for which performance goals have been achieved, as certified on February 20, 2019. Each unit represents the right to one share of the issuer's common stock. The Performance Share Unit Award vested on February 19, 2019.

SEC source: 0001209191-19-012028 · doc4.xml · nonDerivative · entry 2

GIBBONS THOMAS P · CIK 0001209479 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,058.3091

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012073 · doc4.xml · nonDerivative · entry 3

McCarthy J Kevin · CIK 0001386987 · SEVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,673.084

F2 · shares: Represents Performance Shares Units granted in February 2016 (including units from reinvested dividend equivalents) for which performance goals have been achieved, as certified on February 11, 2019. Each unit represents the right to one share of the issuer's common stock. The Performance Share Unit Award vested on February 19, 2019.

SEC source: 0001209191-19-012073 · doc4.xml · nonDerivative · entry 2

McCarthy J Kevin · CIK 0001386987 · SEVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,539.734

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012162 · doc4.xml · nonDerivative · entry 3

Wiener James S · CIK 0001625697 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 113,698.24

F2 · shares: Represents Performance Shares Units granted in February 2016 (including units from reinvested dividend equivalents) for which performance goals have been achieved, as certified on February 11, 2019. Each unit represents the right to one share of the issuer's common stock. The Performance Share Unit Award vested on February 19, 2019.

SEC source: 0001209191-19-012162 · doc4.xml · nonDerivative · entry 2

Wiener James S · CIK 0001625697 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,630

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012063 · doc4.xml · nonDerivative · entry 2

Kurimsky Kurtis R. · CIK 0001635463 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,299

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012055 · doc4.xml · nonDerivative · entry 1

Kablawi Hani A. · CIK 0001727089 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,599.1747

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012044 · doc4.xml · nonDerivative · entry 3

Herena Monique · CIK 0001606897 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 129,647.501

F2 · shares: Represents Performance Shares Units granted in February 2016 (including units from reinvested dividend equivalents) for which performance goals have been achieved, as certified on February 11, 2019. Each unit represents the right to one share of the issuer's common stock. The Performance Share Unit Award vested on February 19, 2019.

SEC source: 0001209191-19-012044 · doc4.xml · nonDerivative · entry 2

Herena Monique · CIK 0001606897 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,074.491

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-025509 · doc4a.xml · nonDerivative · entry 2

La Salla Francis J. · CIK 0001725894 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 69,123

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

F2 · shares: These shares were inadvertently omitted from the original filing.

SEC source: 0001209191-19-025501 · doc4a.xml · nonDerivative · entry 2

Kurimsky Kurtis R. · CIK 0001635463 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,299

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012034 · doc4.xml · nonDerivative · entry 1

Harris Mitchell E. · CIK 0001668166 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 180,512.779

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012028 · doc4.xml · nonDerivative · entry 1

GIBBONS THOMAS P · CIK 0001209479 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 340,368.3091

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012073 · doc4.xml · nonDerivative · entry 1

McCarthy J Kevin · CIK 0001386987 · SEVP & General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 111,994.734

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012162 · doc4.xml · nonDerivative · entry 1

Wiener James S · CIK 0001625697 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,559

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012075 · doc4.xml · nonDerivative · entry 1

Santomassimo Michael P. · CIK 0001725890 · Sr. Exec.VP & CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,017

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012071 · doc4.xml · nonDerivative · entry 1

La Salla Francis J. · CIK 0001725894 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,999

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012063 · doc4.xml · nonDerivative · entry 1

Kurimsky Kurtis R. · CIK 0001635463 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,658

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-012044 · doc4.xml · nonDerivative · entry 1

Herena Monique · CIK 0001606897 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 120,942.491

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.

SEC source: 0001209191-19-025509 · doc4a.xml · nonDerivative · entry 1

La Salla Francis J. · CIK 0001725894 · Sr. Executive Vice President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,999

F1 · shares: Shares withheld in payment of tax liability incident to vesting of previously disclosed Restricted Stock Unit awards.