C

SEC source: 0001209191-19-010652 · doc4.xml · nonDerivative · entry 1

Gerspach John C · CIK 0001321140 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 278,061.09

F1 · shares: Award of deferred stock pursuant to the Issuer's 2014 Stock Incentive Plan. This award vests in four equal annual installments beginning on January 20, 2020; none of the award is eligible for immediate sale.

SEC source: 0001209191-19-010654 · doc4.xml · nonDerivative · entry 1

Hu W. Bradford · CIK 0001629737 · CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,254.93

F1 · shares: Award of deferred stock pursuant to the Issuer's 2014 Stock Incentive Plan. This award vests in four equal annual installments beginning on January 20, 2020; none of the award is eligible for immediate sale.

SEC source: 0001209191-19-010658 · doc4.xml · nonDerivative · entry 2

Wechter Sara · CIK 0001745277 · Head of Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,655.67

F2 · shares: Represents a gift by the Reporting Person to a charitable organization.

SEC source: 0001209191-19-010658 · doc4.xml · nonDerivative · entry 1

Wechter Sara · CIK 0001745277 · Head of Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,270.67

F1 · shares: Award of deferred stock pursuant to the Issuer's 2014 Stock Incentive Plan. This award vests in four equal annual installments beginning on January 20, 2020; none of the award is eligible for immediate sale.

SEC source: 0001209191-19-010660 · doc4.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · General Counsel & Corp. Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 156,524.13

F1 · shares: Award of deferred stock pursuant to the Issuer's 2014 Stock Incentive Plan. This award vests in four equal annual installments beginning on January 20, 2020; none of the award is eligible for immediate sale.

SEC source: 0001209191-19-010662 · doc4.xml · nonDerivative · entry 3

Whitaker Michael · CIK 0001758982 · Head of Enterprise O&T

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,215.26

F2 · shares: Award of deferred stock pursuant to the Issuer's 2014 Stock Incentive Plan. This award vests in three equal annual installments beginning on February 20, 2020; none of the award is eligible for immediate sale.

SEC source: 0001209191-19-010662 · doc4.xml · nonDerivative · entry 2

Whitaker Michael · CIK 0001758982 · Head of Enterprise O&T

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,483.38

F1 · shares: Award of deferred stock pursuant to the Issuer's 2014 Stock Incentive Plan. This award vests in five equal annual installments beginning on February 20, 2020; none of the award is eligible for immediate sale.

SEC source: 0001209191-19-010663 · doc4.xml · nonDerivative · entry 1

COSTELLO ELLEN · CIK 0001664542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,456.1961

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

F2 · balance_after: Reflects 2,639.4168 shares of deferred common stock which vested on 1/20/2019 and were transferred to the Reporting Person's deferred compensation account in accordance with the terms of the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010664 · doc4.xml · nonDerivative · entry 1

DUGAN JOHN CUNNINGHAM · CIK 0001718909 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,918.2808

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010666 · doc4.xml · nonDerivative · entry 1

HENNES DUNCAN P · CIK 0001450608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,868.1961

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

F2 · balance_after: Reflects 2,639.4168 shares of deferred common stock which vested on 1/20/2019 and were transferred to the Reporting Person's deferred compensation account in accordance with the terms of the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010668 · doc4.xml · nonDerivative · entry 1

Henry Peter B. · CIK 0001513315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,771.1961

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

F2 · balance_after: Reflects 2,639.4168 shares of deferred common stock which vested on 1/20/2019 and were transferred to the Reporting Person's deferred compensation account in accordance with the terms of the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010670 · doc4.xml · nonDerivative · entry 1

Humer Franz B · CIK 0001548072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,654.1201

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

F2 · balance_after: Reflects 2,639.4168 shares of deferred common stock which vested on 1/20/2019 and were transferred to the Reporting Person's deferred compensation account in accordance with the terms of the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010672 · doc4.xml · nonDerivative · entry 1

IRELAND SUSAN LESLIE · CIK 0001718953 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,968.3916

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010673 · doc4.xml · nonDerivative · entry 1

Jacobs Lew W IV · CIK 0001385286 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,439.6045

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010675 · doc4.xml · nonDerivative · entry 1

James Renee Jo · CIK 0001412439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,456.1961

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

F2 · balance_after: Reflects 2,639.4168 shares of deferred common stock which vested on 1/20/2019 and were transferred to the Reporting Person's deferred compensation account in accordance with the terms of the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010676 · doc4.xml · nonDerivative · entry 1

MCQUADE EUGENE M · CIK 0001195069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,083.0945

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

F2 · balance_after: Reflects 2,549.5462 shares of deferred common stock which vested on 1/20/2019 and were transferred to the Reporting Person's deferred compensation account in accordance with the terms of the Issuer's Compensation Plan for Non-Employee Directors.

F3 · balance_after: Includes 45,386 shares previously held through the 2016 Grantor Retained Annuity Trust ("GRAT"), which were distributed to the reporting person on March 20, 2018, and are now owned directly.

SEC source: 0001209191-19-010677 · doc4.xml · nonDerivative · entry 1

REINER GARY M · CIK 0001233171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,946.1284

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010679 · doc4.xml · nonDerivative · entry 1

SANTOMERO ANTHONY M · CIK 0001432225 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,615.7377

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

F2 · balance_after: Reflects 2,549.5462 shares of deferred common stock which vested on 1/20/2019 and were transferred to the Reporting Person's deferred compensation account in accordance with the terms of the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010680 · doc4.xml · nonDerivative · entry 1

TAYLOR DIANA L · CIK 0001397512 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,456.1961

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

F2 · balance_after: Reflects 2,639.4168 shares of deferred common stock which vested on 1/20/2019 and were transferred to the Reporting Person's deferred compensation account in accordance with the terms of the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010681 · doc4.xml · nonDerivative · entry 1

Turley James S · CIK 0001580994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,994.1961

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

F2 · balance_after: Reflects 2,639.4168 shares of deferred common stock which vested on 1/20/2019 and were transferred to the Reporting Person's deferred compensation account in accordance with the terms of the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010682 · doc4.xml · nonDerivative · entry 1

WRIGHT DEBORAH C · CIK 0001192501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,095.6129

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010683 · doc4.xml · nonDerivative · entry 1

ZEDILLO ERNESTO · CIK 0001184003 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,456.1961

F1 · shares: Deferred shares awarded under the Issuer's Compensation Plan for Non-Employee Directors.

F2 · balance_after: Reflects 2,639.4168 shares of deferred common stock which vested on 1/20/2019 and were transferred to the Reporting Person's deferred compensation account in accordance with the terms of the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-010662 · doc4.xml · nonDerivative · entry 1

Whitaker Michael · CIK 0001758982 · Head of Enterprise O&T

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 7,000

SEC source: 0001209191-20-049607 · doc4.xml · nonDerivative · entry 17

COSTELLO ELLEN · CIK 0001664542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,920

F4 · balance_after: Reflects shares of the Issuer's common stock owned by the Reporting Person in her managed investment accounts as of the filing of this Form 4; does not include shares of the Issuer's common stock granted to the Reporting Person by the Issuer as compensation for her service on the Issuer's Board of Directors.

SEC source: 0001209191-19-010616 · doc4.xml · nonDerivative · entry 1

AKRAM RAJA · CIK 0001721897 · Controller &Chief Acc. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,762.16

F1 · shares: Represents a gift by the Reporting Person to a charitable organization.

SEC source: 0001209191-19-005002 · doc4.xml · nonDerivative · entry 1

AKRAM RAJA · CIK 0001721897 · Controller &Chief Acc. Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,087.16

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock.

SEC source: 0001209191-19-005003 · doc4.xml · derivative · entry 3

Aristeguieta Francisco · CIK 0001566752 · CEO, Asia Pacific

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,981.37

Underlying: Common Stock · 36,981.37 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 44,534.41 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 36,981.37 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.exercise_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 44,534.41 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 36,981.37 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.expiration_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 44,534.41 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 36,981.37 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · balance_after: On February 16, 2016 the Reporting Person received from the Issuer a target award of 44,534.41 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 36,981.37 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

SEC source: 0001209191-19-005003 · doc4.xml · nonDerivative · entry 1

Aristeguieta Francisco · CIK 0001566752 · CEO, Asia Pacific

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,360.99

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock.

SEC source: 0001209191-19-005004 · doc4.xml · derivative · entry 3

BIRD STEPHEN · CIK 0001481514 · CEO, Global Consumer Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,789.26

Underlying: Common Stock · 53,789.26 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 64,775.12 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 53,789.26 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.exercise_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 64,775.12 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 53,789.26 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.expiration_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 64,775.12 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 53,789.26 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · balance_after: On February 16, 2016 the Reporting Person received from the Issuer a target award of 64,775.12 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 53,789.26 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

SEC source: 0001209191-19-005004 · doc4.xml · nonDerivative · entry 1

BIRD STEPHEN · CIK 0001481514 · CEO, Global Consumer Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,765.58

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock.

SEC source: 0001209191-19-005005 · doc4.xml · derivative · entry 3

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,858.3

Underlying: Common Stock · 100,858.3 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 121,457.49 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 100,858.30 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.exercise_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 121,457.49 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 100,858.30 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.expiration_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 121,457.49 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 100,858.30 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · balance_after: On February 16, 2016 the Reporting Person received from the Issuer a target award of 121,457.49 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 100,858.30 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

SEC source: 0001209191-19-005005 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 473,600.85

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock.

SEC source: 0001209191-19-005006 · doc4.xml · derivative · entry 2

DESOER BARBARA J · CIK 0001189881 · CEO, CITIBANK, N.A.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,662.34

Underlying: Common Stock · 38,662.34 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 46,558.70 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 38,662.34 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.exercise_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 46,558.70 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 38,662.34 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.expiration_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 46,558.70 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 38,662.34 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · balance_after: On February 16, 2016 the Reporting Person received from the Issuer a target award of 46,558.70 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 38,662.34 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

SEC source: 0001209191-19-005006 · doc4.xml · nonDerivative · entry 1

DESOER BARBARA J · CIK 0001189881 · CEO, CITIBANK, N.A.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,337.52

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock.

SEC source: 0001209191-19-005007 · doc4.xml · derivative · entry 2

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 104,242.35

Underlying: Common Stock · 104,242.35 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 125,532.70 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 104,242.35 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.exercise_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 125,532.70 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 104,242.35 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.expiration_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 125,532.70 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 104,242.35 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · balance_after: On February 16, 2016 the Reporting Person received from the Issuer a target award of 125,532.70 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 104,242.35 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

SEC source: 0001209191-19-005007 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 489,912.56

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock.

SEC source: 0001209191-19-005008 · doc4.xml · derivative · entry 2

Fraser Jane Nind · CIK 0001644491 · CEO, Latin America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,171.23

Underlying: Common Stock · 47,171.23 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 56,805.43 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 47,171.23 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.exercise_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 56,805.43 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 47,171.23 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.expiration_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 56,805.43 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 47,171.23 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · balance_after: On February 16, 2016 the Reporting Person received from the Issuer a target award of 56,805.43 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 47,171.23 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

SEC source: 0001209191-19-005008 · doc4.xml · nonDerivative · entry 1

Fraser Jane Nind · CIK 0001644491 · CEO, Latin America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,762.46

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock.

SEC source: 0001209191-19-005009 · doc4.xml · derivative · entry 7

Gerspach John C · CIK 0001321140 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 57,153.04

Underlying: Common Stock · 57,153.04 shares

Expires not disclosed

F4 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 68,825.91 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 57,153.04 PSUs.

F5 · derivative.exercise_price: (Continuation of Footnote 4) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F4 · derivative.exercise_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 68,825.91 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 57,153.04 PSUs.

F5 · derivative.exercise_date: (Continuation of Footnote 4) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F4 · derivative.expiration_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 68,825.91 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 57,153.04 PSUs.

F5 · derivative.expiration_date: (Continuation of Footnote 4) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F4 · balance_after: On February 16, 2016 the Reporting Person received from the Issuer a target award of 68,825.91 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 57,153.04 PSUs.

F5 · balance_after: (Continuation of Footnote 4) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

SEC source: 0001209191-19-005009 · doc4.xml · nonDerivative · entry 1

Gerspach John C · CIK 0001321140 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 222,797.43

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock.

F2 · balance_after: Reflects the following distributions from the Reporting Person's current Grantor Retained Annuity Trusts ("GRATs") to the Reporting Person's direct holdings that occurred since his last Form 4 filing on May 18, 2018: 15,036 shares from 2016 GRAT-2 on November 14, 2018 and 15,201 shares from 2017 GRAT-2 on November 15, 2018. In addition, on November 28, 2018, the Reporting Person transferred 10,916 shares from the expired 2016 GRAT-2 to Trust accounts of which his wife is the Trustee.

SEC source: 0001209191-19-005010 · doc4.xml · derivative · entry 2

Hu W. Bradford · CIK 0001629737 · CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,035.62

Underlying: Common Stock · 27,035.62 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 32,557.35 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 27,035.62 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.exercise_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 32,557.35 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 27,035.62 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.expiration_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 32,557.35 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 27,035.62 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · balance_after: On February 16, 2016 the Reporting Person received from the Issuer a target award of 32,557.35 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 27,035.62 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

SEC source: 0001209191-19-005010 · doc4.xml · nonDerivative · entry 1

Hu W. Bradford · CIK 0001629737 · CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,213.41

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock.

SEC source: 0001209191-19-005011 · doc4.xml · derivative · entry 5

Mills William · CIK 0001433837 · CEO, North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,662.34

Underlying: Common Stock · 38,662.34 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 46,558.70 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 38,662.34 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.exercise_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 46,558.70 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 38,662.34 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.expiration_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 46,558.70 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 38,662.34 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · balance_after: On February 16, 2016 the Reporting Person received from the Issuer a target award of 46,558.70 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 38,662.34 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

SEC source: 0001209191-19-005011 · doc4.xml · nonDerivative · entry 1

Mills William · CIK 0001433837 · CEO, North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 482,506.41

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock.

SEC source: 0001209191-19-005013 · doc4.xml · nonDerivative · entry 1

Wechter Sara · CIK 0001745277 · Head of Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,301.65

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock.

SEC source: 0001209191-19-005014 · doc4.xml · derivative · entry 2

Weerasinghe Rohan · CIK 0001550815 · General Counsel & Corp. Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,214.57

Underlying: Common Stock · 25,214.57 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 16, 2016 the Reporting Person received from the Issuer a target award of 30,364.37 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 25,214.57 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.exercise_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 30,364.37 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 25,214.57 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · derivative.expiration_date: On February 16, 2016 the Reporting Person received from the Issuer a target award of 30,364.37 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 25,214.57 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

F2 · balance_after: On February 16, 2016 the Reporting Person received from the Issuer a target award of 30,364.37 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the three-year period ending on December 31, 2018. Based on the adjustments described above, the Reporting Person is entitled to receive 25,214.57 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on or about February 28, 2019. Each PSU is equivalent to the cash value of the average of the closing prices of one share of the Issuer's common stock for the period December 20, 2018 through January 18, 2019, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2015 through February 28, 2019.

SEC source: 0001209191-19-005014 · doc4.xml · nonDerivative · entry 1

Weerasinghe Rohan · CIK 0001550815 · General Counsel & Corp. Sec'y

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 127,690.91

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock.

SEC source: 0001209191-19-006380 · doc4a.xml · nonDerivative · entry 1

Fraser Jane Nind · CIK 0001644491 · CEO, Latin America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,936.46

F1 · shares: Due to an error on the Issuer's part, the original Form 4 misstated the number of shares of common stock withheld to satisfy tax obligations in connection with the vesting of previously awarded stock.

SEC source: 0001209191-19-001871 · doc4.xml · nonDerivative · entry 3

COSTELLO ELLEN · CIK 0001664542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,692.8449

F3 · shares: Reinvestment of cash, including dividends and interest, under the Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-19-001871 · doc4.xml · nonDerivative · entry 2

COSTELLO ELLEN · CIK 0001664542 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 11,191.8821

F3 · shares: Reinvestment of cash, including dividends and interest, under the Compensation Plan for Non-Employee Directors.

F2 · balance_after: Represents deferred shares of common stock held by the Issuer for the benefit of the Reporting Person pursuant to the Issuer's Compensation Plan for Non-Employee Directors.