C

SEC source: 0001209191-17-012310 · doc4.xml · nonDerivative · entry 1

RODIN JUDITH · CIK 0001102075 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,715.2749

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

SEC source: 0001209191-17-012307 · doc4.xml · nonDerivative · entry 1

MCQUADE EUGENE M · CIK 0001195069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,409.9962

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

SEC source: 0001209191-17-012309 · doc4.xml · nonDerivative · entry 1

REINER GARY M · CIK 0001233171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,885.3147

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

SEC source: 0001209191-17-012315 · doc4.xml · nonDerivative · entry 1

SPERO JOAN E · CIK 0001197661 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,715.2749

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

F2 · balance_after: Reflects 2,999.6090 shares of deferred common stock which vested on 1/20/2017 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: 0001209191-17-012312 · doc4.xml · nonDerivative · entry 1

SANTOMERO ANTHONY M · CIK 0001432225 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,598.0607

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

F2 · balance_after: Reflects 2,966.1855 shares of deferred common stock which vested on 1/20/2017 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: 0001209191-17-012324 · doc4.xml · nonDerivative · entry 1

WRIGHT DEBORAH C · CIK 0001192501 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,549.5462

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

SEC source: 0001209191-17-012320 · doc4.xml · nonDerivative · entry 1

THOMPSON WILLIAM S · CIK 0001201901 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,627.4346

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

F2 · balance_after: Reflects 2,999.6090 shares distributed to the Reporting Person in accordance with an election made under the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-17-012317 · doc4.xml · nonDerivative · entry 1

TAYLOR DIANA L · CIK 0001397512 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,627.4346

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

F2 · balance_after: Reflects 2,999.6090 shares of deferred common stock which vested on 1/20/2017 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: 0001209191-17-012323 · doc4.xml · nonDerivative · entry 1

Turley James S · CIK 0001580994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,165.4346

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

F2 · balance_after: Reflects 2,999.6090 shares of deferred common stock which vested on 1/20/2017 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: 0001209191-17-012326 · doc4.xml · nonDerivative · entry 1

ZEDILLO ERNESTO · CIK 0001184003 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,627.4346

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

F2 · balance_after: Reflects 2,999.6090 shares of deferred common stock which vested on 1/20/2017 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: 0001209191-17-008660 · doc4.xml · nonDerivative · entry 1

RODIN JUDITH · CIK 0001102075 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,077.8884

SEC source: 0001209191-17-007068 · doc4.xml · nonDerivative · entry 1

Hu W. Bradford · CIK 0001629737 · CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,136.78

SEC source: 0001209191-17-005386 · doc4.xml · derivative · entry 3

Aristeguieta Francisco · CIK 0001566752 · CEO, Asia Pacific

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,140.28

Underlying: Common Stock · 7,140.28 shares

Expires not disclosed

F3 · derivative.exercise_price: On February 18, 2014 the Reporting Person received from the Issuer a target award of 14,195.39 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 7,140.28 PSUs.

F4 · derivative.exercise_price: (Continuation of Footnote 3) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F3 · derivative.exercise_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 14,195.39 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 7,140.28 PSUs.

F4 · derivative.exercise_date: (Continuation of Footnote 3) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F3 · derivative.expiration_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 14,195.39 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 7,140.28 PSUs.

F4 · derivative.expiration_date: (Continuation of Footnote 3) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F3 · balance_after: On February 18, 2014 the Reporting Person received from the Issuer a target award of 14,195.39 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 7,140.28 PSUs.

F4 · balance_after: (Continuation of Footnote 3) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

SEC source: 0001209191-17-005386 · doc4.xml · nonDerivative · entry 1

Aristeguieta Francisco · CIK 0001566752 · CEO, Asia Pacific

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,737.46

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

SEC source: 0001209191-17-005387 · doc4.xml · derivative · entry 3

BIRD STEPHEN · CIK 0001481514 · CEO, Global Consumer Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,599.38

Underlying: Common Stock · 20,599.38 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 18, 2014 the Reporting Person received from the Issuer a target award of 40,953.04 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 20,599.38 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.exercise_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 40,953.04 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 20,599.38 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.expiration_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 40,953.04 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 20,599.38 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · balance_after: On February 18, 2014 the Reporting Person received from the Issuer a target award of 40,953.04 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 20,599.38 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

SEC source: 0001209191-17-005387 · doc4.xml · nonDerivative · entry 1

BIRD STEPHEN · CIK 0001481514 · CEO, Global Consumer Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 290,606.75

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

SEC source: 0001209191-17-005389 · doc4.xml · derivative · entry 3

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,499.44

Underlying: Common Stock · 39,499.44 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 18, 2014 the Reporting Person received from the Issuer a target award of 78,527.71 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 39,499.44 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.exercise_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 78,527.71 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 39,499.44 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.expiration_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 78,527.71 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 39,499.44 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · balance_after: On February 18, 2014 the Reporting Person received from the Issuer a target award of 78,527.71 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 39,499.44 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

SEC source: 0001209191-17-005389 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 464,774.97

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

SEC source: 0001209191-17-005388 · doc4.xml · derivative · entry 3

Callahan Don · CIK 0001433990 · Head of Operations&Technology

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,509.32

Underlying: Common Stock · 20,509.32 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 18, 2014 the Reporting Person received from the Issuer a target award of 40,774.00 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 20,509.32 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.exercise_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 40,774.00 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 20,509.32 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.expiration_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 40,774.00 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 20,509.32 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · balance_after: On February 18, 2014 the Reporting Person received from the Issuer a target award of 40,774.00 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 20,509.32 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

SEC source: 0001209191-17-005388 · doc4.xml · nonDerivative · entry 1

Callahan Don · CIK 0001433990 · Head of Operations&Technology

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,631

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

SEC source: 0001209191-17-005390 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,354.92

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

SEC source: 0001209191-17-005391 · doc4.xml · derivative · entry 2

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,094.61

Underlying: Common Stock · 41,094.61 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 18, 2014 the Reporting Person received from the Issuer a target award of 81,699.02 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 41,094.61 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.exercise_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 81,699.02 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 41,094.61 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.expiration_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 81,699.02 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 41,094.61 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · balance_after: On February 18, 2014 the Reporting Person received from the Issuer a target award of 81,699.02 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 41,094.61 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

SEC source: 0001209191-17-005391 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 489,971.84

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

SEC source: 0001209191-17-005392 · doc4.xml · nonDerivative · entry 1

Fraser Jane Nind · CIK 0001644491 · CEO, Latin America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,098

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

SEC source: 0001209191-17-005393 · doc4.xml · derivative · entry 6

Gerspach John C · CIK 0001321140 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,268.93

Underlying: Common Stock · 21,268.93 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 18, 2014 the Reporting Person received from the Issuer a target award of 42,284.15 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 21,268.93 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.exercise_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 42,284.15 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 21,268.93 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.expiration_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 42,284.15 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 21,268.93 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · balance_after: On February 18, 2014 the Reporting Person received from the Issuer a target award of 42,284.15 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 21,268.93 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

SEC source: 0001209191-17-005393 · doc4.xml · nonDerivative · entry 1

Gerspach John C · CIK 0001321140 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 237,735.61

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

SEC source: 0001209191-17-005394 · doc4.xml · nonDerivative · entry 1

Hu W. Bradford · CIK 0001629737 · CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,245.78

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

SEC source: 0001209191-17-005396 · doc4.xml · nonDerivative · entry 1

MURRAY JOSEPH MICHAEL · CIK 0001614594 · Head of Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,952.8

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

SEC source: 0001209191-17-005395 · doc4.xml · derivative · entry 5

Mills William · CIK 0001433837 · CEO, North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,027.66

Underlying: Common Stock · 16,027.66 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 18, 2014 the Reporting Person received from the Issuer a target award of 31,864.13 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 16,027.66 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.exercise_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 31,864.13 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 16,027.66 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.expiration_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 31,864.13 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 16,027.66 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · balance_after: On February 18, 2014 the Reporting Person received from the Issuer a target award of 31,864.13 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 16,027.66 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

SEC source: 0001209191-17-005395 · doc4.xml · nonDerivative · entry 1

Mills William · CIK 0001433837 · CEO, North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 461,214.69

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

SEC source: 0001209191-17-005397 · doc4.xml · nonDerivative · entry 1

WALSH JEFFREY R · CIK 0001469021 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,280.04

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

SEC source: 0001209191-17-005398 · doc4.xml · derivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,128.07

Underlying: Common Stock · 10,128.07 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 18, 2014 the Reporting Person received from the Issuer a target award of 20,135.31 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 10,128.07 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.exercise_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 20,135.31 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 10,128.07 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.expiration_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 20,135.31 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 10,128.07 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · balance_after: On February 18, 2014 the Reporting Person received from the Issuer a target award of 20,135.31 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 10,128.07 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

SEC source: 0001209191-17-005398 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,830.08

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

SEC source: 0001209191-17-005399 · doc4.xml · derivative · entry 4

MCQUADE EUGENE M · CIK 0001195069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,332.38

Underlying: Common Stock · 22,332.38 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 18, 2014 the Reporting Person received from the Issuer a target award of 44,398.36 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 22,332.38 PSUs.

F3 · derivative.exercise_price: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.exercise_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 44,398.36 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 22,332.38 PSUs.

F3 · derivative.exercise_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · derivative.expiration_date: On February 18, 2014 the Reporting Person received from the Issuer a target award of 44,398.36 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 22,332.38 PSUs.

F3 · derivative.expiration_date: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

F2 · balance_after: On February 18, 2014 the Reporting Person received from the Issuer a target award of 44,398.36 Performance Share Units ("PSUs"), with the possibility to earn from 0% to 150% of the target award, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2016 (the "Performance Period") and (2) the Issuer's total shareholder return relative to the total shareholder return of certain of its peer financial services companies during the Performance Period. Based on the adjustments described above, the Reporting Person is entitled to receive 22,332.38 PSUs.

F3 · balance_after: (Continuation of Footnote 2) Each PSU is payable only in cash which is expected to be delivered on February 17, 2017. 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 January 12, 2017 through January 19, 2017, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2013 through February 17, 2017.

SEC source: 0001209191-17-005399 · doc4.xml · nonDerivative · entry 1

MCQUADE EUGENE M · CIK 0001195069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,860.45

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

SEC source: 0001209191-17-001974 · doc4.xml · nonDerivative · entry 2

HENNES DUNCAN P · CIK 0001450608 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 3,057.3075

F1 · 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.

SEC source: 0001209191-17-001974 · doc4.xml · nonDerivative · entry 1

HENNES DUNCAN P · CIK 0001450608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,489.4974

F1 · shares: Reinvestment of cash, including dividends and interest, under the Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-17-001988 · doc4.xml · nonDerivative · entry 2

ONEILL MICHAEL E · CIK 0001204673 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 71,966.4934

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.

SEC source: 0001209191-17-001988 · doc4.xml · nonDerivative · entry 1

ONEILL MICHAEL E · CIK 0001204673 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 71,776.4417

F1 · shares: Deferred shares awarded under the Issuer's 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.

SEC source: 0001209191-17-001984 · doc4.xml · nonDerivative · entry 1

James Renee Jo · CIK 0001412439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,077.8884

F1 · shares: Reinvestment of cash, including dividends and interest, under the Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-17-001978 · doc4.xml · nonDerivative · entry 2

Humer Franz B · CIK 0001548072 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 10,758.6478

F1 · 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.

SEC source: 0001209191-17-001978 · doc4.xml · nonDerivative · entry 1

Humer Franz B · CIK 0001548072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,077.4974

F1 · shares: Reinvestment of cash, including dividends and interest, under the Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-17-002004 · doc4.xml · nonDerivative · entry 3

COSTELLO ELLEN · CIK 0001664542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,077.8884

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

SEC source: 0001209191-17-002004 · doc4.xml · nonDerivative · entry 2

COSTELLO ELLEN · CIK 0001664542 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,559.3148

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.

SEC source: 0001209191-17-002004 · doc4.xml · nonDerivative · entry 1

COSTELLO ELLEN · CIK 0001664542 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,553.9158

F1 · shares: Deferred shares awarded under the Issuer's 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.

SEC source: 0001209191-17-002011 · doc4.xml · nonDerivative · entry 3

Henry Peter B. · CIK 0001513315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,386.8074

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

SEC source: 0001209191-17-002011 · doc4.xml · nonDerivative · entry 2

Henry Peter B. · CIK 0001513315 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,643.1265

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.

SEC source: 0001209191-17-002011 · doc4.xml · nonDerivative · entry 1

Henry Peter B. · CIK 0001513315 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,637.4995

F1 · shares: Deferred shares awarded under the Issuer's 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.

SEC source: 0001209191-17-002018 · doc4.xml · nonDerivative · entry 1

REINER GARY M · CIK 0001233171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,335.7685

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

SEC source: 0001209191-17-002033 · doc4.xml · nonDerivative · entry 2

TAYLOR DIANA L · CIK 0001397512 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,077.4974

F1 · shares: Reinvestment of cash, including dividends and interest, under the Compensation Plan for Non-Employee Directors.