C

SEC source: 0001209191-16-100027 · doc4.xml · nonDerivative · entry 1

James Renee Jo · CIK 0001412439 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,048.5

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

SEC source: 0001209191-16-100018 · doc4.xml · nonDerivative · entry 1

Henry Peter B. · CIK 0001513315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,346

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

SEC source: 0001209191-16-100024 · doc4.xml · nonDerivative · entry 1

Humer Franz B · CIK 0001548072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,022.8

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

F2 · balance_after: Reflects 3,031.7 shares of deferred common stock which vested on 1/20/2016 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: 0001209191-16-100031 · doc4.xml · nonDerivative · entry 1

MCQUADE EUGENE M · CIK 0001195069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,230.09

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

SEC source: 0001209191-16-100033 · doc4.xml · nonDerivative · entry 1

REINER GARY M · CIK 0001233171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,344.4

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

F2 · balance_after: Reflects 3,020 shares distributed to the Reporting Person in accordance with an election made under the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-16-100037 · doc4.xml · nonDerivative · entry 1

SANTOMERO ANTHONY M · CIK 0001432225 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,014.7

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

F2 · balance_after: Reflects 3,020.2 shares of deferred common stock which vested on 1/20/2016 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: 0001209191-16-100035 · doc4.xml · nonDerivative · entry 1

RODIN JUDITH · CIK 0001102075 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,022.8

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

F2 · balance_after: Reflects 3,031.7 shares of deferred common stock which vested on 1/20/2016 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: 0001209191-16-100038 · doc4.xml · nonDerivative · entry 1

SPERO JOAN E · CIK 0001197661 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,022.8

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

F2 · balance_after: Reflects 3,031.7 shares of deferred common stock which vested on 1/20/2016 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: 0001209191-16-100042 · doc4.xml · nonDerivative · entry 1

TAYLOR DIANA L · CIK 0001397512 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,022.8

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

F2 · balance_after: Reflects 3,031.7 shares of deferred common stock which vested on 1/20/2016 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: 0001209191-16-100044 · doc4.xml · nonDerivative · entry 1

THOMPSON WILLIAM S · CIK 0001201901 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,022.8

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

F2 · balance_after: Reflects 3,031 shares distributed to the Reporting Person in accordance with an election made under the Issuer's Compensation Plan for Non-Employee Directors.

SEC source: 0001209191-16-100046 · doc4.xml · nonDerivative · entry 1

Turley James S · CIK 0001580994 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,560.6

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

F2 · balance_after: Reflects 3,031.7 shares of deferred common stock which vested on 1/20/2016 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: 0001209191-16-100048 · doc4.xml · nonDerivative · entry 1

ZEDILLO ERNESTO · CIK 0001184003 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,022.8

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

F2 · balance_after: Reflects 3,031.7 shares of deferred common stock which vested on 1/20/2016 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: 0001209191-16-098012 · doc4.xml · nonDerivative · entry 2

Callahan Don · CIK 0001433990 · Head of Operations&Technology

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,170

SEC source: 0001209191-16-098012 · doc4.xml · nonDerivative · entry 1

Callahan Don · CIK 0001433990 · Head of Operations&Technology

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 261,342.35

SEC source: 0001209191-16-098016 · doc4.xml · nonDerivative · entry 1

Mills William · CIK 0001433837 · CEO, North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,000

SEC source: 0001209191-16-097539 · doc4.xml · nonDerivative · entry 1

Gerspach John C · CIK 0001321140 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 171,045.18

F1 · price: This price represents the average purchase prices for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $37.60 to $37.63. Upon request by the SEC staff, the Issuer or a security holder of the Issuer, the Reporting Person will undertake to provide full information regarding the number of shares and prices at which the transactions were effected.

SEC source: 0001209191-20-049607 · doc4.xml · nonDerivative · entry 5

COSTELLO ELLEN · CIK 0001664542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,785

F1 · balance_after: Represents shares of the Issuer's common stock acquired by the Reporting Person in her managed investment account (see Remarks); 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: 0001209191-20-049607 · doc4.xml · nonDerivative · entry 4

COSTELLO ELLEN · CIK 0001664542 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 450

F2 · balance_after: Represents shares of the Issuer's common stock acquired by the Reporting Person's spouse in his managed investment account and deemed to be beneficially owned by the Reporting Person (see Remarks).

SEC source: 0001209191-20-049607 · doc4.xml · nonDerivative · entry 3

COSTELLO ELLEN · CIK 0001664542 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Spouse

Disclosed balance after: 350

F2 · balance_after: Represents shares of the Issuer's common stock acquired by the Reporting Person's spouse in his managed investment account and deemed to be beneficially owned by the Reporting Person (see Remarks).

SEC source: 0001209191-20-049607 · doc4.xml · nonDerivative · entry 2

COSTELLO ELLEN · CIK 0001664542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,185

F1 · balance_after: Represents shares of the Issuer's common stock acquired by the Reporting Person in her managed investment account (see Remarks); 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: 0001209191-20-049607 · doc4.xml · nonDerivative · entry 1

COSTELLO ELLEN · CIK 0001664542 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,565

F1 · balance_after: Represents shares of the Issuer's common stock acquired by the Reporting Person in her managed investment account (see Remarks); 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: 0001209191-16-093038 · doc4.xml · nonDerivative · entry 2

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 380,765.36

SEC source: 0001209191-16-093039 · doc4.xml · nonDerivative · entry 1

ONEILL MICHAEL E · CIK 0001204673 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 53,200

F1 · price: This price represents the average purchase prices for multiple transactions reported on this line. The prices of the transactions reported on this line ranged from $40.99 to $41.03. Upon request by the SEC staff, the Issuer or a security holder of the Issuer, the Reporting Person will undertake to provide full information regarding the number of shares and prices at which the transactions were effected.

SEC source: 0001209191-16-093038 · doc4.xml · nonDerivative · entry 1

CORBAT MICHAEL · CIK 0001462790 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 355,765.36

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

SEC source: 0001209191-16-093068 · doc4.xml · nonDerivative · entry 1

Aristeguieta Francisco · CIK 0001566752 · CEO, Asia Pacific

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,421

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: Includes 20.8 shares acquired through dividend reinvestments since the Reporting Person's last Form 4 filing.

SEC source: 0001209191-16-093069 · doc4.xml · nonDerivative · entry 1

BIRD STEPHEN · CIK 0001481514 · CEO, Global Consumer Bank

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 238,686.22

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

SEC source: 0001209191-16-093070 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,974.4

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

SEC source: 0001209191-16-093073 · doc4.xml · nonDerivative · entry 1

Fraser Jane Nind · CIK 0001644491 · CEO, Latin America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,297.18

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

SEC source: 0001209191-16-093072 · doc4.xml · nonDerivative · entry 1

Forese James A. · CIK 0001433386 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 401,261.82

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

SEC source: 0001209191-16-093075 · doc4.xml · nonDerivative · entry 1

Mills William · CIK 0001433837 · CEO, North America

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 426,072.88

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

SEC source: 0001209191-16-093074 · doc4.xml · nonDerivative · entry 1

Hu W. Bradford · CIK 0001629737 · CHIEF RISK OFFICER

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,253.04

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

SEC source: 0001209191-16-093076 · doc4.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 106,346.35

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

SEC source: 0001209191-16-093087 · doc4.xml · nonDerivative · entry 1

MURRAY JOSEPH MICHAEL · CIK 0001614594 · Head of Human Resources

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 22,921.16

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

SEC source: 0001209191-16-093088 · doc4.xml · nonDerivative · entry 1

WALSH JEFFREY R · CIK 0001469021 · Controller

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,879.24

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

SEC source: 0001209191-16-093240 · doc4.xml · derivative · entry 2

Callahan Don · CIK 0001433990 · Head of Operations&Technology

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,456.98

Underlying: Common Stock · 32,456.98 shares

Expires 2016-02-19

F2 · derivative.exercise_price: On February 19, 2013 the Reporting Person received from the Issuer a target award of 47,801.15 Performance Share Units ("PSUs"), subject to increase up to 150%, or 71,701.73 PSUs, and decrease to zero PSUs, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (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 32,456.98 PSUs. Each PSU is payable only in cash expected to be delivered on February 19, 2016, and is equivalent to the cash value of the average high and low price of one share of the Issuer's common stock on January 20, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

F2 · derivative.exercise_date: On February 19, 2013 the Reporting Person received from the Issuer a target award of 47,801.15 Performance Share Units ("PSUs"), subject to increase up to 150%, or 71,701.73 PSUs, and decrease to zero PSUs, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (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 32,456.98 PSUs. Each PSU is payable only in cash expected to be delivered on February 19, 2016, and is equivalent to the cash value of the average high and low price of one share of the Issuer's common stock on January 20, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

F2 · derivative.expiration_date: On February 19, 2013 the Reporting Person received from the Issuer a target award of 47,801.15 Performance Share Units ("PSUs"), subject to increase up to 150%, or 71,701.73 PSUs, and decrease to zero PSUs, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (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 32,456.98 PSUs. Each PSU is payable only in cash expected to be delivered on February 19, 2016, and is equivalent to the cash value of the average high and low price of one share of the Issuer's common stock on January 20, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

F2 · balance_after: On February 19, 2013 the Reporting Person received from the Issuer a target award of 47,801.15 Performance Share Units ("PSUs"), subject to increase up to 150%, or 71,701.73 PSUs, and decrease to zero PSUs, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (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 32,456.98 PSUs. Each PSU is payable only in cash expected to be delivered on February 19, 2016, and is equivalent to the cash value of the average high and low price of one share of the Issuer's common stock on January 20, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

SEC source: 0001209191-16-093240 · doc4.xml · nonDerivative · entry 1

Callahan Don · CIK 0001433990 · Head of Operations&Technology

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 255,642.35

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

SEC source: 0001209191-16-093243 · doc4.xml · derivative · entry 2

MCQUADE EUGENE M · CIK 0001195069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,456.98

Underlying: Common Stock · 32,456.98 shares

Expires 2016-02-19

F2 · derivative.exercise_price: On February 19, 2013 the Reporting Person, while he was employed by the Issuer, received from the Issuer a target award of 47,801.15 Performance Share Units ("PSUs"), subject to increase up to 150%, or 71,701.73 PSUs, and decrease to zero PSUs, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (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 32,456.98 PSUs. Each PSU is payable only in cash expected to be delivered on February 19, 2016, and is equivalent to the cash value of the average high and low price of one share of the Issuer's common stock on January 20, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

F2 · derivative.exercise_date: On February 19, 2013 the Reporting Person, while he was employed by the Issuer, received from the Issuer a target award of 47,801.15 Performance Share Units ("PSUs"), subject to increase up to 150%, or 71,701.73 PSUs, and decrease to zero PSUs, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (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 32,456.98 PSUs. Each PSU is payable only in cash expected to be delivered on February 19, 2016, and is equivalent to the cash value of the average high and low price of one share of the Issuer's common stock on January 20, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

F2 · derivative.expiration_date: On February 19, 2013 the Reporting Person, while he was employed by the Issuer, received from the Issuer a target award of 47,801.15 Performance Share Units ("PSUs"), subject to increase up to 150%, or 71,701.73 PSUs, and decrease to zero PSUs, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (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 32,456.98 PSUs. Each PSU is payable only in cash expected to be delivered on February 19, 2016, and is equivalent to the cash value of the average high and low price of one share of the Issuer's common stock on January 20, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

F2 · balance_after: On February 19, 2013 the Reporting Person, while he was employed by the Issuer, received from the Issuer a target award of 47,801.15 Performance Share Units ("PSUs"), subject to increase up to 150%, or 71,701.73 PSUs, and decrease to zero PSUs, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (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 32,456.98 PSUs. Each PSU is payable only in cash expected to be delivered on February 19, 2016, and is equivalent to the cash value of the average high and low price of one share of the Issuer's common stock on January 20, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

SEC source: 0001209191-16-093243 · doc4.xml · nonDerivative · entry 1

MCQUADE EUGENE M · CIK 0001195069 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 126,885.59

F1 · shares: Withholding of shares of common stock to satisfy tax withholding obligations in connection with the vesting of previously awarded stock, granted to the Reporting Person while he was an employee of the Issuer.

SEC source: 0001209191-16-093247 · doc4.xml · derivative · entry 6

Gerspach John C · CIK 0001321140 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,138.63

Underlying: Common Stock · 30,138.63 shares

Expires 2016-02-19

F7 · derivative.exercise_price: On February 19, 2013 the Reporting Person received from the Issuer a target award of 44,386.78Performance Share Units ("PSUs"), subject to increase up to 150%, or 66,580.17PSUs, and decrease to zero PSUs, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (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 30,138.63PSUs. Each PSU is payable only in cash expected to be delivered on February 19, 2016, and is equivalent to the cash value of the average high and low price of one share of the Issuer's common stock on January 20, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

F7 · derivative.exercise_date: On February 19, 2013 the Reporting Person received from the Issuer a target award of 44,386.78Performance Share Units ("PSUs"), subject to increase up to 150%, or 66,580.17PSUs, and decrease to zero PSUs, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (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 30,138.63PSUs. Each PSU is payable only in cash expected to be delivered on February 19, 2016, and is equivalent to the cash value of the average high and low price of one share of the Issuer's common stock on January 20, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

F7 · derivative.expiration_date: On February 19, 2013 the Reporting Person received from the Issuer a target award of 44,386.78Performance Share Units ("PSUs"), subject to increase up to 150%, or 66,580.17PSUs, and decrease to zero PSUs, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (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 30,138.63PSUs. Each PSU is payable only in cash expected to be delivered on February 19, 2016, and is equivalent to the cash value of the average high and low price of one share of the Issuer's common stock on January 20, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

F7 · balance_after: On February 19, 2013 the Reporting Person received from the Issuer a target award of 44,386.78Performance Share Units ("PSUs"), subject to increase up to 150%, or 66,580.17PSUs, and decrease to zero PSUs, based on (i) the Issuer's average return on assets over the three-year period ending on December 31, 2015 (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 30,138.63PSUs. Each PSU is payable only in cash expected to be delivered on February 19, 2016, and is equivalent to the cash value of the average high and low price of one share of the Issuer's common stock on January 20, 2016, plus dividends declared on equivalent shares of the Issuer's common stock from December 31, 2012 through February 19, 2016.

SEC source: 0001209191-16-093247 · doc4.xml · nonDerivative · entry 1

Gerspach John C · CIK 0001321140 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,045.18

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: Includes 22,670 shares previously held through 2014 Grantor Retained Annuity Trust ("GRAT"-1), which were distributed to the Reporting person on May 21, 2015, and are now owned directly.

SEC source: 0001209191-16-089025 · doc4.xml · nonDerivative · entry 2

ONEILL MICHAEL E · CIK 0001204673 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 60,887.5

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: 0001209191-16-089025 · doc4.xml · nonDerivative · entry 1

ONEILL MICHAEL E · CIK 0001204673 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 60,832.7

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: 0001209191-16-089007 · doc4.xml · nonDerivative · entry 1

HENNES DUNCAN P · CIK 0001450608 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,418.1

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

SEC source: 0001209191-16-089010 · doc4.xml · nonDerivative · entry 1

Henry Peter B. · CIK 0001513315 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,297.5

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

SEC source: 0001209191-16-089019 · doc4.xml · nonDerivative · entry 2

Humer Franz B · CIK 0001548072 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 7,636.7

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: 0001209191-16-089019 · doc4.xml · nonDerivative · entry 1

Humer Franz B · CIK 0001548072 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,006

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

SEC source: 0001209191-16-089030 · doc4.xml · nonDerivative · entry 1

REINER GARY M · CIK 0001233171 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,295.9

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

SEC source: 0001209191-16-089040 · doc4.xml · nonDerivative · entry 3

RODIN JUDITH · CIK 0001102075 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,006

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

SEC source: 0001209191-16-089040 · doc4.xml · nonDerivative · entry 2

RODIN JUDITH · CIK 0001102075 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 28,449.6

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: 0001209191-16-089040 · doc4.xml · nonDerivative · entry 1

RODIN JUDITH · CIK 0001102075 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 28,423.4

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.