GS

SEC source: 0001792653-24-000002 · wk-form4_1706217149.xml · nonDerivative · entry 1

FREDMAN SHEARA J · CIK 0001792653 · Chief Accounting Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,787

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

SEC source: 0001850865-24-000002 · wk-form4_1706216841.xml · derivative · entry 4

Ruemmler Kathryn H. · CIK 0001850865 · Chief Legal Officer, GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 20,074 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

F1 · price: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

F1 · derivative.exercise_date: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

F1 · derivative.expiration_date: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

SEC source: 0001850865-24-000002 · wk-form4_1706216841.xml · nonDerivative · entry 3

Ruemmler Kathryn H. · CIK 0001850865 · Chief Legal Officer, GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 6,501

F3 · price: Reflects a weighted average sale price of $379.81 per share, at prices ranging from $379.23 to $380.14 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001850865-24-000002 · wk-form4_1706216841.xml · nonDerivative · entry 2

Ruemmler Kathryn H. · CIK 0001850865 · Chief Legal Officer, GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 13,778

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0001850865-24-000002 · wk-form4_1706216841.xml · nonDerivative · entry 1

Ruemmler Kathryn H. · CIK 0001850865 · Chief Legal Officer, GC

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 24,408

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

SEC source: 0001886101-24-000002 · wk-form4_1706216704.xml · derivative · entry 4

BERLINSKI PHILIP R. · CIK 0001886101 · Global Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 16,043 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

F1 · price: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

F1 · derivative.exercise_date: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

F1 · derivative.expiration_date: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

SEC source: 0001886101-24-000002 · wk-form4_1706216704.xml · nonDerivative · entry 2

BERLINSKI PHILIP R. · CIK 0001886101 · Global Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,058

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0001886101-24-000002 · wk-form4_1706216704.xml · nonDerivative · entry 1

BERLINSKI PHILIP R. · CIK 0001886101 · Global Treasurer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 37,409

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

SEC source: 0001900188-24-000002 · wk-form4_1706217255.xml · derivative · entry 4

COLEMAN DENIS P. · CIK 0001900188 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock par value $0.01 per share · 13,558 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

F1 · price: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

F1 · derivative.exercise_date: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

F1 · derivative.expiration_date: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

SEC source: 0001900188-24-000002 · wk-form4_1706217255.xml · nonDerivative · entry 2

COLEMAN DENIS P. · CIK 0001900188 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 42,097

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the RSUs described in footnote 1 above.

SEC source: 0001900188-24-000002 · wk-form4_1706217255.xml · nonDerivative · entry 1

COLEMAN DENIS P. · CIK 0001900188 · Chief Financial Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 48,469

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · price: On January 23, 2024, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2023 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2023 compensation.

SEC source: 0001090352-24-000002 · wk-form4_1705698754.xml · derivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,141

Underlying: Common Stock, par value $0.01 per share · 927 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001193107-24-000002 · wk-form4_1705698369.xml · derivative · entry 1

JOHNSON KEVIN R · CIK 0001193107 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,590

Underlying: Common Stock, par value $0.01 per share · 1,025 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant for service on the Issuer's Board of Directors, fourth quarter 2023 Annual Retainer for service on the Issuer's Board of Directors and fourth quarter 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank"). Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank Board of Directors, as applicable.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant for service on the Issuer's Board of Directors, fourth quarter 2023 Annual Retainer for service on the Issuer's Board of Directors and fourth quarter 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank"). Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank Board of Directors, as applicable.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant for service on the Issuer's Board of Directors, fourth quarter 2023 Annual Retainer for service on the Issuer's Board of Directors and fourth quarter 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank"). Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank Board of Directors, as applicable.

SEC source: 0001197664-24-000002 · wk-form4_1705698201.xml · derivative · entry 1

BURNS M MICHELE · CIK 0001197664 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,141

Underlying: Common Stock, par value $0.01 per share · 927 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001214107-24-000003 · wk-form4_1705698644.xml · derivative · entry 1

OPPENHEIMER PETER · CIK 0001214107 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,516

Underlying: Common Stock, par value $0.01 per share · 1,075 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant for service on the Issuer's Board of Directors, fourth quarter 2023 Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors and fourth quarter 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank"). Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank Board of Directors, as applicable.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant for service on the Issuer's Board of Directors, fourth quarter 2023 Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors and fourth quarter 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank"). Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank Board of Directors, as applicable.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant for service on the Issuer's Board of Directors, fourth quarter 2023 Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors and fourth quarter 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank"). Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank Board of Directors, as applicable.

SEC source: 0001303141-24-000002 · wk-form4_1705698411.xml · derivative · entry 1

Kullman Ellen Jamison · CIK 0001303141 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,864

Underlying: Common Stock, par value $0.01 per share · 927 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001438783-24-000002 · wk-form4_1705698533.xml · derivative · entry 1

MITTAL LAKSHMI N · CIK 0001438783 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,013

Underlying: Common Stock, par value $0.01 per share · 991 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant and fourth quarter 2023 Annual Retainer. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant and fourth quarter 2023 Annual Retainer. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant and fourth quarter 2023 Annual Retainer. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001442039-24-000002 · wk-form4_1705698567.xml · derivative · entry 1

Montag Thomas K. · CIK 0001442039 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 463

Underlying: Common Stock, par value $0.01 per share · 463 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's prorated 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's prorated 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's prorated 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001481450-24-000002 · wk-form4_1705698614.xml · derivative · entry 1

Ogunlesi Adebayo O. · CIK 0001481450 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,232

Underlying: Common Stock, par value $0.01 per share · 1,008 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant and fourth quarter 2023 Annual Retainer and Committee Chair Fee. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant and fourth quarter 2023 Annual Retainer and Committee Chair Fee. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant and fourth quarter 2023 Annual Retainer and Committee Chair Fee. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001520700-24-000002 · wk-form4_1705698256.xml · derivative · entry 1

Flaherty Mark A. · CIK 0001520700 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,141

Underlying: Common Stock, par value $0.01 per share · 927 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001698554-24-000002 · wk-form4_1705698829.xml · nonDerivative · entry 3

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 14,308

F4 · price: Reflects a weighted average sale price of $376.03 per share, at prices ranging from $375.75 to $376.51 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Held through a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.

SEC source: 0001698554-24-000002 · wk-form4_1705698829.xml · nonDerivative · entry 2

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 18,308

F2 · price: Reflects a weighted average sale price of $375.23 per share, at prices ranging from $374.74 to $375.72 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

F3 · ownership.nature: Held through a trust, the sole trustee of which is the Reporting Person's spouse and the sole beneficiaries of which are immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.

SEC source: 0001698554-24-000002 · wk-form4_1705698829.xml · nonDerivative · entry 1

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,121

F1 · price: Reflects a weighted average sale price of $376.39 per share, at prices ranging from $376.09 to $376.71 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001762375-24-000002 · wk-form4_1705698680.xml · derivative · entry 1

Tighe Jan E · CIK 0001762375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,571

Underlying: Common Stock, par value $0.01 per share · 961 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant for service on the Issuer's Board of Directors and fourth quarter 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank"). Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank Board of Directors, as applicable.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant for service on the Issuer's Board of Directors and fourth quarter 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank"). Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank Board of Directors, as applicable.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant for service on the Issuer's Board of Directors and fourth quarter 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank"). Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank Board of Directors, as applicable.

SEC source: 0001860611-24-000002 · wk-form4_1705698717.xml · derivative · entry 1

UHL JESSICA R. · CIK 0001860611 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,738

Underlying: Common Stock, par value $0.01 per share · 927 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001864341-24-000002 · wk-form4_1705698314.xml · derivative · entry 1

HARRIS KIMBERLEY D. · CIK 0001864341 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,600

Underlying: Common Stock, par value $0.01 per share · 927 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Represents Restricted Stock Units ("RSUs") granted for the Reporting Person's 2023 Annual Grant. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001520700-24-000004 · wk-form4_1728504772.xml · nonDerivative · entry 8

Flaherty Mark A. · CIK 0001520700 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,077.039

F1 · price: These shares were acquired under a discontinued dividend reinvestment program at an unaffiliated broker.

F2 · ownership.nature: Held through a revocable trust where the reporting person is the beneficiary.

SEC source: 0001910388-23-000003 · wk-form4_1700849177.xml · nonDerivative · entry 1

LESLIE ERICKA T · CIK 0001910388 · Chief Administrative Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 10,471

F1 · price: Reflects a weighted average sale price of $335.15 per share, at prices ranging from $335.07 to $335.29 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001090352-23-000006 · wk-form4_1700257455.xml · nonDerivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 628,425

SEC source: 0001209191-23-053668 · doc4.xml · nonDerivative · entry 1

ROGERS JOHN F.W. · CIK 0001517277 · Executive Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 71,409

SEC source: 0001209191-23-053252 · doc4.xml · derivative · entry 1

JOHNSON KEVIN R · CIK 0001193107 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 565

Underlying: Common Stock, par value $0.01 per share · 97 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 (i) Annual Retainer for service on the Issuer's Board of Directors and (ii) Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank USA") are each granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank USA's Board of Directors, as applicable.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 (i) Annual Retainer for service on the Issuer's Board of Directors and (ii) Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank USA") are each granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank USA's Board of Directors, as applicable.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 (i) Annual Retainer for service on the Issuer's Board of Directors and (ii) Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank USA") are each granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank USA's Board of Directors, as applicable.

SEC source: 0001209191-23-053253 · doc4.xml · derivative · entry 1

MITTAL LAKSHMI N · CIK 0001438783 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,022

Underlying: Common Stock, par value $0.01 per share · 83 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001209191-23-053254 · doc4.xml · derivative · entry 1

Ogunlesi Adebayo O. · CIK 0001481450 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,224

Underlying: Common Stock, par value $0.01 per share · 104 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001209191-23-053255 · doc4.xml · derivative · entry 1

Tighe Jan E · CIK 0001762375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,610

Underlying: Common Stock, par value $0.01 per share · 42 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Board of Directors of Goldman Sachs Bank USA.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Board of Directors of Goldman Sachs Bank USA.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Board of Directors of Goldman Sachs Bank USA.

SEC source: 0001209191-23-053256 · doc4.xml · derivative · entry 1

OPPENHEIMER PETER · CIK 0001214107 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,441

Underlying: Common Stock, par value $0.01 per share · 187 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 (i) Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors and (ii) Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank USA") are each granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank USA's Board of Directors, as applicable.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 (i) Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors and (ii) Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank USA") are each granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank USA's Board of Directors, as applicable.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 (i) Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors and (ii) Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank USA") are each granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank USA's Board of Directors, as applicable.

SEC source: 0001520700-24-000004 · wk-form4_1728504772.xml · nonDerivative · entry 7

Flaherty Mark A. · CIK 0001520700 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,069.393

F1 · price: These shares were acquired under a discontinued dividend reinvestment program at an unaffiliated broker.

F2 · ownership.nature: Held through a revocable trust where the reporting person is the beneficiary.

SEC source: 0001209191-23-044448 · doc4.xml · nonDerivative · entry 1

SOLOMON DAVID M · CIK 0001693709 · Director · Chairman of the Board and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 124,782

F1 · price: Reflects a weighted average sale price of $356.28 per share, at prices ranging from $356.17 to $356.41 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-23-043057 · doc4.xml · derivative · entry 1

Ogunlesi Adebayo O. · CIK 0001481450 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,120

Underlying: Common Stock, par value $0.01 per share · 90 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001209191-23-043060 · doc4.xml · derivative · entry 1

MITTAL LAKSHMI N · CIK 0001438783 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,939

Underlying: Common Stock, par value $0.01 per share · 72 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001209191-23-043061 · doc4.xml · derivative · entry 1

JOHNSON KEVIN R · CIK 0001193107 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 468

Underlying: Common Stock, par value $0.01 per share · 72 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Issuer's Board of Directors are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0001209191-23-043065 · doc4.xml · derivative · entry 1

OPPENHEIMER PETER · CIK 0001214107 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,254

Underlying: Common Stock, par value $0.01 per share · 162 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 (i) Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors and (ii) Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank USA") are each granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank USA's Board of Directors, as applicable.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 (i) Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors and (ii) Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank USA") are each granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank USA's Board of Directors, as applicable.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 (i) Annual Retainer and Committee Chair Fee for service on the Issuer's Board of Directors and (ii) Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA ("GS Bank USA") are each granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors or GS Bank USA's Board of Directors, as applicable.

SEC source: 0001209191-23-043066 · doc4.xml · nonDerivative · entry 2

SOLOMON DAVID M · CIK 0001693709 · Director · Chairman of the Board and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 128,982

F2 · price: Reflects a weighted average sale price of $346.43 per share, at prices ranging from $345.91 to $346.85 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-23-043066 · doc4.xml · nonDerivative · entry 1

SOLOMON DAVID M · CIK 0001693709 · Director · Chairman of the Board and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 132,582

F1 · price: Reflects a weighted average sale price of $345.31 per share, at prices ranging from $344.91 to $345.78 per share. The Reporting Person will provide, upon request by the staff of the Securities and Exchange Commission, the Issuer, or a security holder of the Issuer, full information regarding the number of shares sold at each separate price.

SEC source: 0001209191-23-043067 · doc4.xml · derivative · entry 1

Tighe Jan E · CIK 0001762375 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,568

Underlying: Common Stock, par value $0.01 per share · 48 shares

Expires not disclosed

F1 · derivative.exercise_price: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Board of Directors of Goldman Sachs Bank USA.

F1 · derivative.exercise_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Board of Directors of Goldman Sachs Bank USA.

F1 · derivative.expiration_date: Restricted Stock Units ("RSUs") granted in respect of the Reporting Person's 2023 Annual Retainer for service on the Board of Directors of Goldman Sachs Bank USA are granted quarterly, in arrears. Shares of the Issuer's common stock underlying these RSUs will be delivered approximately 90 days after the retirement of the Reporting Person from the Board of Directors of Goldman Sachs Bank USA.

SEC source: 0001520700-24-000004 · wk-form4_1728504772.xml · nonDerivative · entry 6

Flaherty Mark A. · CIK 0001520700 · Director

10b5-1 filing: No plan indicated

Ownership: Indirect · See Footnote

Disclosed balance after: 1,060.291

F1 · price: These shares were acquired under a discontinued dividend reinvestment program at an unaffiliated broker.

F2 · ownership.nature: Held through a revocable trust where the reporting person is the beneficiary.

SEC source: 0001209191-23-027345 · doc4.xml · derivative · entry 9

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 6,270 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · derivative.exercise_price: On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025.

F7 · price: On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025.

F7 · derivative.exercise_date: On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025.

F7 · derivative.expiration_date: On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025.

SEC source: 0001209191-23-027345 · doc4.xml · nonDerivative · entry 8

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,121

F8 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the PSUs described in footnote 7 above.

F8 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the PSUs described in footnote 7 above.

SEC source: 0001209191-23-027345 · doc4.xml · nonDerivative · entry 7

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 21,322

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F7 · shares: On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025.

F7 · price: On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025.

SEC source: 0001209191-23-027346 · doc4.xml · derivative · entry 5

ROGERS JOHN F.W. · CIK 0001517277 · Executive Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 9,009 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_price: On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025.

F1 · price: On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025.

F1 · derivative.exercise_date: On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025.

F1 · derivative.expiration_date: On May 3, 2023, shares of the Issuer's common stock underlying an award of Performance-based Restricted Stock Units ("PSUs") granted on January 16, 2020 in connection with 2019 year-end compensation were delivered to the Reporting Person without the payment of any consideration. These shares generally cannot be sold or transferred before January 2025.

SEC source: 0001209191-23-027346 · doc4.xml · nonDerivative · entry 2

ROGERS JOHN F.W. · CIK 0001517277 · Executive Vice President

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 74,730

F2 · kind: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the PSUs described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to satisfy withholding obligations in connection with the delivery of the common stock underlying the PSUs described in footnote 1 above.