GS

SEC source: 0000899243-21-002937 · doc4.xml · derivative · entry 11

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,169

Underlying: Common Stock, par value $0.01 per share · 13,169 shares

Expires not disclosed

F11 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

F11 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

F11 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

SEC source: 0000899243-21-002937 · doc4.xml · nonDerivative · entry 9

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,815

F9 · price: Reflects a weighted average sale price of $296.17 per share, at prices ranging from $296.04 to $296.30 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: 0000899243-21-002937 · doc4.xml · nonDerivative · entry 8

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,015

F8 · price: Reflects a weighted average sale price of $295.47 per share, at prices ranging from $295.12 to $296.01 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: 0000899243-21-002937 · doc4.xml · nonDerivative · entry 7

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,615

F7 · price: Reflects a weighted average sale price of $294.63 per share, at prices ranging from $294.10 to $294.91 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: 0000899243-21-002937 · doc4.xml · nonDerivative · entry 6

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,915

F6 · price: Reflects a weighted average sale price of $293.12 per share, at prices ranging from $292.94 to $293.30 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: 0000899243-21-002937 · doc4.xml · nonDerivative · entry 5

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,115

F5 · price: Reflects a weighted average sale price of $292.42 per share, at prices ranging from $291.81 to $292.69 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: 0000899243-21-002937 · doc4.xml · nonDerivative · entry 4

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,915

F4 · price: Reflects a weighted average sale price of $290.71 per share, at prices ranging from $290.52 to $290.88 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: 0000899243-21-002937 · doc4.xml · nonDerivative · entry 3

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,637

F3 · price: Reflects a weighted average sale price of $290.01 per share, at prices ranging from $289.50 to $290.46 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: 0000899243-21-002937 · doc4.xml · nonDerivative · entry 2

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,447

F2 · price: Reflects a weighted average sale price of $288.92 per share, at prices ranging from $288.50 to $289.46 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: 0000899243-21-002937 · doc4.xml · nonDerivative · entry 1

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,759

F1 · price: Reflects a weighted average sale price of $288.15 per share, at prices ranging from $287.50 to $288.49 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: 0000899243-21-002938 · doc4.xml · derivative · entry 8

HAMMACK ELIZABETH M · CIK 0001789321 · Global Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,944

Underlying: Common Stock, par value $0.01 per share · 13,944 shares

Expires not disclosed

F8 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

F8 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

F8 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

SEC source: 0000899243-21-002938 · doc4.xml · nonDerivative · entry 6

HAMMACK ELIZABETH M · CIK 0001789321 · Global Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,069

F6 · price: Reflects a weighted average sale price of $295.82 per share, at prices ranging from $295.795 to $295.850 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: 0000899243-21-002938 · doc4.xml · nonDerivative · entry 5

HAMMACK ELIZABETH M · CIK 0001789321 · Global Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,269

F5 · price: Reflects a weighted average sale price of $294.90 per share, at prices ranging from $294.21 to $295.20 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: 0000899243-21-002938 · doc4.xml · nonDerivative · entry 4

HAMMACK ELIZABETH M · CIK 0001789321 · Global Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,669

F4 · price: Reflects a weighted average sale price of $292.70 per share, at prices ranging from $292.25 to $292.99 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: 0000899243-21-002938 · doc4.xml · nonDerivative · entry 3

HAMMACK ELIZABETH M · CIK 0001789321 · Global Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,469

F3 · price: Reflects a weighted average sale price of $290.90 per share, at prices ranging from $290.63 to $291.45 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: 0000899243-21-002938 · doc4.xml · nonDerivative · entry 2

HAMMACK ELIZABETH M · CIK 0001789321 · Global Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,773

F2 · price: Reflects a weighted average sale price of $290.05 per share, at prices ranging from $289.62 to $290.57 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: 0000899243-21-002938 · doc4.xml · nonDerivative · entry 1

HAMMACK ELIZABETH M · CIK 0001789321 · Global Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,669

F1 · price: Reflects a weighted average sale price of $288.97 per share, at prices ranging from $288.60 to $289.52 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: 0000899243-21-002940 · doc4.xml · derivative · entry 1

MITTAL LAKSHMI N · CIK 0001438783 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,550

Underlying: Common Stock, par value $0.01 per share · 1,550 shares

Expires not disclosed

F1 · derivative.exercise_price: 1,205 shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors, and 345 shares will deliver in the year following the year of the Reporting Person's retirement.

F1 · derivative.exercise_date: 1,205 shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors, and 345 shares will deliver in the year following the year of the Reporting Person's retirement.

F1 · derivative.expiration_date: 1,205 shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors, and 345 shares will deliver in the year following the year of the Reporting Person's retirement.

SEC source: 0000899243-21-002941 · doc4.xml · derivative · entry 1

SEYMOUR KAREN PATTON · CIK 0001728384 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,779

Underlying: Common Stock, par value $0.01 per share · 8,779 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

SEC source: 0000899243-21-002942 · doc4.xml · derivative · entry 2

FREDMAN SHEARA J · CIK 0001792653 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,465

Underlying: Common Stock, par value $0.01 per share · 11,465 shares

Expires not disclosed

F2 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

F2 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

F2 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

SEC source: 0000899243-21-002942 · doc4.xml · nonDerivative · entry 1

FREDMAN SHEARA J · CIK 0001792653 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,224

F1 · price: Reflects a weighted average sale price of $294.03 per share, at prices ranging from $293.580 to $294.375 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: 0000899243-21-002943 · doc4.xml · derivative · entry 1

STEIN LAURENCE · CIK 0001789093 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,169

Underlying: Common Stock, par value $0.01 per share · 13,169 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these 2020 Restricted Stock Units ("RSUs") will be delivered in three approximately equal installments on or about each of the first, second and third anniversaries of the grant date, subject to other terms and conditions of the award agreement. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2026.

SEC source: 0000899243-21-002950 · doc4.xml · derivative · entry 1

Kullman Ellen Jamison · CIK 0001303141 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,637

Underlying: Common Stock, par value $0.01 per share · 1,637 shares

Expires not disclosed

F1 · derivative.exercise_price: 1,205 shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors, and 432 shares will deliver in the year following the year of the Reporting Person's retirement.

F1 · derivative.exercise_date: 1,205 shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors, and 432 shares will deliver in the year following the year of the Reporting Person's retirement.

F1 · derivative.expiration_date: 1,205 shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors, and 432 shares will deliver in the year following the year of the Reporting Person's retirement.

SEC source: 0000899243-21-002952 · doc4.xml · derivative · entry 1

Flaherty Mark A. · CIK 0001520700 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,205

Underlying: Common Stock, par value $0.01 per share · 1,205 shares

Expires not disclosed

F1 · derivative.exercise_price: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.exercise_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

F1 · derivative.expiration_date: Shares of the Issuer's common stock underlying these Restricted Stock Units will be delivered approximately 90 days after the retirement of the Reporting Person from the Issuer's Board of Directors.

SEC source: 0000769993-20-000275 · ownershipdoc07272020102214.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 16,149

F1 · kind: Reflects a distribution without consideration of shares of the Issuer's common stock from a family trust to immediate family members of the Reporting Person. The Reporting Person is not the trustee of the trust, has no investment control over or pecuniary interest in the trust and disclaims beneficial ownership of these shares.

F1 · price: Reflects a distribution without consideration of shares of the Issuer's common stock from a family trust to immediate family members of the Reporting Person. The Reporting Person is not the trustee of the trust, has no investment control over or pecuniary interest in the trust and disclaims beneficial ownership of these shares.

F2 · ownership.nature: Held through a trust, the sole beneficiaries of which are immediate family members of the Reporting Person. The Reporting Person disclaims beneficial ownership of these shares.

SEC source: 0000769993-20-000100 · ownershipdoc01282020114729.xml · nonDerivative · entry 5

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 677,425

SEC source: 0000769993-20-000100 · ownershipdoc01282020114729.xml · nonDerivative · entry 4

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 681,425

SEC source: 0000769993-20-000100 · ownershipdoc01282020114729.xml · nonDerivative · entry 3

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 681,725

F3 · price: Reflects a weighted average sale price of $242.51 per share, at prices ranging from $242.00 to $242.99 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: 0000769993-20-000099 · ownershipdoc01282020114729.xml · nonDerivative · entry 2

STEIN LAURENCE · CIK 0001789093 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,943

SEC source: 0000769993-20-000100 · ownershipdoc01282020114729.xml · nonDerivative · entry 2

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 696,324

F2 · price: Reflects a weighted average sale price of $242.13 per share, at prices ranging from $242.00 to $242.35 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: 0000769993-20-000099 · ownershipdoc01282020114729.xml · nonDerivative · entry 1

STEIN LAURENCE · CIK 0001789093 · Chief Administrative Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,794

F1 · price: Reflects a weighted average sale price of $239.26 per share, at prices ranging from $238.85 to $239.56 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: 0000769993-20-000100 · ownershipdoc01282020114729.xml · nonDerivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 703,625

F1 · price: Reflects a weighted average sale price of $242.14 per share, at prices ranging from $242.00 to $242.50 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: 0000769993-20-000037 · ownershipdoc01212020012415.xml · derivative · entry 3

FREDMAN SHEARA J · CIK 0001792653 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 5,014 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, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · price: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · derivative.exercise_date: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · derivative.expiration_date: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

SEC source: 0000769993-20-000037 · ownershipdoc01212020012415.xml · nonDerivative · entry 2

FREDMAN SHEARA J · CIK 0001792653 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,528

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: 0000769993-20-000037 · ownershipdoc01212020012415.xml · nonDerivative · entry 1

FREDMAN SHEARA J · CIK 0001792653 · Chief Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,079

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, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

SEC source: 0000769993-20-000038 · ownershipdoc01212020012415.xml · derivative · entry 4

HAMMACK ELIZABETH M · CIK 0001789321 · Global Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 8,592 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, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · price: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · derivative.exercise_date: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · derivative.expiration_date: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

SEC source: 0000769993-20-000038 · ownershipdoc01212020012415.xml · nonDerivative · entry 2

HAMMACK ELIZABETH M · CIK 0001789321 · Global Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,938

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: 0000769993-20-000038 · ownershipdoc01212020012415.xml · nonDerivative · entry 1

HAMMACK ELIZABETH M · CIK 0001789321 · Global Treasurer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,310

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, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

SEC source: 0000769993-20-000039 · ownershipdoc01212020012415.xml · derivative · entry 4

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 11,377 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, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · price: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · derivative.exercise_date: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · derivative.expiration_date: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

SEC source: 0000769993-20-000039 · ownershipdoc01212020012415.xml · nonDerivative · entry 2

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,653

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: 0000769993-20-000039 · ownershipdoc01212020012415.xml · nonDerivative · entry 1

LEE BRIAN J · CIK 0001698554 · Chief Risk Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,958

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, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

SEC source: 0000769993-20-000041 · ownershipdoc01212020012415.xml · derivative · entry 3

SCHERR STEPHEN M · CIK 0001754390 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 11,668 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, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · price: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · derivative.exercise_date: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · derivative.expiration_date: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

SEC source: 0000769993-20-000041 · ownershipdoc01212020012415.xml · nonDerivative · entry 2

SCHERR STEPHEN M · CIK 0001754390 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,786

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: 0000769993-20-000041 · ownershipdoc01212020012415.xml · nonDerivative · entry 1

SCHERR STEPHEN M · CIK 0001754390 · CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 123,722

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, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

SEC source: 0000769993-20-000040 · ownershipdoc01212020012415.xml · derivative · entry 5

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 17,393 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, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · price: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · derivative.exercise_date: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · derivative.expiration_date: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

SEC source: 0000769993-20-000040 · ownershipdoc01212020012415.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 79,525

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: 0000769993-20-000040 · ownershipdoc01212020012415.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 87,635

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, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation for years prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

SEC source: 0000769993-20-000042 · ownershipdoc01212020012415.xml · derivative · entry 3

SEYMOUR KAREN PATTON · CIK 0001728384 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 7,111 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, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · price: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · derivative.exercise_date: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

F1 · derivative.expiration_date: On January 23, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.

SEC source: 0000769993-20-000042 · ownershipdoc01212020012415.xml · nonDerivative · entry 2

SEYMOUR KAREN PATTON · CIK 0001728384 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,493

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: 0000769993-20-000042 · ownershipdoc01212020012415.xml · nonDerivative · entry 1

SEYMOUR KAREN PATTON · CIK 0001728384 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,111

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, 2020, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that had been awarded in connection with compensation prior to 2019 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2019 compensation.