GS

SEC source: 0000769993-17-000413 · ownershipdoc02142017102216.xml · nonDerivative · entry 3

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 754,925

F3 · price: Reflects a weighted average sale price of $246.9286 per share, at prices ranging from $246.89 to $246.938 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: 0000769993-17-000413 · ownershipdoc02142017102216.xml · nonDerivative · entry 2

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 760,879

F2 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

SEC source: 0000769993-17-000413 · ownershipdoc02142017102216.xml · nonDerivative · entry 1

VINIAR DAVID A · CIK 0001090352 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 825,305

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 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2007 and scheduled to expire in November 2017.

SEC source: 0000769993-17-000284 · ownershipdoc02062017093716.xml · nonDerivative · entry 1

SALAME PABLO J · CIK 0001693738 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 146,133

F1 · price: Reflects a weighted average sale price of $240.1852 per share, at prices ranging from $240.00 to $240.46 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: 0000769993-17-000286 · ownershipdoc02062017093716.xml · nonDerivative · entry 2

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 21,420

F2 · price: Reflects a weighted average sale price of $240.0823 per share, at prices ranging from $240.07 to $240.10 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 trusts, 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: 0000769993-17-000286 · ownershipdoc02062017093716.xml · nonDerivative · entry 1

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 177,594

F1 · price: Reflects a weighted average sale price of $240.0814 per share, at prices ranging from $240.00 to $240.21 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: 0000769993-17-000259 · ownershipdoc02062017093716.xml · derivative · entry 6

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 38,268 shares

Expires 2017-11-24

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.

SEC source: 0000769993-17-000259 · ownershipdoc02062017093716.xml · nonDerivative · entry 4

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,472

F3 · price: Reflects a weighted average sale price of $234.9336 per share, at prices ranging from $234.425 to $235.40 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: 0000769993-17-000259 · ownershipdoc02062017093716.xml · nonDerivative · entry 3

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,981

SEC source: 0000769993-17-000259 · ownershipdoc02062017093716.xml · nonDerivative · entry 2

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,163

F2 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

SEC source: 0000769993-17-000259 · ownershipdoc02062017093716.xml · nonDerivative · entry 1

SMITH SARAH G · CIK 0001090335 · Principal Accounting Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,249

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 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2007 and scheduled to expire in November 2017.

SEC source: 0000769993-17-000262 · ownershipdoc02062017093716.xml · derivative · entry 5

COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 36,308 shares

Expires 2017-11-24

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.

SEC source: 0000769993-17-000262 · ownershipdoc02062017093716.xml · nonDerivative · entry 3

COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,635

SEC source: 0000769993-17-000262 · ownershipdoc02062017093716.xml · nonDerivative · entry 2

COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,019

F2 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

SEC source: 0000769993-17-000262 · ownershipdoc02062017093716.xml · nonDerivative · entry 1

COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,943

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 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2007 and scheduled to expire in November 2017.

SEC source: 0000769993-17-000264 · ownershipdoc02062017093716.xml · derivative · entry 5

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 114,676 shares

Expires 2017-11-24

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.

SEC source: 0000769993-17-000264 · ownershipdoc02062017093716.xml · nonDerivative · entry 3

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 114,458

F3 · price: Reflects a weighted average sale price of $240.1456 per share, at prices ranging from $240.1135 to $240.2447 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: 0000769993-17-000264 · ownershipdoc02062017093716.xml · nonDerivative · entry 2

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 122,796

F2 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

F2 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 1 above.

SEC source: 0000769993-17-000264 · ownershipdoc02062017093716.xml · nonDerivative · entry 1

ROGERS JOHN F.W. · CIK 0001517277 · EVP-Chief of Staff & Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 229,134

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 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2007 and scheduled to expire in November 2017.

SEC source: 0000769993-17-000236 · ownershipdoc01302017102706.xml · nonDerivative · entry 2

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,131

F2 · price: Reflects a weighted average sale price of $231.3438 per share, at prices ranging from $231.05 to $231.86 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: 0000769993-17-000236 · ownershipdoc01302017102706.xml · nonDerivative · entry 1

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,931

F1 · price: Reflects a weighted average sale price of $230.5395 per share, at prices ranging from $230.03 to $230.98 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: 0000769993-17-000197 · ownershipdoc01302017102706.xml · nonDerivative · entry 2

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,467

F2 · price: Reflects a weighted average sale price of $237.1621 per share, at prices ranging from $237.1 to $237.24 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: 0000769993-17-000197 · ownershipdoc01302017102706.xml · nonDerivative · entry 1

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,867

F1 · price: Reflects a weighted average sale price of $236.7006 per share, at prices ranging from $236.1 to $237.04 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: 0000769993-17-000141 · ownershipdoc01172017103431.xml · derivative · entry 10

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 26,217 shares

Expires 2018-12-31

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.

F9 · derivative.exercise_date: One-third of these Stock Options became exercisable in each of January 2010, January 2011 and January 2012.

SEC source: 0000769993-17-000141 · ownershipdoc01172017103431.xml · nonDerivative · entry 7

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,653

F7 · price: Reflects a weighted average sale price of $236.8985 per share, at prices ranging from $236.6050 to $237.2100 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: 0000769993-17-000141 · ownershipdoc01172017103431.xml · nonDerivative · entry 6

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,169

F6 · price: Reflects a weighted average sale price of $236.1704 per share, at prices ranging from $235.5900 to $236.5800 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: 0000769993-17-000141 · ownershipdoc01172017103431.xml · nonDerivative · entry 5

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 36,169

F5 · price: Reflects a weighted average sale price of $235.2954 per share, at prices ranging from $234.5900 to $235.5350 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: 0000769993-17-000141 · ownershipdoc01172017103431.xml · nonDerivative · entry 4

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,069

F4 · kind: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 3 above.

F4 · acquired: Represents shares of the Issuer's common stock withheld to fund the exercise price and to satisfy withholding obligations in connection with the exercise of the Stock Options described in footnote 3 above.

SEC source: 0000769993-17-000141 · ownershipdoc01172017103431.xml · nonDerivative · entry 3

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,870

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.

F3 · kind: Reflects the exercise by the Reporting Person of Stock Options granted in December 2008 and scheduled to expire in December 2018.

SEC source: 0000769993-17-000119 · ownershipdoc01232017090253.xml · nonDerivative · entry 4

COHN GARY D · CIK 0001366945 · Director · Former Director, Pres. and COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 940,908

F4 · kind: The Reporting Person acquired direct beneficial ownership of these shares, all of which the Reporting Person previously beneficially owned indirectly as trustee of grantor retained annuity trusts (GRATs). The shares were delivered to the Reporting Person by the GRATs in exchange for cash (reflecting a value of $233.45, which was the average of the high and low trading prices of the Issuer's common stock on January 24, 2017). Following this transfer, the GRATs no longer hold any shares of the Issuer's common stock. This transfer was exempt from Section 16 pursuant to Rule 16a-13.

F4 · price: The Reporting Person acquired direct beneficial ownership of these shares, all of which the Reporting Person previously beneficially owned indirectly as trustee of grantor retained annuity trusts (GRATs). The shares were delivered to the Reporting Person by the GRATs in exchange for cash (reflecting a value of $233.45, which was the average of the high and low trading prices of the Issuer's common stock on January 24, 2017). Following this transfer, the GRATs no longer hold any shares of the Issuer's common stock. This transfer was exempt from Section 16 pursuant to Rule 16a-13.

SEC source: 0000769993-17-000131 · ownershipdoc01172017103431.xml · derivative · entry 5

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 59,547 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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.exercise_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.expiration_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000131 · ownershipdoc01172017103431.xml · nonDerivative · entry 2

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,522,339

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: 0000769993-17-000131 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

BLANKFEIN LLOYD C · CIK 0001180587 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,554,180

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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000133 · ownershipdoc01172017103431.xml · derivative · entry 3

GNODDE RICHARD J · CIK 0001693741 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 44,327 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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.exercise_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.expiration_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000133 · ownershipdoc01172017103431.xml · nonDerivative · entry 2

GNODDE RICHARD J · CIK 0001693741 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 195,153

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: 0000769993-17-000133 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

GNODDE RICHARD J · CIK 0001693741 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 212,254

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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000135 · ownershipdoc01172017103431.xml · derivative · entry 4

SALAME PABLO J · CIK 0001693738 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 78,482 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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.exercise_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.expiration_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000135 · ownershipdoc01172017103431.xml · nonDerivative · entry 2

SALAME PABLO J · CIK 0001693738 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 162,318

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: 0000769993-17-000135 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

SALAME PABLO J · CIK 0001693738 · Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 204,284

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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000137 · ownershipdoc01172017103431.xml · derivative · entry 6

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 77,517 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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.exercise_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.expiration_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000137 · ownershipdoc01172017103431.xml · nonDerivative · entry 2

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 181,759

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: 0000769993-17-000137 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

SOLOMON DAVID M · CIK 0001693709 · President and Co-COO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 223,209

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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000139 · ownershipdoc01172017103431.xml · derivative · entry 4

COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 22,981 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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.exercise_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.expiration_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000139 · ownershipdoc01172017103431.xml · nonDerivative · entry 2

COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,635

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: 0000769993-17-000139 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

COHEN ALAN M · CIK 0001279229 · EVP, Global Head of Compliance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 70,925

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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000141 · ownershipdoc01172017103431.xml · derivative · entry 9

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 22,981 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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.exercise_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.expiration_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000141 · ownershipdoc01172017103431.xml · nonDerivative · entry 2

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,653

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: 0000769993-17-000141 · ownershipdoc01172017103431.xml · nonDerivative · entry 1

COOPER EDITH W · CIK 0001517276 · EVP, Global Head of HCM

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 41,966

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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000143 · ownershipdoc01172017103431.xml · derivative · entry 5

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock, par value $0.01 per share · 28,581 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 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · price: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.exercise_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

F1 · derivative.expiration_date: On January 24, 2017, shares of the Issuer's common stock underlying Restricted Stock Units ("RSUs") that were awarded in connection with compensation for years prior to 2016 were delivered to the Reporting Person without the payment of any consideration. These shares are not related to 2016 compensation.

SEC source: 0000769993-17-000143 · ownershipdoc01172017103431.xml · nonDerivative · entry 2

PALM GREGORY K · CIK 0001090346 · Executive VP - General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 927,047

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.